Lead Opinion
This appeal raises interesting questions about the contours of 42 U.S.C. § 1983 (1988) and the reach of the Supreme Court’s core holding in DeShaney v. Winnebago County Social Servs. Dep’t,
I. BACKGROUND
Consistent with the method of Fed. R.Civ.P. 56, we canvass the material facts in a light that flatters, but does not impermissi-bly distort, the plaintiffs claims. We then recount the travel of the ease.
A. The Facts.
We outline the facts, omitting the graphic details on which our dissenting brother prefers to dwell. In our view, these details are not relevant to the legal issues posed on appeal.
In the early morning hours of May 26, 1988, plaintiff-appellant Wilfredo Martinez Rodriguez (Martinez), a youthful member of Puerto Rico’s police force, drove to the Loiza Street Precinct, located in the San Juan metropolitan area. Though Martinez was not scheduled to begin his shift until 4:00 a.m., he arrived early, pursuant to local custom, in order to procure his post assignment. Martinez alleges that he was on duty from the moment he arrived — even before his shift began — because from that point forward he was subject to the shift commander’s orders.
Upon Martinez’ arrival, a fellow officer who was on duty at the time, Angel Valentin Corali (Valentin), approached Martinez’ car and called him “pretty boy” (“papito lindo”). When Martinez alighted, Valentin drew his service revolver, pointed it at Martinez’ stomach, cocked the hammer, placed his finger on the trigger, and inquired if Martinez was afraid. Valentin then disarmed the weapon, and Martinez hurried inside the station, first telling Valentin: “Don’t horse around with that because you will kill me.”
Shortly after this fracas had occurred, Valentin accosted Martinez in the radio room, inserted his finger into a small hole in Martinez’ undershirt, and ripped it. Once again, Martinez walked away from Valentin. He then changed into his uniform, entered the waiting room, and reported to his shift supervisor, defendant-appellee Juan Trinidad Mar-rero (Trinidad).
Soon thereafter, Valentin reappeared, pointed his revolver at Martinez’ genitals, cocked the hammer, and, with his finger on the trigger, threatened to “blow away” Martinez’ penis (asking him, somewhat rhetorically, if he was scared). When Valentin lowered the weapon, Martinez immediately moved away from him. Within minutes Valentin again approached Martinez, cocked the revolver, aimed it at Martinez’ groin, and resumed his taunting. The revolver accidentally discharged, maiming Martinez.
The first encounter took place in the precinct’s parking lot and the rest transpired
B. Travel of the Case.
On May 22, 1989, Martinez filed suit in federal district court against numerous defendants, including, as relevant here, Rafael Colon Pizarro (Colon), Luis A. Velez Rentas (Velez), and Trinidad (collectively, “the officers” or “the defendants”).
After a flurry of pretrial discovery, the officers moved for summary judgment. They argued, inter alia, that Valentin was not acting under color of state law when the mishap occurred; and that, therefore, onlooker officers did not have a constitutional duty to intervene on Martinez’ behalf. The district court referred the motions and Martinez’ timely opposition to a magistrate judge. The magistrate concluded that, under DeShaney, the officers had no constitutional obligation to protect Martinez from Valentin’s actions, and urged the district court to grant summary judgment. The plaintiff objected to the magistrate’s report and recommendation, but the district court, affording de novo review, see Fed.R.Civ.P. 72(b), adopted the report, accepted the recommendation, and entered judgment accordingly. This appeal followed.
