Lead Opinion
SUTTON, J., delivered the opinion of the court, in which OBERDORFER, D.J., joined.
CLAY, J. (pp. 337-40), delivered a separate opinion concurring in part and dissenting in part.
OPINION
Federal statutory law and constitutional law offer private citizens two avenues to recover damages for constitutional torts committed by employees of the federal government. A plaintiff may sue the employee directly for the constitutional violation under Bivens v. Six Unknown Named Agents of Federal Bureau of Narcotics,
In this case, Ronnie Harris attempted to use both avenues. The district court dismissed Harris’s Bivens claims on statute-of-limitations grounds. And after a bench trial, the district court rejected Harris’s FTCA claims on the merits. Because a reasonable factfinder could fairly conclude that Harris has failed to show that the individual defendants assaulted or maliciously prosecuted him under Ohio law, we affirm the district court’s rejection of Harris’s FTCA claims. And because that ad
I.
Ronnie Harris, an Ohio resident, is a former Olympic and professional boxer, regarded as one of the best middleweights that the State has ever produced. His boxing career included a gold medal at the 1968 Olympics and victories over Sugar Ray Seales and future world champion Alan Minter.
On January 18, 1997, Harris arrived at Cleveland Hopkins Airport on Continental Airlines Flight 237 from Fort Lauderdale, Florida, where he had traveled to watch his daughter compete in a tennis tournament. He wore a jogging suit and tennis shoes and carried a briefcase but wore no overcoat.
Several federal agents in plain clothes— Debra Harrison, Henry O’Bryant, Raphael Caprez and James Gilchrist — were working at the airport on January 13, and one of their primary duties was to scan the airport for suspicious persons and activity. Because the Drug Enforcement Agency (DEA) has designated Fort Lauderdale as a “source city” for drug trafficking, Caprez and O’Bryant monitored the passengers of Flight 237 as they exited the aircraft.
Upon leaving the plane, Harris walked rapidly to the baggage claim area and immediately went outside the airport to look for his uncle, who was picking him up. O’Bryant noticed Harris because he wore a jogging suit yet carried a briefcase; because he was not carrying an overcoat despite the cold temperature; and because he walked rapidly through the airport while looking around — all of which O’Bryant, a 22-year law enforcement veteran, associated with a drug courier profile. O’Bryant (and eventually Caprez) followed Harris to the baggage claim area.
O’Bryant approached Harris outside the airport and, after identifying himself, asked to speak to him. Harris declined to speak with O’Bryant, and the two men walked away from each other. During this brief encounter, Caprez made eye contact with Harris but did not approach him or overhear the conversation. Harris remained outside the terminal; O’Bryant and Caprez returned to the airport. Harris then returned to the airport without his briefcase (which he had left with his uncle, who had now arrived), walked by the American Airlines baggage claim carousel and glanced at a green piece of luggage. Upon observing this, O’Bryant called for a dog to sniff the bag.
At this point, Harrison joined Caprez and began to observe Harris’s actions. Harris retrieved his bag and, having guessed that Caprez was a DEA agent, approached him and said something like: “I don’t appreciate you and your monkeys following me and if you keep it up I’ll rip your head off.” JA 130-31. Harrison, who overheard the comment, walked up to Harris from behind, tapped his shoulder and asked whether he had just threatened a police officer. Harris asked Harrison who she was; she responded that she was a “police” officer, JA 131, 371; and Harris pushed her in the chest, prompting Harrison to arrest him.
As the officers led Harris to the nearby DEA task force office, they “could feel him resisting and trying to get loose.” JA 131. Once inside the office, they handcuffed him to a chair. O’Bryant entered the room and sought basic identification information from Harris. Harris generally was not cooperative during questioning. Gilchrist also entered the room with a drug-sniffing dog. The dog growled a few times during
On the basis of these incidents, Harris filed a Bivens lawsuit against the individual task force officers on January 13, 1998. The officers moved to dismiss the lawsuit on grounds of defective process, a motion that the district court granted without prejudice on October 26, 1999. Harris appealed that dismissal to the Sixth Circuit, and we affirmed on March 26, 2001. See Hards v. City of Cleveland,
On March 22, 2002 (over a year after the district court dismissed the complaint but less than a year after this court’s affir-mance), Harris filed a new complaint against the individual federal defendants under the Federal Tort Claims Act and Bivens. Harris invoked the district court’s jurisdiction under 28 U.S.C. § 2675(a), noting that he had filed an FTCA claim with the DEA on May 12, 1998, and that, because the agency had failed to act on the claim within six months, the claim was presumed denied.
