Lead Opinion
In this interlocutory appeal, Defendant-Appellant John Durastanti, an agent with the federal Bureau of Alcohol, Tobacco, Firearms and Explosives (“ATF”), appeals the district court’s decision denying him qualified immunity from Plaintiff-Appellee Ricky Lee Thomas’ claim that Agent Durastanti violated Mr. Thomas’ Fourth Amendment right to be free from unreasonable seizures when Agent Durastanti shot Mr. Thomas. In an interlocutory appeal from the denial of qualified immunity, this court’s jurisdiction is limited to consid
I. BACKGROUND
“The first step in assessing the constitutionality of [Agent Durastanti’s] actions is to determine the relevant facts.” Scott v. Harris,
As noted, there is a video recording of a significant part of the incident at issue here. While a court considering a summary judgment motion based upon qualified immunity “usually” must “adopt[ ] ... the plaintiffs version of the facts,” that is not true to the extent that there is clear contrary video evidence of the incident at issue. Scott,
Viewed in that light, the evidence
The three men in the car — driver Almario Smith, his brother, Plaintiff Ricky Lee Thomas, and a friend, Keith Jones— were actually test-driving the Lincoln, with the permission of the dealership that owned the car. All three men concede that Mr. Smith was speeding, but Mr. Thomas and Mr. Jones contend that Mr. Smith was not otherwise driving erratically. The three men stopped at Mr. Smith’s mother’s house to see if she was home so Mr. Smith could show her the car. Not finding her at home, the trio left her house soon after arriving. At the time they left Mr. Smith’s mother’s home, Mr. Smith was driving, Mr. Thomas was in the front passenger seat, and Mr. Jones was in the back seat. Using the freeway, Mr. Smith drove to a Valero gas station/convenience store so Mr. Jones could use the restroom and buy a pack of cigarettes.
The state trooper, the two ATF agents, and the Lincoln all arrived at the gas station at about the same time. Mr. Smith entered the parking lot approximately ten seconds ahead of both the state trooper and the ATF agents. The parking lot was busy and there were few parking spots open. Mr. Smith stopped the Lincoln parallel to the convenience store, not in a designated parking space but between the two driveways that led from the parking lot back onto the street from where the Lincoln had just come. The ATF agents entered the parking lot using the driveway that was directly in front of the Lincoln and parked facing the Lincoln, partially blocking the driveway that was the Lincoln’s most natural path out of the lot. The state trooper activated all of his emergency lights as he turned into the gas station, entered the parking lot through the driveway behind the Lincoln and parked a car’s length behind and at an angle to the Lincoln.
The ensuing events occurring in the convenience store parking lot lasted approximately thirty-seven seconds. After the Lincoln stopped, Mr. Jones, who was in the back passenger seat, started to get out of the ear to go inside the store when he noticed two men approaching with guns drawn and pointed at the Lincoln — the ATF agents, dressed in plain clothes and giving no indication that they were police officers. It is undisputed that Agent Durastanti never identified himself as a police officer. And, although Agent Thompson asserted that he yelled “police,” the men in the Lincoln never heard it.
The two armed approaching men, Agents Durastanti and Thompson, yelled for Mr. Jones to get back inside the car. At the same time, the state trooper, who had parked his marked patrol car, with its emergency lights activated, behind the Lincoln, partially exited his patrol car and yelled: “Have a seat in the car. Have a seat in the car.” Video at 15:15:34-36. The trooper then yelled at the occupants of the Lincoln to put them hands where the trooper could see them. Mr. Jones reentered the Lincoln. All of this was visible to Agent Durastanti including the troop
Once he reentered the Lincoln, Mr. Jones alerted Mr. Smith and Mr. Thomas about the two approaching armed men. Mr. Thomas feared that the two men intended to rob the Lincoln’s occupants or otherwise harm them. According to Mr. Jones and Mr. Thomas, none of the men in the Lincoln noticed the state trooper behind them; Mr. Thomas finally saw the trooper when Mr. Thomas looked back for an escape route away from the two armed men approaching the Lincoln. But he did not have time to tell Mr. Smith, who was driving the Lincoln, about the trooper.
