FIRST MIDWEST BANK, Guardian of the Estate of Michael D. LaPorta, a disabled person v. CITY OF CHICAGO
No. 18-3049
United States Court of Appeals For the Seventh Circuit
Argued December 10, 2019 — Decided February 23, 2021
Before SYKES, Chief Judge, and KANNE, Circuit Judge.
Appeal from the United States District Court for the Northern District of Illinois, Eastern Division. No. 14 C 9665 — Harry D. Leinenweber, Judge.
The theory of the case was novel. LaPorta claimed that the City had inadequate policies in place to prevent the shooting—or more precisely, that the City’s policy failures caused Kelly to shoot him. He identified several policy shortcomings: the failure to have an “early warning system” to identify officers who were likely to engage in misconduct, the failure to adequately investigate and discipline officers who engage in misconduct, and the perpetuation of a “code of silence” that deters reporting of officers who engage in misconduct. A jury found the City liable and awarded $44.7 million in damages. The City moved for judgment as a matter of law, and the district court denied the motion.
We reverse. LaPorta’s injuries are grievous, but his legal theory for holding the City liable is deeply flawed. Whatever viability it might have had under state tort law (we’re skeptical, but there’s no need to make a prediction), it has no foundation whatsoever in constitutional law. When Kelly shot LaPorta, he was not acting as a Chicago police officer but as a private citizen. LaPorta claimed that he was de
I. Background
Late one night in January 2010, LaPorta went drinking with his friend Patrick Kelly, a Chicago police officer. It’s undisputed that Kelly was off duty at the time of these events. After patronizing two bars, the friends went to Kelly’s house. At some point Kelly began hitting his dog. LaPorta yelled at him to stop and said he was leaving. Kelly then shot LaPorta in the head.2 LaPorta survived but suffered traumatic brain injuries that left him severely and permanently disabled. He is unable to walk, has cognitive deficits, and cannot use his right arm. He is blind in one eye and deaf in one ear.
LaPorta filed suit in state court against the City of Chicago and other defendants; initially he raised only state-law claims for relief. LaPorta’s father, as his son’s guardian, substituted as plaintiff in October 2011, and three years later he amended the complaint to add a claim against the City under
The City moved to dismiss, arguing that the complaint failed to allege a cognizable constitutional violation and thus could not support municipal liability under Monell v. Department of Social Services, 436 U.S. 658 (1978). Relying largely on Gibson v. City of Chicago, 910 F.2d 1510 (7th Cir. 1990), the judge denied the motion. After discovery the City moved for summary judgment, noting again the absence of any constitutional violation. Citing DeShaney, 489 U.S. at 196–97, the City argued that it had no constitutional duty to protect LaPorta from Kelly’s private violence. The judge denied the motion, again relying on Gibson. LaPorta v. City of Chicago, 277 F. Supp. 3d 969, 986–87 (N.D. Ill. 2017).
At trial LaPorta testified about the shooting and its aftermath. Kelly invoked his Fifth Amendment right to remain silent. Beyond the transactional witnesses, most of LaPorta’s case focused on Kelly’s history of civilian and internal disciplinary complaints and evidence about the Chicago Police Department’s policies—or more specifically, its policy failures. LaPorta identified three general policy deficiencies: (1) the City failed to implement an “early warning system” to identify problem officers; (2) it failed to adequately investigate and discipline officers who engaged in misconduct; and (3) it fostered a “code of silence” that deterred reporting of officers who engaged in misconduct.
The theory of LaPorta’s case was that these policy failures produced a deep-rooted culture of tolerating and covering up officer misconduct, which led Kelly to believe that he could shoot LaPorta with impunity. LaPorta’s counsel told the jury that the case was about more than the
More specifically, in closing argument LaPorta’s counsel repeatedly argued that by finding the City liable, the jury could help to bring about desperately needed institutional reform in the Chicago Police Department and improve the relationship between the police and citizens. Here’s a taste:
No more distinctions between “us” and “them,” citizens and police. Let’s make the streets safer for both by bringing back the trust. Why is there no trust? Because there’s no transparency. Why is there no transparency? Because it’s an “us versus them” attitude. And we need to bridge that. And when I say “we,” I actually mean you.