On May 28, 2002, the United States filed a notice of substitution under 28 U.S.C. § 2679, which allows it to replace individual defendants with itself in defending FTCA claims. The individual defendants then filed motions to dismiss the Bivens claims for untimeliness (because they were filed over two years after the incidents), insufficient service of process and lack of personal jurisdiction. Harris responded that the Ohio Savings Statute, Ohio Rev. Code § 2305.19, gave him one year from the date of the Sixth Circuit’s decision to file the lawsuit.
On October 23, 2002, the district court substituted the United States as the sole defendant for the FTCA claims, and dismissed the Bivens claims against all four individual defendants because they had been filed over one year after the district court’s dismissal decision. On December 16, 2002, Harris filed a second amended complaint, this time solely against the United States, which asserted claims of assault, malicious prosecution, false arrest, false imprisonment, battery and abuse of process, all under the FTCA. After a bench trial, the district court ruled in favor of the United States on Harris’s FTCA claims.
II.
On appeal, Harris first argues that the district court mistakenly rejected his FTCA claims on the merits. The FTCA “waives, with certain limitations, [the federal government’s] governmental immunity to suit in tort and permits suits on tort claims to be brought against the United States.” S. Rep. 1400, 79th Cong., 2d Sess. 29 (1946). Under the FTCA, the United States is generally liable for the acts of its employees “in the same manner and to the same extent as a private individual under like circumstances,” 28 U.S.C. § 2674, which means that it is liable for the payment of money damages according to the law of the place where the act or omission occurred, typically state law and
In addressing the dismissal of Harris’s FTCA claims, the district court’s factual findings “shall not be set aside unless clearly erroneous, and due regard shall be given to the opportunity of the trial court to judge of the credibility of the witnesses.” Fed.R.Civ.P. 52(a); Anderson v. Bessemer City,
A.
Harris argues that the four federal agents maliciously charged him with assault, resisting arrest and aggravated disorderly conduct. We disagree.
Like the English common law that preceded it, Ohio law has long recognized the right to recover in tort for the misuse of civil and criminal actions. See, e.g., Pope v. Pollock,
Much like federal constitutional law, Ohio defines probable cause as “a reasonable ground of suspicion, supported by circumstances sufficiently strong in themselves to warrant a cautious man in the belief that the person accused is guilty of the offense with which he is charged,” Rogers v. Barbera,
Under Ohio law, malice is “the state of mind under which a person intentionally does a wrongful act without a reasonable lawful excuse and with the intent to inflict injury or under circumstances that the law will imply an evil intent.” Criss v. Springfield Township,
Harris has failed to satisfy these requirements. As an initial matter, the district court, in its role as a factfinder in this bench trial, declined to infer malice from the officers’ actions in this case and specifically noted that “there is no evidence that the proceedings were instituted with malice,” JA 138 — a finding that is fatal to Harris’s claims that he was maliciously prosecuted. See, e.g., Williams v. Cambridge Bd. of Educ.,
But even if we were to ignore the district court’s factual findings on this score and even if we were to consider Harris’s invitation to presume malice under these circumstances, Harris has not established another key element of Ohio’s malicious-prosecution claim — the lack of probable cause — for any of the three counts with which he was charged.
First, a reasonable factfinder could fairly conclude that the officers had probable cause to charge Harris with criminal assault under Ohio Revised Code § 2903.13(a), which proscribes “knowingly causfing] or attempt[ing] to cause physical harm to another.” Ohio Rev.Code § 2903.13(a); see also Ohio Rev.Code § 2901.22(b). State prosecutors brought the assault charge against Harris in state court only after obtaining an indictment, which establishes “prima facie evidence of probable cause,” Carlton,
In attempting to escape the reach of these cases, Harris principally relies on the observation that Officer Harrison did not fear for her own safety during the encounter and on a trio of cases — Watkins v. Millennium Sch.,
Second, the officers had probable cause to charge Harris with resisting arrest under § 2921.33 of the Ohio Revised Code, which proscribes “recklessly or by force, [ ] resisting] or interfering] with a lawful arrest of the person or another.” Ohio Rev.Code § 2921.33. As we have already held that the officers lawfully arrested Harris, the sole question is whether the officers had probable cause to believe that he recklessly resisted or interfered with that arrest. A reasonable factfinder could conclude that Harris’s actions — his uncooperative attitude, attempts to “resist[] and try[] to get loose,” unwillingness to accompany the officers to the DEA office and confrontational and threatening statements and gestures — satisfy this requirement, despite the lack of an “actual struggle.” JA 131; see Hansen v. Westerville City Sch. Dist., Bd. of Educ., Nos. 93-3231/93-3303,
Lastly, the officers had probable cause to charge Harris with disorderly conduct. Under Ohio law, a person engages in disorderly conduct if he “recklessly cause[s] inconvenience, annoyance, or alarm to another” by, among other things, “[e]ngaging in fighting, in threatening harm to persons or property,” or by “[ijnsulting, taunting, or challenging another, under circumstances in which that conduct is likely to provoke a violent response.” Ohio Rev. Code § 2917.11(A); see also Ohio Rev. Code § 2917.11(E)(3) (making it aggravated disorderly conduct to violate the section “in the presence of any law enforcement officer”). A factfinder could reasonably conclude that Harris, by threatening the officers with physical violence and by making threatening gestures, provided them with the necessary probable cause to charge him with disorderly conduct, see, e.g., Fields v. Johnson, No. 74375,
We recognize and can certainly understand our dissenting colleague’s view that the unfortunate facts of this case indicate that the agents wrongly suspected Harris of acting as a drug courier. Yet we cannot agree with our colleague’s statement that “no evidence of physical activity which prevents or delays arrest is present in the instant case.” Infra at 15. The district court found that the officers, as they attempted to place Harris under arrest, “could feel him resisting and trying to get loose.” JA 131. Under Ohio precedent, those actions are sufficient to support a finding of probable cause to charge Harris with resisting arrest. See Thomas,
B.