In an effort to get away, Mr. Smith began to drive the Lincoln out of the parking lot, maneuvering around the ATF agents’ SUV, which was partially blocking the Lincoln’s path. Agent Thompson, who was approaching the driver’s side of the Lincoln, had to move out of the way of the Lincoln; as he did so, Agent Thompson hit the Lincoln’s front passenger window with the butt of his weapon, trying to break the glass. Agent Durastanti proceeded from the driver’s side of the agents’ SUV toward the rear of that vehicle and into the path of the Lincoln as it headed around the agents’ SUV toward the parking lot exit. Agent Durastanti would testify later that he was concerned that Agent Thompson was in distress, that the Lincoln was coming directly at him and his objective was to stop the Lincoln. ApltApp. 114— 115. Agent Durastanti fired several shots at the driver. The Lincoln, nevertheless, continued out of the parking lot, hitting Agent Durastanti, who rolled off its hood, landed on his feet, turned around and then fired two more shots at the back of the Lincoln as it proceeded down the street away from the Valero station. The state trooper and Agent Thompson gave chase. During the chase, the state trooper observed the driver open the door of the Lincoln and discard a plastic bag onto the street. Ultimately, the Lincoln stopped a few blocks away. Mr. Smith had been shot in the head; Mr. Thomas had suffered a gunshot wound to his leg.
A search of the Lincoln and its occupants revealed no weapons. Mr. Smith, the Lincoln’s driver, later pled guilty to two counts of assaulting a federal officer and, in doing so, admitted that he had driven at the agents as he drove out of the convenience store parking lot. The Lincoln’s occupants had been transporting crack cocaine for a planned sale. No criminal charges were brought against either passenger.
Mr. Thomas sued both ATF agents, Durastanti and Thompson, under Bivens,
This court has jurisdiction under 28 U.S.C. § 1291 to consider Agent Durastanti’s interlocutory appeal taken from the denial of qualified immunity, but only to the extent the district court’s order rested on issues of law. See Ashcroft v. Iqbal, — U.S.-,---,
II. DISCUSSION
“We review de novo the district court’s summary judgment decision.” Cordova v. Aragon, Berry & Murphy, P.C. v. Carolina Cas. Ins. Co.,
First, a court must decide whether the facts that a plaintiff has alleged (see Fed. Rules Civ. Proc. 12(b)(6), (c)) or shown (see Rules 50, 56) make out a violation of a constitutional right. Second, if the plaintiff has satisfied this first step, the court must decide whether the right at issue was “clearly established” at the time of defendant’s alleged misconduct.
Pearson v. Callahan, — U.S. -, 129 5. Ct. 808, 815-16,
A. Whether Mr. Thomas has sufficiently established a claim that Agent Durastanti violated the Fourth Amendment by using excessive force
In his complaint, Mr. Thomas does not allege that Agent Durastanti could not have seized him. Instead, Thomas alleges that, in seizing him, Agent Durastanti “use[d] ... excessive force,” contrary to the Fourth Amendment,
To state an excessive force claim “under the Fourth Amendment, plaintiffs must show both that a ‘seizure’ occurred and that the seizure was ‘unreasonable.’ ” Childress v. City of Arapaho,
First, Mr. Thomas may have been seized when the state trooper tried to pull over the Lincoln in the convenience store parking lot, and the ATF officers approached the car at that time with guns drawn. While Mr. Thomas argued before the district court that this constituted a seizure, the district court did not address that argument in ruling on Agent Durastanti’s motion for qualified immunity. Mr. Thomas, similarly, does not address that possible seizure now on appeal and, therefore, we need not address it either.
Second, Mr. Thomas was clearly seized after the shooting, when officers arrested him, and the other occupants of the car, several blocks away from the convenience store. Mr. Thomas does not challenge the force used to effect that seizure.