You have the power to do it. … If you should find that the City did, indeed, through Patrick Kelly violate Michael LaPorta’s constitutional rights and if you find that it engaged in custom[ary], widespread policies, then you have that power to bring forth that change.
Real reforms can only begin after a judgment is brought forth. Without that, there is no justice. Real changes can be made, a new order and trust can be restored to the community that both citizens and police officers share. Yes, your task is monumental. It’s big.
Again and again, counsel exhorted the jury to seize the opportunity to reform the Chicago Police Department by holding the City liable:
[D]on’t we want that change in culture? Of course, we would pass the buck to someone else. We would leave it up to the City, but you heard from a city councilman and from the mayor that time and again, attempts to reform from within have failed. …
You are now in the driver[’s] seat, and you have the ability to police the police.
To kickstart a transformation this large, counsel urged the jury to set the damages award high enough to send a message and bring about needed reform. To that end, he argued that the Chicago Police Department had
a longstanding culture and attitude that won’t get changed unless there’s a massive mandate. It can’t be little.
The message has to be sent: You cannot do this again, whether it’s with Patrick Kelly or any of the other officers that rise above him in the number of complaints because there are many, many more officers out there, ladies and gentlemen, that are worse than Patrick Kelly.
The City objected to this mode of argument, but the judge overruled the objection.3 LaPorta’s counsel ended his
The substantive jury instruction on the due-process claim told the jury to first consider whether LaPorta proved by a preponderance of the evidence that Kelly “intentionally or with reckless indifference” shot him. If he proved this, then the jury was instructed to consider whether he also proved “each of the following things”:
One, prior to Michael D. LaPorta’s shooting, the City of Chicago had one or more of the following policies: Failing to maintain an early warning system that would identify officers who would engage in misconduct in the future; maintaining a code of silence in which officers failed to report misconduct or covered up the misconduct of other officers; failing to terminate officers who engaged in serious misconduct; failing to discipline officers who engaged in misconduct; and/or failing to investigate allegations of officer misconduct.
The second thing – there’s two. One or more of the policies described in Paragraph 1 caused Patrick Kelly to intentionally or with reckless indifference shoot Michael D. LaPorta.
Three, the Chicago City Council knew that because one or more of the policies described in Paragraph 1 existed and was allowed to continue, it was highly predictable that its off-duty officers would violate the bodily integrity of persons they came into contact with because there was a pattern of similar constitutional violations or it was highly predictable even without a pattern of similar constitutional violations.
The instruction concluded: “If you find that Plaintiff has proved each of these things by a preponderance of the evidence, then you must decide for Plaintiff and go on to consider the question of damages.”
The jury returned a verdict for LaPorta and awarded $44.7 million in damages. The jurors concluded that two of the City’s policies—its failure to maintain an adequate early warning system and its failure to adequately investigate and discipline officers—caused Kelly to shoot LaPorta.
The City moved for judgment as a matter of law under
II. Discussion
The City challenges the denial of its motion for judgment as a matter of law. We review that ruling de novo. Ruiz-Cortez, 931 F.3d at 601. The City also renews its request for a new trial based on counsel’s improper remarks during closing argument. Because we agree with the City’s first argument, we have no need to reach the second.
Section 1983 states, in relevant part:
Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any State or Territory or the District of Columbia, subjects, or causes to be subjected, any citizen of the United States or other person within the jurisdiction thereof to the deprivation of any rights, privileges, or immunities secured by the Constitution and laws, shall be liable to the party injured in an action at law, suit in equity, or other proper proceeding for redress … .
The statute thus provides a remedy for violations of federal rights committed by persons acting under color of state law. To prevail on a
An action is not “under color of state law” merely because it is performed by a public employee or officer; the action must be “related in some way to the performance of
A municipality is a “person” under
Accordingly, to prevail on a
A Monell plaintiff must also prove that the policy or custom demonstrates municipal fault. Brown, 520 U.S. at 404. When a municipality takes action or directs an employee to take action that facially violates a federal right, municipal
Finally, a Monell plaintiff must prove that the municipality’s action was the “moving force” behind the federal-rights violation. Id. at 404. Like the heightened showing of municipal fault, this rigorous causation standard guards against backsliding into respondeat superior liability. Id. at 405. To satisfy the standard, the plaintiff must show a “direct causal link” between the challenged municipal action and the violation of his constitutional rights. Id. at 404.