II. THE SUMMARY JUDGMENT STANDARD
A district court may grant summary judgment only “if the plehdings, depositions, answers to interrogatories, and admissions on file, together with the affidavits, if any, show that there is no’ genuine issue as to any material fact and that the moving party is entitled to a judgment as a matter of law.” Fed.R.Civ.P. 56(c). We have charted the boundaries of this rule in case after ease, see, e.g., Coyne v. Taber Partners I,
For present purposes, we need say no more than that summary judgment will lie if the record, even when taken in the aspect most favorable to the nonmovant, see Rivera-Muriente,
To that extent, then, our task is simplified. Exercising de novo review, see Pagano,
III. ANALYSIS
There are two essential elements of an action under section 1983: “(i) that the conduct complained of has been committed under color of state law, and (ii) that this conduct worked a denial of rights secured by the Constitution or laws of the United States.” Chongris v. Board of Appeals,
For purposes of this appeal, the defendants do not contest the plaintiffs allegation that, at all relevant times, the defendants were on duty and acting under color of state law. This concession reduces our inquiry to whether the facts, taken most congenially to the plaintiff, can support a finding that the defendants violated a right secured to the plaintiff either by the Constitution or by federal law. Since the plaintiff has not alleged the transgression of any right secured to him under a federal statute, we may narrow the inquiry still further, limiting it to whether the facts show a violation of a constitutional right. It is to this elusive question that we next proceed.
A. The Duty to Intervene.
Plaintiff pins his hopes principally on a claim that the defendants’ failure to protect him from the imminent peril posed by Valentin abridged his right to substantive due process. The touchstone of the law in this area is the Supreme Court’s opinion in DeShaney. There, a child sued for damages under 42 U.S.C. § 1983, claiming that employees of a state-run social service agency, on notice of a parent’s abusive behavior, nonetheless failed to protect the child from the readily foreseeable danger. See DeShaney,
Although the DeShaney Court left open the possibility of certain circumscribed exceptions to the general rule of nonliability, Martinez makes no effort to slide within them. He does not argue that he was in the custody of the state, see id. at 198-200,
To the extent that this contention is based simply and solely on the fact that, unlike in DeShaney, the defendants here are police officers, not social workers, we reject it. Of course, police officers sometimes have an affirmative duty to intervene that is enforceable under the Due Process Clause. For example, “[a]n officer who is present at the scene [of an arrest] and who fails to take reasonable steps to protect the victim of another officer’s use of excessive force can be held liable under section 1983 for his nonfea-sance,” provided that he had a “realistic opportunity” to prevent the other officer’s actions. Gaudreault v. Municipality of Salem,
Gaudreault illustrates the point. The quoted statement specifically contemplates that the underlying tortious conduct take place within the context of an arrest, interrogation, or similar maneuver, see Gaudreault,
Private violence — even private violence engaged in by one who happens to work for the state — has different legal ramifications than violence attributable to state action. See, e.g., Hughes v. Halifax County Sch. Bd.,
Thus we recently held, in light of DeShaney, that a district attorney’s office had no constitutional obligation to protect a citizen against self-inflicted private violence (there, noncustodial suicide) alleged to have been caused by the state’s implication of him in a multiple murder case. See Souza v. Pina,
Translated to the police milieu, these cases mean that when an on-duty police officer witnesses violence, the existence vel non of a constitutional duty to intervene will most often hinge on whether he is witnessing private violence or violence attributable to state action. It remains to be seen how and where the line that separates one from the other should be drawn.
B. Private Action.
In attempting to distinguish private violence from violence attributable to state action for purposes of applying the DeShaney rule, courts must beware simplistic solutions. To be sure, violence is attributable to state action if the perpetrator is acting under color of state law, see, e.g., Earnest v. Lowentritt,
The point is that segregating private action from state action calls for a more sophisticated analysis. In general, section 1983 is not implicated unless a state actor’s conduct occurs in the course of performing an actual or apparent duty of his office, or unless the conduct is such that the actor could not have behaved in that way but for the authority of his office. Thus, whether a police officer is acting under color of state law turns on the nature and circumstances of the officer’s conduct and the relationship of that conduct to the performance of his official duties. See Pickrel v. City of Springfield,
We think this focus follows inexorably from West, where the Court wrote that “[t]he traditional definition of acting under color of state law requires that the defendant ... have exercised power ‘possessed by virtue of state law and made possible only because the wrongdoer is clothed with the authority of state law.’ ” West,
Logically, then, not every action undertaken by a person who happens to be a police officer is attributable to the state. Though “under ‘color’ of law means under ‘pretense’ of law,” even so, the acts of state officials “in the ambit of their personal pursuits” are not state action. Screws,