Finally, Mr. Thomas may have been seized when Agent Durastanti shot him as the Lincoln drove out of the convenience store parking lot. This alleged seizure is at issue in this interlocutory appeal.
The parties devote considerable time and effort litigating whether the Agent Durastanti’s shot — a shot that hit Mr. Thomas but failed, at least initially, to stop the Lincoln’s progress — constitutes a “seizure” for purposes of the Fourth Amendment. Compare Brower,
Even assuming without deciding Mr. Thomas can meet the seizure element of his claim, however, he cannot show that it was unreasonable. In analyzing the reasonableness of an alleged seizure, the key inquiry is “whether it would be clear to a reasonable officer [in the defendant’s position] that his conduct was unlawful in the situation he confronted.” Simkins v. Bruce,
The district court determined, based on disputed facts about the speed of the Lincoln and the position of Agent Durastanti when he fired his third and fourth rounds at the Lincoln, that a genuine dispute of material fact exists as to whether a reasonable officer would have used deadly force. ApltApp. 782-83. The district court also concluded that Agents Thompson’s and Durastanti’s actions — pointing their weapons at the car and failing to announce themselves as police officers — may be deemed (by a jury) reckless acts that created the need to use force. Id. at 782.
Agent Durastanti argues that his use of deadly force was justified because he reasonably perceived that the Lincoln posed an immediate threat of death. Aplt. Br. 26-27. When evaluating the reasonableness of force employed in seizure, we consider “the severity of the crime at issue, whether the suspect poses an immediate threat to the safety of the officers or others, and whether the suspect is actively resisting arrest or attempting to evade arrest by flight.” Graham,
After Scott, we agree that the speed of the Lincoln is not a genuine dispute of material fact, even recognizing that the video does not capture the entire episode. The video does capture the Lincoln just after it began to move from the convenience store parking lot, and only about two or three seconds expire between that moment and the moment when Agent Durastanti rolled over the hood of the Lincoln. The Lincoln is obscured from view behind the agents’ SUV for less than a second. Although Mr. Thomas maintains certain witnesses claim that the Lincoln slowed and perhaps even stopped, Aplee. Br. 43, that contradicts the video evidence. The video sufficiently captures the path of the Lincoln and its speed as well as its close proximity to the agents. There seems to be no room for genuine disagreement as to the speed of the Lincoln — it was moving
To be sure, Mr. Thomas argues that the videotape fails to show other critical events, such as (1) Agent Durastanti stepping into the Lincoln’s path, (2) Agent Durastanti’s first shots, and (3) whether Agent Durastanti could have stepped out of the way. Aplee. Br. 42. The first of these events is immaterial, given that Agent Durastanti undoubtedly was in the Lincoln’s path in a very confined area (after all, the video captures him emerging from behind the Expedition and then on the hood of the Lincoln). As to the second of these events, while Agent Durastanti’s position when he fired the first shots is not visible, the sound of the shots can be heard and less than a second expires between the moment the shots were fired and the moment Agent Durastanti appeared in the video on the hood of the Lincoln. Though logic would seem to dictate that Agent Durastanti was in front of the Lincoln when he fired the shots (and could not have been to the side of the Lincoln as Mr. Thomas suggests, Aplee. Br. 33), he certainly was in close proximity. See Waterman v. Batton,
But even if we accept Mr. Thomas’ argument that the videotape does not conclusively establish the speed of the Lincoln, we would still conclude that Agent Durastanti’s actions were objectively reasonable. See Scott, 550 U.S at 380,
The sequence of events leading up to the time when the Lincoln struck Agent Durastanti is key in analyzing the reasonableness of Agent Durastanti’s actions because Mr. Thomas’ affidavit states that he was wounded in the first volley of shots. Aplt. App. 292. If this is indeed when Mr. Thomas was wounded, it was certainly reasonable for Agent Durastanti to believe that he was in danger at the “precise” time he fired the first two shots and seized Mr. Thomas. See Sevier,
On appeal, Mr. Thomas also suggests that he was wounded in the second volley that Agent Durastanti fired. See Aplee. Br. 10-11, 40, 44. Even if Mr. Thomas was wounded after Agent Durastanti rolled off the Lincoln, however, Agent Durastanti’s use of deadly force two seconds after the first shots was still justified. Although the district court concluded that Agent Durastanti’s position when he fired the second two shots was a disputed material fact, ApltApp. 783, this fact cannot be disputed because Agent Durastanti’s position at that time is clearly shown on the video. See Scott,