These requirements—policy or custom, municipal fault, and “moving force” causation—must be scrupulously applied in every case alleging municipal liability. As the Supreme Court has cautioned:
Where a court fails to adhere to rigorous requirements of culpability and causation, municipal liability collapses into respondeat superior liability. As we recognized in Monell and have repeatedly reaffirmed, Congress did
not intend municipalities to be held liable unless deliberate action attributable to the municipality directly caused a deprivation of federal rights.
These principles are settled and familiar. So too is the requirement that the plaintiff must initially prove that he was deprived of a federal right. That’s the first step in every
LaPorta’s claim fails at this first step. He did not suffer a deprivation of a right secured by the federal Constitution or laws. It’s undisputed that Kelly was not acting under color of state law when he shot LaPorta. His actions were wholly unconnected to his duties as a Chicago police officer. He was off duty. He shot LaPorta after they spent a night out drinking together and had returned to his home to continue socializing at the end of the evening. Kelly’s actions were those of a private citizen in the course of a purely private social interaction. This was, in short, an act of private violence.
LaPorta’s claim is premised on the Fourteenth Amendment right to due process—specifically, the due-process liberty interest in bodily integrity. But he overlooks that the Due Process Clause is a restraint upon governmental action: “No State shall … deprive any person of life, liberty, or property, without due process of law … .”
[N]othing in the language of the Due Process Clause itself requires the State to protect the life, liberty, and property of its citizens against invasion by private actors. The Clause is phrased as a limitation on the State’s power to act, not as a guarantee of certain minimal levels of safety and security. It forbids the State itself to deprive individuals of life, liberty, or property without “due process of law,” but its language cannot fairly be extended to impose an affirmative obligation on the State to ensure that those interests do not come to harm through other means.
DeShaney involved a due-process claim on behalf of a young boy who was abused by his father. Id. at 191. County social workers became aware of suspicious injuries and other signs of abuse but took no action to remove the child from his father’s custody. Id. After the latest and most severe beating left the boy permanently disabled, the father was arrested and convicted of child abuse. The boy’s mother then sued the county and the social workers under
The Supreme Court rejected the claim, explaining that the purpose of the Due Process Clause is “to protect the people from the State, not to ensure that the State protect[s] them from each other.” Id. at 196. The Court accordingly
The Court recognized two limited exceptions to this general rule. First, the state has an affirmative duty to provide for the safety of a person it has taken into its custody involuntarily. Id. at 199–200. This is often referred to as the “special relationship” exception. See Buchanan-Moore, 570 F.3d at 827. When a state takes a person into its custody and renders him involuntarily unable to care for himself, it has “a corresponding duty” to provide for his basic needs; a violation of this duty “transgresses the substantive limits on state action set by the Eighth Amendment and the Due Process Clause.” DeShaney, 489 U.S. at 200. The special-relationship exception did not apply in DeShaney for the obvious reason that the injured child was not in state custody. Id.
DeShaney’s second exception arises only by implication from a brief observation in the Court’s opinion. The Court explained that although the county and its social workers “may have been aware” of the dangers the child faced in his father’s home, they “played no part in the[] creation” of those dangers. Id. at 201. This language is generally understood as a second exception to DeShaney’s general rule, one that applies when the state “affirmatively places a particular individual in a position of danger the individual would not otherwise have faced.” Doe v. Village of Arlington Heights, 782 F.3d 911, 916 (7th Cir. 2015) (quoting Buchanan-Moore, 570 F.3d at 827).