Harris next argues that the fouifederal agents committed assault and battery during the course of his detention at the airport. We again disagree because a reasonable factfinder could conclude otherwise.
Like other States, Ohio provides civil-law causes of action for assault and battery. The State defines assault as “the willful threat or attempt to harm or touch another offensively, [where that] threat or attempt reasonably places the other in fear of such contact.” Stokes v. Meimaris,
The totality of the circumstances does not support Harris’s argument that the agents committed assault or battery. The only physical contact was the shoulder-tapping, hand-holding and handcuffing, all of which agents may lawfully do when arresting an individual. Leichtman v. WLW Jacor Communications, Inc.,
Harris aptly notes that the district court incorrectly described his burden of proof as “beyond a reasonable doubt” at one point, but also admits that the court mentioned the correct proof burden as “a preponderance of the evidence” two times in the very same section. JA 135-36; Matlock,
III.
Harris next argues that the district court erred in dismissing his Bivens claims as untimely. Under the landmark 1971 Supreme Court decision of that name, private citizens may “recover money damages for any injuries [they have] suffered as a result of [a federal agents’s] violation of the [Constitution].”
Among the tolling provisions interrelated with the statute of limitations, we have held, is the Ohio Savings Statute. See Harris v. Canton,
In any action that is commenced, ... if the plaintiff fails otherwise than upon the merits, the plaintiff ... may commence a new action within one year after ... the plaintiffs failure otherwise than upon the merits or within the period of the original applicable statute of limitations, whichever occurs latey.
Ohio Rev.Code § 2305.19. The Savings Statute applies where “an action is timely commenced and is then dismissed without prejudice after the applicable statute of limitations has run.” Lewis v. Connor,
In accordance with these precedents, Harris adequately preserved his claim. Harris filed his original claims within the two-year Ohio statute-of-limitations period. See Ohio Rev.Code § 2305.10. When the district court dismissed those claims without prejudice, Harris unsuccessfully appealed that decision. And Harris refiled his claims within one year of the Sixth Circuit’s affirmance of the district court’s dismissal of his claims without prejudice. That timeline and Ohio tolling principles establish that Harris’s Bivens claims fall within the Savings Statute’s compass.
In reaching a contrary conclusion, the district court held that the Savings Statute began to run once the district court dismissed Harris’s action without prejudice, not when the Sixth Circuit affirmed that decision. But this view rests upon a mistaken reading of Gruber v. Kopf Builders, Inc.,
The individual defendants seek to defend the district court’s decision on a second ground — that this reading of Ohio law conflicts with federal policy and accordingly should not be followed. In making this argument, the defendants point to Lewellen v. Morley,
IV.
Even though the district court incorrectly dismissed Harris’s Bivens claims, we do not reinstate them because they are barred by the court’s adjudication of his FTCA claims. The FTCA’s judgment bar provides that:
The judgment in an action under section 1346(b) of this title [the FTCA] shall constitute a complete bar to any action by the claimant, by reason of the same subject matter, against the employee of the government whose act or omission gave rise to the claim.