Agent Durastanti also argues that he was justified in firing the second round because a reasonable officer in his position could readily conclude that the Lincoln’s occupants were at that point dangerous fleeing felons. Deadly force may be used to prevent the escape of a fleeing felon if the officer has probable cause to believe that the felon poses a significant threat of death or serious physical injury to the officers or others. Tennessee v. Garner,
Even if Agent Durastanti reasonably believed that it was necessary to use deadly force, we must still determine whether he recklessly or deliberately brought about the need to use such force. See Jirón,
Mr. Thomas argues the agents were supposed to remain observers of the traffic stop and that at the moment Agent Durastanti exited his vehicle with his weapon drawn, he had no reason to suspect that the occupants of the Lincoln had done anything other than commit a traffic violation. Aplee. Br. 51. According to Mr. Thomas, Agent Durastanti’s reckless conduct drawing his weapon brought about the assault and the need to use deadly force. Aplee. Br. 51-52. Mr. Thomas also stresses that the occupants of the vehicle had not heard Agents Thompson and Durastanti identify themselves as police — in fact, Mr. Thomas argues that they never in fact identified themselves as police. Aplee. Br. 52. Agent Durastanti, on the other hand, testified that he became involved when it appeared that the trooper did not have full control over the stop. ApltApp. 467-68. He argues that the district court wrongfully viewed the events from the perspective of the Lincoln’s occupants and did not take into account other circumstances, such as the prior indication of criminal activity on the part of the Lincoln’s occupants (including the agent’s observation of the Lincoln driving at 45-70 m.p.h. in a 30 m.p.h. residential zone and the fact that the Lincoln’s registration was reported as not-on-file) and the presence of the marked patrol unit. Aplt. Br. 42, 44-50; ApltApp. 97, 495.
The parties agree that Agent Durastanti did not identify himself as a police officer. Aplee. Br. 52. The district court characterized the dispute over whether Agent Thompson identified himself by saying that Mr. Thomas introduced “evidence that no individuals in the Lincoln heard Thompson state that he was a police officer.” ApltApp. 780. Accepting the district court’s characterization of the dispute as a dispute over whether the occupants of the Lincoln heard Thompson identify himself — as opposed to whether he actually did identify himself — is immaterial. We must view the events from the perspective of the officer, not the occupants of the Lincoln. Graham,
That leaves whether Agent Durastanti’s decision to draw his weapon was reckless. Although the district court referred to the agents’ “pointing their weapons,” Aplt. App. 782, the parties offer different accounts of when the agents drew their weapons and whether they were aimed initially at the Lincoln or its driver, or not at all. Compare Aplt. Br. 46-47 with Aplee. Br. 15, 48, 51, 54. Given this uncertainty, we must view the facts presented in the light most favorable to Plaintiff, Walker v. City of Orem,
As an initial matter, it is clear that “[a] law enforcement agent, faced with the possibility of danger, has a right to take reasonable steps to protect himself ... regardless of whether probable cause to arrest exists.” United States v. Merkley,
By way of background, Mr. Thomas repeatedly maintains that the occupants of the Lincoln submitted to the state trooper’s lawful authority prior to the Lincoln pulling out. Aplee. Br. 16, 36, 51. Accordingly, up until that point, the agents’ drawing their weapons did not provoke the Lincoln’s occupants. Thereafter, and given the wide latitude given officers to assess threats, an objectively reasonable officer could draw his weapon under these circumstances. See United States v. Holt,
B. Whether, assuming a violation of the constitutional right against unreasonable seizure, the right was clearly established
Even assuming that Agent Durastanti did violate Mr. Thomas’ constitutional right against an unreasonable seizure, we must determine whether that right was “clearly established.” See Perez v. Ellington,
On appeal, Mr. Thomas relies upon the two cases that the district court identified as providing the clearly established law that Agent Durastanti violated. First, the court cited Holland ex rel. Overdorff v. Harrington,
Holland is not factually analogous. In Holland, the police pointed firearms at children and held the children at gunpoint after the officers had gained complete control of the situation.