C. Separating Wheat from Chaff.
Explicating the standard for segregating private action from action attributable to the state does not complete our task. Since the private conduct of police officers does not constitute action attributable to the state and, therefore, does not give rise to section 1983 liability under DeShaney or otherwise, we must determine whether Valentin, at the time and place in question, was engaged in purely personal pursuits or, conversely, whether he was acting under color of state law. To do so, we must assess the nature of his conduct in light of the totality of surrounding circumstances. See Pitchell,
Here, the record is transpicuously clear that throughout the course of Martinez’ ordeal Valentin did not exercise, or purport to exercise, any power (real or pretended) possessed by virtue of state law. To the contrary, Valentin was bent on a singularly personal frolic: tormenting an acquaintance.
Nor can it be said that Valentin’s actions were in any meaningful way related either to his official status or to the performance of his police duties. In this regard, the case bears a resemblance to Delcambre. There, the Fifth Circuit ruled that the plaintiff, who had been assaulted on the premises of the municipal police station by her brother-in-law, the police chief, had no cognizable claim under 42 U.S.C. § 1983. See Delcambre,
To be sure, Valentin shot Martinez with his service revolver, and in that sense it might be argued that the shooting was made possible by Valentin’s status as a police officer. See Cassady v. Tackett,
Even if the argument were properly before us, we would not embrace it. We do not think it is reasonable to hold that every use of a policeman’s gun, even in the course of purely personal pursuits, creates a cause of action under section 1983. Instead, we are of the view that the context in which a service
Here, plaintiff has not produced any evidence tending to show that his tormentor, when brandishing the firearm, was exercising or purporting to exercise police power.
We add an esehatocol of sorts. Even if a constitutional duty to intervene conceivably could be dragooned from these facts, then in that event the location of this case in the penumbra of DeShaney dictates that the defendants nonetheless would enjoy qualified immunity and, since appellant’s suit only seeks money damages, the defendants would be entitled to an affirmance on this alternative ground. See, e.g., Garside,
“In analyzing a claim of qualified immunity, ... we are concerned with clearly established constitutional or statutory rights of which a reasonable officer would have known at the time he took action.” Crooker v. Metallo,
Here, there can be no doubt that, at the moment the maiming of Martinez materialized, legitimate questions abounded as to whether the conduct at issue violated Martinez’ constitutional rights. After all, DeShaney had not yet been decided; thus, the whole question of a constitutional duty to intervene was cloaked in uncertainty. Even now, with the guidance furnished by the De-Shaney Court, the precise contours of the rule as it applies to onlooker officers are murky. Consequently, even if 'Martinez had some basis for a claim that the defendants owed him a duty grounded in the Constitution, the dimensions of the right were dimly perceived (if perceived at all). It follows inexorably that the defendants would be entitled to qualified immunity and, hence, entitled to brevis disposition.
D. Other Theories.
In addition to his principal due process claim, Martinez advances several other theories. All are unavailing. We mention three of them (rejecting the remainder without further elaboration).
1. Violation of Local Law. Martinez urges that the defendants’ breach of a provision of Puerto Rico’s Civil Code, P.R.Laws Ann. tit. 25, § 1003 (1980),
It is established beyond peradventure that a state actor’s failure to observe a duty imposed by state law, standing alone, is not a sufficient foundation on which to erect a section 1983 claim. See, e.g., Amsden,
Moreover, while the plaintiff states that section 1003 creates a constitutionally protected “entitlement” under Board of Regents v. Roth,
In sum, Roth is a round hole, and Martinez’ square peg of a case does not fit within it.
2. Equal Protection. The plaintiff makes the bold assertion that he was denied lights secured to him under the Equal Protection Clause because, were he a private citizen, the defendants would almost certainly have come to his rescue. He does not embellish this ipse dixit in any way.