28 U.S.C. § 2676; see generally United States v. Gilman,
Courts, including the Sixth Circuit, have consistently read § 2676 to bar a Bivens claim against a government employee “arising out of the same actions, transactions, or occurrences” as an FTCA claim. Serra v. Pichardo,
Harris argues instead that the judgment bar does not apply “where plaintiff has from the outset alleged his Bivens claims and sought a jury trial in the same lawsuit alleging FTCA causes of action, where the Bivens claims have been erroneously dismissed, and where the later bench trial of plaintiffs common law tort causes of action results in a judgment in defendant’s favor.” Harris Reply Br. at 12. We disagree.
In accordance with the consistent application of the judgment bar over the fifty years since its enactment, we have held that the provision applies even when “the claims were tried together in the same suit and [ ] the judgments were entered simultaneously.” Serra,
By making “[t]he judgment” in an FTCA claim the bar to a future Bivens claim, the statute also fails to draw a distinction between a decision for or against the government. Nothing in the common interpretation of the word “judgment” suggests that a judgment in favor of the United States may be treated differently from a judgment against the United States. See Black’s Law Dictionary (7th ed.1999) (defining “judgment” as “[a] court’s final determination of the rights and obligations of the parties in a case”). And indeed
One court of appeals decision, it is true, has distinguished between favorable and unfavorable merits judgments in applying § 2676, concluding that an FTCA judgment in favor of the government did not bar a contemporaneous Bivens action arising from the same events. See Kreines v. United States,
Nor is there any background principle regarding judgment bars that supports applying the bar only when one party, as opposed to another, prevailed in the first judgment. Calling the word “judgment” ambiguous, at any rate, hardly leads to the conclusion that the Ninth Circuit embraced. Why is it that a “judgment” bar should apply only where the government loses? When the government loses the initial case, one could argue that a judgment bar is not necessary to prohibit dual recoveries because the law of remedies
Nor does the Supreme Court’s decision in Carlson v. Green,
Neither does the statutory history of § 2676 advance Harris’s position. The predecessor statute read as follows:
(a) Subject to the provisions of this title, the United States district court for the district wherein the plaintiff is resident or wherein the act or omission complained of occurred, including the United States district courts for the Territories and possessions of the United States, sitting without a jury, shall have exclusive jurisdiction to hear, determine, and render judgment on any claim against the United States, for money only, accruing on and after January 1, 1945, on account of damage to or loss of property or on account of personal injury or death caused by the negligent or wrongful act or omission of any employee of the Government while acting within the scope of his office or employment, under circumstances where the United States, if a private person, would be liable to the claimant for such damage, loss, injury, or death in accordance with the law of the place where the act or omission occurred. Subject to the provisions of this title, the United States shall be liable in respect of such claims to the same claimants, in the same manner, and to the same extent as a private individual under like circumstances, except that the*337 United States shall not be liable for interest prior to judgment, or for punitive damages. Costs shall be allowed in all courts to the successful claimant to the same extent as if the United States were a private litigant, except that such costs shall not include attorneys’ fees,
(b) The judgment in such an action shall constitute a complete bar to any action by the claimant, by reason of the same subject matter, against the employee of the Government whose act or omission gave rise to the claim.
Legislative Reorganization Act of 1946, Pub.L. No. 79-601, 60 Stat. 812, 843-44 § 410 (emphasis added). Relying on this earlier version of the statute, Harris argues that the judgment previously referred to was the liability of the United States and that, by retaining the phrase “the judgment” instead of using “any judgment” or “a judgment,” Congress did not change this meaning when it altered the statute. But the text of the predecessor statute is at best unclear. In using the phrase “the judgment in such an action,” Congress could just have easily meant all judgments as it could have meant those judgments in which “the United States shall be liable.”
Nor, lastly, do we believe that this holding works an injustice on Harris or other plaintiffs like him. The equitable punch of Harris’s argument comes from the fear that the district court erroneously dismissed his Bivens claims and that he has therefore never had his day in court on those claims. But the fact of the matter is that, even if the district court had not mistakenly barred Harris’s Bivens claims on timeliness grounds, the outcome would have been no different: Fifty years of largely consistent case law would have precluded the district court from entering a judgment favorable to Harris on his Bivens claims upon entry of the merits judgment on his FTCA claim “arising out of the same actions, transactions, or occurrences.” Of course, a plaintiff still may bring a Bivens claim and pursue it to judgment. See Carlson,
V.
For these reasons, we affirm.
Concurrence Opinion
concurring in part and dissenting in part.