A more analogous case is Robinson, where an INS agent identified himself as police, told the driver to put his hands up, and pointed his firearm at the driver.
The dissent contends that we have ignored the most relevant disputed facts, specifically how Agent Durastanti ended up in front of the Lincoln and where he was when the first shots were fired, in addition to placing too great a focus on a relevant disputed fact, the speed of the Lincoln. Yet the dissent also urges that “in disregarding the factual dispute regarding the Lincoln’s speed,” Dissent at 672, we have misapplied Scott,
We must disagree with the dissent’s analysis. As we have explained, the events must be evaluated from the perspective of a reasonable, even if mistaken, officer. Agent Durastanti observed what appeared to be a stolen vehicle being driven in a reckless manner as though in flight, something more than a mere traffic violation. The Lincoln then submitted to a uniformed state trooper’s show of lawful authority until it began pulling out of the parking lot. Agent Durastanti observed this. Once the Lincoln pulled away, Officer Durastanti was certainly' entitled to assist in regaining control of the situation even if it brought him into close proximity of the Lincoln. See Armijo ex rel. Armijo Sanchez v. Peterson,
Given Mr. Thomas’s version of the events and what the record establishes, we have addressed the legal question of whether the force was excessive. See Scott,
REVERSED.
Notes
. Here, as in Scott, "[t]here are no allegations or indications that [the] videotape” of the incident in question "was doctored or altered in any way, nor any contention that what it depicts differs from what actually happened.” Scott,
. Before the district court, Agent Durastanti challenged the evidence that Mr. Thomas submitted in response to Agent Durastanti’s summary judgment motion. However, he does not reassert those arguments now on appeal.
. Bivens v. Six Unknown Named Agents of Fed. Bureau of Narcotics,
. Given that qualified immunity protects "all but the plainly incompetent or those who
. The Tenth Circuit has applied these jurisdictional principles, not only in § 1983 litigation against state actors, but also to Bivens actions brought against federal officials. See Weise v. Casper,
. In addition to this Fourth Amendment excessive force cause of action, Mr. Thomas argues on appeal that the Fifth Amendment substantive due process clause also provides an alternative basis for his damages claim. But the district court held that, because he
. In particular, Mr. Thomas' argument that the Lincoln "inched” away and “carefully navigated” past the SUV, see Aplee. Br. 38, is belied by the video.
. Mr. Thomas argues that we cannot consider the plea documents because they are hearsay. "To be considered on a motion for summary judgment, the plea agreement must accordingly fall within one of the exceptions to the hearsay rule.” In re Slatkin,
. The fact that Agent Durastanti observed the occupants in the Lincoln submit to the lawful authority of the uniformed state trooper who had his emergency lights flashing readily distinguishes this case from Gutierrez-Rodriguez v. Cartagena,
Dissenting Opinion
dissenting.
I agree with the majority opinion’s Sections I and II, as well as the opinion’s general discussion of the law pertaining to Fourth Amendment excessive force claims. Further, I would conclude, as the majority assumes, that under the circumstances of this case Plaintiff Ricky Lee Thomas was seized when Defendant John Durastanti shot him. But I cannot .agree with the remainder of the majority opinion and would, instead, affirm the district court’s decision to deny Durastanti qualified immunity because there are genuinely disputed material facts that a jury, and not this court, must resolve.