3. Supervisory Liability. Finally, the plaintiff maintains that Trinidad, if not hable under section 1983 as an onlooker officer, may be held liable qua shift supervisor for Valentin’s acts. “Supervisory liability attaches only if a plaintiff can demonstrate by material of evidentiary quality an affirmative link between the supervisor’s conduct and the underlying section 1983 violation.” Maldonado-Denis v. Castillo-Rodriguez,
IV. CONCLUSION
We need go no further. Because the defendants’ failure to intervene and protect the plaintiff against Valentin’s private actions, though regrettable, cannot be said to have violated rights secured to the plaintiff by the United States Constitution, see DeShaney,
AFFIRMED.
Notes
.In his memorandum of law in support of his opposition to defendant Carlos Lopez-Feliciano's motion to dismiss, Martinez stated that "the revolver apparently fired by accident." Record Appendix at 21. At any rate, the summary judgment record contains no facts that would support a contrary finding; and, for aught that appears, Martinez has never asserted that Valentin shot him intentionally.
. Plaintiff asserted claims against several other defendants, including Valentin and Lopez-Felici-ano. Those claims are not before us, and we ignore them for purposes of this opinion.
. Although the underlying facts are hotly contested, we assume for purposes of this appeal, as Martinez would have it, that all three defendants witnessed the entire progression of events and had a meaningful opportunity to intervene at each step along the way.
. A constitutional duty to intervene may also arise if onlooker officers are instrumental in assisting the actual attacker to place the victim in a vulnerable position. See, e.g., Byrd v. Brishke,
. To use the plaintiff's spoken characterization, Valentin was "hors[ing] around”; or, as plaintiff put it in his second amended complaint, "playing ‘Russian roulette’ with another man's genitalia
. Had Martinez been a civilian rather than a fellow officer, the significance of Valentin's uniform and weapon for purposes of the color-of-law determination might well have been greater. See, e.g., Jones v. Gutschenritter,
. The statute provides in pertinent part that police officers have a duty
to protect persons and property, to maintain and keep the public order, to observe and secure the utmost protection of the civil rights of the citizens, to prevent ... crime and ... enforce obedience to the laws....
P.R.Laws Ann. tit. 25, § 1003 (1980).
. The absence of a constitutional duty to intervene in no way detracts from the callous nature of the conduct attributed to the officers in this case, nor does it imply that onlooker officers confronted by private violence may not have a state law duty to intervene. That question, quite simply, lies beyond the borders of this opinion.
. This criticism rests neither on the economy of Martinez' asseveration nor on its potential incoherence, but, rather, on the utter lack of any legal foundation provided for the claim; Martinez makes reference to no constitutional provision, no statute, no case law, no treatise, not even a law review article. Parties to legal controversies must do more than allege unsupported facts to survive summary judgment; they must at the very least explain the basis for, and the legal significance of, those facts.
. To the extent that our dissenting colleague proposes that the defendants’ nonintervention cannot be deemed rational, see. post at pp. 992-93, this is merely another way of disagreeing with our conclusion that Valentin's conduct was private, not public. As for the larger issue of drawing distinctions between the private and the public, we note simply that such distinctions are regularly and validly drawn by courts and legislatures alike. See, e.g., Westlands Water Dist. v. Amoco Chem. Co.,
.Moreover, Trinidad was not the supervisor on Valentin's shift (during which Martinez was shot), but, rather, on the subsequent 4:00 a.m. to 12 noon shift. Thus, it is far from clear that supervisory liability would be a viable theory visa-vis Trinidad even if an underlying constitutional violation could be shown.
. Of course, the dismissal operates without prejudice to whatever rights plaintiff may have to prosecute the pendent claims in the courts of Puerto Rico. See Feinstein v. RTC,
Dissenting Opinion
dissenting.
For the reasons that follow, I cannot join the majority opinion. I start with the facts. Although the majority’s factual recitation is not inaccurate, it is not a full-bodied portrayal of what happened.
I.