Unless one of these limited exceptions applies, the state has no duty under the Due Process Clause to protect against private violence. DeShaney made that clear, and we have frequently applied its teaching. For example, in Wilson v. Warren County, 830 F.3d 464 (7th Cir. 2016), the plaintiffs sued a county and several of its officials alleging that they failed to prevent private persons from seizing their property. Citing DeShaney, we explained that the Due Process Clause “does not require a state to protect citizens from private acts unless the state itself creates the danger.” Id. at 469. The exception for state-created dangers did not apply in Wilson, so we affirmed a summary judgment for the defendants. Id. at 470. Notably, we rejected the plaintiffs’ Monell claim against the county because it had no constitutional duty to protect against the private wrongful conduct. Id.
In Wilson-Trattner v. Campbell, 863 F.3d 589 (7th Cir. 2017), the plaintiff filed a
This rule is not controversial. All circuits read DeShaney the same way. See, e.g., Martinez v. City of Clovis, 943 F.3d 1260, 1271 (9th Cir. 2019); Estate of Romain v. City of Grosse Pointe Farms, 935 F.3d 485, 491 (6th Cir. 2019); Graves v. Lioi, 930 F.3d 307, 319 (4th Cir. 2019); M.D. ex rel. Stukenberg v. Abbott, 907 F.3d 237, 248–49 (5th Cir. 2018); Matthews v. Bergdorf, 889 F.3d 1136, 1143 (10th Cir. 2018); L.R. v. Sch. Dist. of Philadelphia, 836 F.3d 235, 241–42 (3d Cir. 2016); Kruger v. Nebraska, 820 F.3d 295, 302–03 (8th Cir. 2016); Matican v. City of New York, 524 F.3d 151, 155 (2d Cir. 2008); Rivera v. Rhode Island, 402 F.3d 27, 34–35 (1st Cir. 2005); Butera v. District of Columbia, 235 F.3d 637, 647–50 (D.C. Cir. 2001); Wyke v. Polk Cnty. Sch. Bd., 129 F.3d 560, 566–67 (11th Cir. 1997).
LaPorta resists application of DeShaney by shifting the focus to the Monell framework for municipal liability. The judge agreed with this approach, reasoning that because the jury found that the City’s policy failures “caused” Kelly to shoot LaPorta, DeShaney was inapplicable. Other judges in the Northern District of Illinois have issued similar rulings. See Wagner v. Cook Cnty. Sheriff’s Office, 378 F. Supp. 3d 713, 714–15 (N.D. Ill. 2019); Falcon v. City of Chicago, No. 17 C 5991, 2018 WL 2716286, at *3–5 (N.D. Ill. June 6, 2018); Cazares v. Frugoli, No. 13 C 5626, 2017 WL 1196978, at *15 (N.D. Ill. Mar. 31, 2017); Obrycka v. City of Chicago, No. 07 C 2372, 2012 WL 601810, at *5–6 (N.D. Ill. Feb. 23, 2012).
These decisions reflect a basic misunderstanding of the relationship between Monell and DeShaney. Monell and DeShaney are not competing frameworks for liability. The two cases concern fundamentally distinct subjects. Monell interpreted
DeShaney, on the other hand, addressed the substance of the constitutional right to due process. 489 U.S. at 194–202. The Court interpreted the Due Process Clause and defined its scope, strictly limiting the circumstances under which a privately inflicted injury is cognizable as a due-process violation. LaPorta had the burden to prove a constitutional violation in addition to the requirements for municipal liability under Monell. The judge was wrong to brush DeShaney aside.4
Applying DeShaney, as we must, it’s clear that the City is entitled to judgment as a matter of law. It had no due-process duty to protect LaPorta from Kelly’s act of private violence. LaPorta has never argued that one of the DeShaney exceptions applies. Rightly so; he was not in state custody at the time of his injury, and no evidence supports the exception for state-created dangers. And because LaPorta was not deprived of his right to due process, the City cannot be held liable for his injuries under
As we’ve noted, the judge relied heavily on our decision in Gibson, both at summary judgment and in rejecting the
The case came to us in an unusual procedural posture. The defendants moved to dismiss, arguing that the officer was not acting under color of state law at the time of the shooting. The judge denied the motion but limited discovery to the color-of-law issue. Id. at 1514. When the defendants later moved for summary judgment, the estate objected to consideration of anything other than whether the officer acted under color of state law. Because the judge had limited discovery to that issue alone, the estate had no opportunity to engage in discovery on other merits issues.