Thomas alleged that Durastanti seized him using excessive force. “The reasonableness of the use of force depends not only on whether the officers were in danger at the precise moment , that they used force, but also on whether the officers’ own reckless or deliberate conduct during the seizure unreasonably created the need to use such force.” Jiron v. City of Lakewood,
In defense of Thomas’ allegation that Durastanti, not being in any immediate danger, deliberately stepped into the Lincoln’s path and began shooting in order to stop the Lincoln’s flight, Durastanti asserts, to the contrary, that he was rushing around the back of his Explorer to check on his partner and in doing so found himself confronted by the Lincoln accelerating towards him as it headed out of the parking lot. Being only a car’s length away from the Lincoln and unable to get out of its way, Durastanti feared for his life and therefore shot at the Lincoln in self defense.
Confronted with these divergent stories, the district court held that factual disputes material to this claim precluded entering summary judgment for Durastanti based upon qualified immunity, specifically determining that “[t]he actions of all the individuals involved in this incident are in dispute.” (Aplt.App. at 780.) We do not have jurisdiction, in this interlocutory appeal, to consider the propriety of the district court’s determination that there remain disputed issues of material fact. See Couture v. Bd. of Educ. of Albuquerque Pub. Sck,
The majority is able to avoid these factual disputes only by focusing on less relevant aspects of the incident and avoiding entirely the most relevant disputed facts. In addressing Thomas’ first theory of recovery, the majority focuses almost exclusively on the speed at which the Lincoln was traveling out of the parking lot. While that is relevant to Thomas’ claim, it is certainly not the most crucial disputed fact.
Moreover, in disregarding the factual dispute regarding the Lincoln’s speed, the majority misapplies Scott v. Harris,
Scott provides an exception to the usual rule that a court, in considering a motion for summary judgment based upon qualified immunity, must accept the facts as the plaintiff has alleged and supported them. See
The majority opinion further concludes that it is immaterial that the video does not show Durastanti stepping into the path of the Lincoln, because it is a “[gjiven that [he] undoubtedly was in the Lincoln’s path.” But how he got in the Lincoln’s path is a fact critical to Thomas’ theory of recovery. The majority further assures us that, although the video does not show where Durastanti was when he first shot into the car, we can use “logic” to surmise where he must have been. That fact, too, is crucial to Thomas’ claim and it remains
The majority thus errs in relying on Scott to disregard a genuine factual dispute regarding the speed of the Lincoln when Durastanti shot into the car. Moreover, the majority does not even address the district court’s determination that there were genuine disputes regarding the facts most material to Thomas’ claim, how Durastanti got in front of the Lincoln and where he was when he first shot into that car. We do not have jurisdiction to review that determination. See Couture,
. It is not obvious that the fact that the Lincoln was traveling "deliberately” out of the parking lot is contrary to the district court’s determination that Thomas had evidence that the Lincoln was moving very slowly. One acts deliberately by acting in a deliberate manner, "characterized by or resulting from slow careful consideration of effects and consequences,” and in a "slow, unhurried and steady manner.” Webster’s Third Int’l Dictionary, 596 (1986). A person could surely drive both deliberately and very slowly.
. In this respect, this case is very different from Scott. In Scott, Victor Harris sued Deputy Scott alleging the officer used excessive force to stop Harris after Harris refused to stop when the officer tried to pull him over for speeding. See
. I would also conclude, contrary to the majority, that the district court correctly determined that the law governing excessive force claims was clearly established. In addressing an excessive force claim,
[a]n officer using force in the course of a seizure of a citizen is entitled to qualified immunity unless the level of force violated clearly established Fourth Amendment law.... This inquiry turns on the objective legal reasonableness of the action, assessed in light of the legal rules that were clearly established at the time it was taken.
Thomson v. Salt Lake County,
It was clearly established by January 2006 that the use of "deadly force is justified only if a reasonable officer in the officer’s position would have had probable cause to believe that there was a threat of serious physical harm to himself or others.” Cordova v. Aragon,