Plaintiff, Martinez, was a young (age twenty) and comparatively new member of the Puerto Rico Police Force. On the day of the events giving rise to this case, he arrived at the police station sufficiently early to be given his duty assignment. Martinez parked his car in the police parking lot. He got out of his car and started towards the police station to get his orders for the day. There were four other police officers in the lot: the defendants — Colon, Vélez and Trinidad — and Valentin, who is not a defendant. As the majority acknowledges, the defendants were, at all relevant times, on duty as police officers and acting under color of state law. The three defendants observed the events that took place in the parking lot and the police station and heard Valentin’s denigrating remarks to Martinez. None of the defendants asked Valentin to stop his verbal and physical assaults against Martinez. To put it starkly, they stood by and watched without protest Valentin “blow away” Martinez’s penis.
As Martinez walked across the parking lot, Valentin said to the defendants, “Here comes Pretty Boy.” Valentin then accosted Martinez, drew his service revolver, pointed it directly at Martinez’s genital area, cocked it, put his finger on the trigger, asked Martinez if he was afraid, and then lowered the revolver. Martinez told Valentin: “Don’t horse around with that because you will kill me.” Martinez then proceeded into the station house. A short time later Valentin again confronted Martinez; this time he pushed his finger through a hole in Martinez’s undershirt and ripped the shirt open. The record does not disclose whether any words were spoken at this juncture. Martinez put his police uniform on and reported to his shift supervisor, defendant Trinidad.
A short time later Valentin again assaulted Martinez. This assault was similar to the first confrontation, but with an ominous threat. This time Valentin pushed the muzzle of his loaded and cocked revolver into the front of Martinez’s pants and threatened to “blow away” Martinez’s penis. Valentin then asked Martinez if he was scared. After Valentin withdrew the weapon, Martinez moved away from him.
A short time later, within minutes, Valentin again accosted Martinez. He loaded and cocked his revolver and then inserted it into the front of Martinez’s pants while continuing to verbally abuse him. The charade ended when Valentin’s revolver discharged. Valentin’s prior threat became a reality; Martinez’s penis was in fact blown away and he was rendered permanently impotent.
The majority calls the shooting accidental and says, “All parties agree that the shooting ... was unintentional.” Ante at 983. Whether the shooting was accidental or not, it can be concluded, based on Valentin’s words and actions, that it was an accident that was bound to happen. What Valentin did makes Russian roulette seem like a parlor game.
II.
The majority’s central holding is premised on a ruling that Valentin was not acting under color of state law. In my view, the facts taken in the light most favorable to plaintiff establish that Valentin was acting under color of state law.
As the majority points out: “ ‘[T]he traditional definition of acting under color of state law requires that the defendant have exercised power possessed by virtue of state law and made possible only because the wrongdoer is clothed with the authority of the
Even if I disregard the obvious — that Valentin was in uniform, on duty, in the police station, and used his service revolver to commit the tort (all of which militate heavily in favor of a finding that Valentin abused his position as a police officer) — I believe that Valentin’s status as a police officer was the only reason the defendants took no action. If Valentin had been a private citizen and had been tormenting Martinez in the same manner, the bystander officers certainly would have intervened. The record gives rise to a reasonable inference that Valentin’s police-officer status led the bystander officers to conclude that: (1) Valentin was not mentally unbalanced to the point that he might actually shoot Martinez, but a stable person only engaged in harassment or horseplay; and (2) Valentin was skilled enough with firearms to be allowed to engage in this sort of stupidity. Consequently, the record gives rise to an inference that Valentin’s police-officer status was a sine qua non of the bystander officers’ non-intervention. In my view, this inference establishes that Valentin was acting under color of state law.
The majority suggests that Martinez’s status as a police officer somehow reduced the likelihood that Martinez perceived Valentin to be acting with the imprimatur of the Commonwealth. See id. at 988 n. 6. I believe the opposite conclusion is at least as likely to be true. After the bystander officers (including Trinidad, who had supervisory authority) failed to intervene during the initial rounds of abuse by Valentin, Martinez could well have concluded that this type of hazing of young officers was standard fare in the Loiza Street Precinct. Therefore, Martinez could well have believed that the Commonwealth acquiesced in Valentin’s actions.