I concur in the majority opinion except with respect to its discussion and resolution of Harris’ claim that he was maliciously prosecuted for resisting arrest, con
As the majority notes, in order to prevail on a malicious prosecution claim in Ohio, a plaintiff must establish three elements: 1) malice in instituting or continuing the prosecution, 2) lack of probable cause, and 3) termination of the prosecution in favor of the accused. Trussell v. Gen. Motors Corp.,
Probable cause “exists when the facts and circumstances are such that a cautious individual would be warranted in the belief that the person accused is guilty of the offense with which he or she is charged.” Norwell v. Cincinnati,
Indeed, the district court’s factual findings do not support its conclusion that there was probable cause to believe that Harris resisted arrest. The majority insists that the district court found that the officers could “feel” Harris resisting and trying to pull away as they arrested him. However, this was not the finding of the court. Rather, the court simply noted that the officers testified that they could “feel” Harris resisting, but did not find that Harris had actually done so. J.A. at 131. The court also noted that “there is nothing in Caprez’s notes from that night to indicate Plaintiff was attempting to resist arrest.” Id.
The court’s actual finding with respect to this issue was that “[although there was no actual struggle, Plaintiff did not cooperate with the officers or willingly accompany them to the task force office.” Id. (emphasis added). The finding that there was no actual struggle is inconsistent with both the officers’ testimony that they could feel Harris pulling away, and with the majority’s assertion that there was evidence of physical activity which prevented or delayed arrest.
While he may not have attempted to flea [sic], there is ample evidence to demonstrate that he did not accompany the officers to the task force willingly. Moreover, there is ample evidence to demonstrate that he did not cooperate with the officers when he was being asked the routine questions. In addition, there is evidence that Plaintiff bladed his body in a confrontational manner and that he made confrontational statements to the officers while in the task force office.
J.A. at 138.
Examining each of the actions complained of by the district court, none involves force or a “physical activity which prevents or delays arrest,” to use the language of Keegan. None involves interfering with or resisting an arrest “recklessly or by force,” to use the language of the statute.
The district court’s conclusory assertion that Harris did not accompany the officers to the task force “willingly” cannot support a finding of probable cause that he resisted arrest. Harris was undoubtedly unhappy at having been targeted, followed, and detained by the DEA when he was entirely innocent of any drug-related activity, and it appears from the district court’s findings that he communicated that unhappiness to the agents, but his conduct did not rise to the level of resistance required for a charge of resisting arrest under Ohio law. As the district court found, there was no actual struggle. The fact that Harris did not want to be arrested merely puts him in the company of most other arrestees, and does not constitute resisting arrest.
Similarly, the district court’s conclusion that Harris “did not cooperate with the officers when he was being asked the routine questions” is supported only by its finding that “Plaintiff was reluctant to cooperate and give O’Bryant the information for which he asked.” The court also found, however, that O’Bryant did obtain all of the requested information and that Harris never raised his voice. Furthermore, Harris’ failure to fully cooperate occurred after he was in the task force office, when, according to the findings of the district court, he had already been arrested. Even if an uncooperative attitude in answering questions could rise to the level of resisting arrest under Ohio law, Harris could not have resisted an arrest that had already been effectuated.
Finally, the district court’s reliance on Harris’ “blading” of his body is also unavailing. As with Harris’ failure to fully cooperate in answering questions, this action occurred after he had already been arrested and was in the task force office, and thus could not have supported a charge of resisting arrest. Moreover, according to the district court’s own description, “[w]hen a person blades their body, they turn away from the person they are blading their body against. This is done because a person with a bladed body presents less of a target to hit.” J.A. at 133. The fact that Harris adopted a defensive posture, perhaps out of fear that he would be struck by one of the agents, cannot be said to have delayed his arrest recklessly or by force.
I would emphasize that the facts of this case are very different from those cited by the majority in support of its view that a reasonable factfinder could conclude that Harris resisted arrest. As the majority notes, in Hansen, the plaintiff pulled away from the officers and struggled with them. Hansen,
The majority cites Keegan as well, but this case is of no help to its position, for, as noted above, Keegan interprets Ohio law to prohibit “physical activity which prevents or delays an arrest.”
In my view, a cautious individual could not have believed that Harris was guilty of resisting arrest based on this conduct, and there was no probable cause to charge Harris with that crime, satisfying the second requirement of a showing of malicious prosecution. The parties stipulated that Harris was not convicted of resisting arrest — in other words, that he met the final requirement for a malicious prosecution claim, which is that the prosecution was terminated in his favor. I turn, then, to the first requirement: that Harris demonstrate malice in the bringing of the charge against him.
Despite the majority’s skepticism regarding Harris’ “invitation to presume malice,” Ohio courts have long and repeatedly held that malice may be inferred from the absence of probable cause. In other words, absence of probable cause is evidence of malice, under Ohio law. See, e.g., Melanowski v. Judy,