Without addressing the estate’s procedural objection, the judge concluded that the officer did not act under color of state law, so the shooting victim had not been “seized” in violation of the Fourth Amendment. Id. at 1515. The judge also “considered and rejected the possibility that the City had a constitutional duty to protect the [victim]” as a matter
We agreed that the undisputed evidence showed that the officer was not acting under color of state law at the time of the shooting. 910 F.2d at 1516–19. But we faulted the judge for considering and resolving other issues on summary judgment after strictly limiting discovery to that single topic. Id. at 1520. So we addressed the estate’s claims as if we were reviewing a dismissal on the pleadings under
In a footnote we explained that our holding was “quite compatible with DeShaney”:
In DeShaney, the Supreme Court held that county authorities who had learned that a child was at risk of being abused by his father committed no constitutional violation by their failure to act to prevent the abuse. The Court reasoned that nothing in the due process clause requires the state to protect its citizens’ life, liberty, and property “against invasion by private actors.” [DeShaney, 489 U.S. at 195] (emphasis supplied). In determining that the county officials had not violated any constitutional right of the victim, the Court expressly noted that the state had “played no part in [the] creation [of the dangers faced by the victim], nor did it
do anything to render him more vulnerable to them.” Id. at [201]. It is in this important respect that the present case differs considerably from DeShaney. At this point in the litigation, where we are obliged to accept as true the plaintiff’s factual allegations, the City is alleged to have played a part in both creating the danger (by training and arming [the officer]) and rendering the public more vulnerable to the danger (by allowing [him] to retain his weapon and ammunition after it otherwise stripped him of his authority as a policeman).
Id. at 1521 n.19. In short, we held that the estate’s factual allegations were sufficient to permit the Monell claim to proceed beyond the pleading stage under the DeShaney exception for state-created dangers.
This case is different. LaPorta never invoked the DeShaney exception for state-created dangers. He neither pleaded nor attempted to prove up a state-created danger, and the jury was not instructed on the legal elements of that type of due-process violation.
So the judge simply misapplied Gibson. We did not hold that a Monell claim is exempt from DeShaney’s general rule that the state has no constitutional duty to prevent acts of private violence. Nor could we. Nothing in Gibson suspended the DeShaney rule for Monell plaintiffs.
The judge’s misreading of Gibson led him to overlook a fundamental defect in LaPorta’s Monell claim, both at summary judgment and in rejecting the City’s posttrial motion.
LaPorta suggests that his novel theory against the City finds support in Thomas v. Cook County Sheriff’s Department, 604 F.3d 293 (7th Cir. 2010), but that case does not help him. Thomas involved a pretrial detainee who died in jail from pneumococcal meningitis. A jury cleared the individual defendants but found the sheriff’s department liable for failing to adequately respond to Thomas’s medical needs. Id. at 305. We concluded that “a municipality can be held liable under Monell, even when its officers are not, unless such a finding would create an inconsistent verdict.” Id. The verdicts in Thomas were easily reconcilable. The jury found that the sheriff’s department was deliberately indifferent to the detainee’s medical needs—a constitutional violation—because its policies for processing medical-request forms were clearly insufficient. That finding was not at all inconsistent with its exoneration of the individual officers. Id. Nothing in our decision in Thomas lifted the plaintiff’s burden to prove a predicate constitutional violation. To the contrary, because pretrial detainees have a constitutional right to medical care while in custody, the sheriff’s department could be found liable for violating that right even though the individual defendants were not. Id. at 301 & n.2.
LaPorta also relies on Glisson v. Indiana Department of Corrections, 849 F.3d 372 (7th Cir. 2017) (en banc), but that case too is distinguishable. There, a state prisoner died from acute renal failure. We concluded that a jury could find that the prison’s failure to enact a coordinated-care policy for prisoners with chronic illnesses amounted to deliberate indifference to the high likelihood that prisoners would die.
This case is fundamentally different. Here there was no constitutional violation because the City had no due-process duty to protect LaPorta from Kelly’s private violence.
III. Conclusion
LaPorta’s case is tragic. His injuries are among the gravest imaginable. His life will never be the same. But