Because Valentin was acting under color of state law, I think it pellucid that DeShaney does not bar this suit. At most, DeShaney precludes civil rights actions against state actors under the Due Process Clause for failing to protect an individual against -private violence. See
I believe it important to comment on three discrete parts of the majority opinion. The majority concedes that Valentin’s use of his service revolver might arguably bring his actions within the color of state law. Ante at 987. This is then rejected on two grounds: that it was not raised in the district court or plaintiffs appellate brief; and on the merits. I cannot help but wonder why the straw man approach was used. In any event, I disagree on both grounds.
Fairly construed, Martinez’s argument that Valentin’s status as an on-duty police officer made him a state actor incorporates the argument that Valentin used the indicia and tools of his trade (including his service revolver) to carry out the shooting. For me,
I am also am troubled by the majority’s finding that Martinez waived his equal protection claim. Id. at 989-90. As an initial matter, I think it important to state that the claim appears to have some substance. How, after all, can it be rational for bystander officers not to intervene simply because one of their own — as opposed to a civilian — is being victimized by violence? What legitimate state objective could such inaction serve?
The majority finds that Martinez abandoned this claim because he failed to “embellish” it sufficiently. Id. I do not think that the issue needed any embellishing. It was called an equal protection claim and stated relatively clearly: “If Wilfredo had been a private citizen, it seems clear that defendants-appellees would have realized that they were obliged under the law to protect him from the threat of serious damages.” Appellant’s Brief at 9. In my view, this was sufficient to put the claim in issue.
Finally, I think it important to refute the majority’s suggestion that Valentin might not have been acting under color of state law even if Martinez had been a civilian. Ante at 988 n. 6 (“Had Martinez been a civilian rather than a fellow officer, the significance of Valentin’s uniform and weapon for purposes of the color-of-law determination might well have been greater.”) (emphasis supplied). I find the suggestion remarkable. If a civilian had suffered the abuse Martinez experienced at the hands of an on-duty, uniformed police officer using his service revolver in front of other officers in a police station, well-settled precedent would dictate a finding that the civilian was victimized under color of state law. We should not even hint that this may not be so.
III.
I also cannot agree with the majority’s conclusion that an unargued qualified immunity theory provides an alternative ground for affirmance in this case. See id. at 988-89.
Under the qualified immunity doctrine, “government officials performing discretionary funetions[] generally are shielded from liability for civil damages insofar as their conduct does not violate clearly established statutory or constitutional rights of which a reasonable person would have known.” Harlow v. Fitzgerald,
The majority suggests that Martinez’s right to have the bystander officers intervene on his behalf was “cloaked in uncertainty” and was “murky” at the time of the relevant events. I disagree. As the majority concedes, it was settled at the time of the events in this case that
[a]n officer who is present at the scene [of an arrest] and who fails to take reasonable steps to protect the victim of another officer’s use of excessive force can be held liable under section 1983 for his nonfea-sance, provided that he had a realistic opportunity to prevent the other officer’s actions.
Ante at 985 (citations and internal quotation marks omitted). In my view, this line of authority controls here.
The majority distinguishes this precedent by suggesting that it is inapplicable where the tortfeasor officer is not acting under the color of state law, and then concludes that Valentin was not so acting here. For the reasons I have explained above (and despite the opinion of my esteemed colleagues), I do not think that an objectively reasonable police officer could have seen Valentin’s actions as purely private. And because Valentin was acting under the color of state law, the aforementioned authority was sufficient to have informed defendants of their obligation to
IV.
Police officers are entrusted with great powers — including the privileged use of force — for the very purpose of preventing lawless violence. When an officer abuses those powers in front of his peers, he in effect presumes their tacit acquiescence, if not outright approval. In this situation, the other officers have a constitutional duty to intervene. I therefore respectfully dissent.
