Trusdale v. Bell ( 2003 )

F I L E D
United States Court of Appeals
Tenth Circuit
UNITED STATES COURT OF APPEALS
DEC 30 2003
FOR THE TENTH CIRCUIT
PATRICK FISHER
Clerk
TOBY R. TRUSDALE,
Plaintiff-Appellant,
v. No. 02-6398
(D.C. No. 01-CV-1018-C)
KERRY BELL; CRAIG PLATT, (W.D. Okla.)
Logan County Sheriff; NORMAN
McNICKLE, Chief of Police Stillwater
Oklahoma; JAMES BISHOP;
DEWADE LANGLEY, Director of
OSBI; RISK MANAGEMENT
ADMINISTRATOR; ATTORNEY
GENERAL OF THE STATE OF
OKLAHOMA; DEE CORDRY,
Defendants-Appellees.
ORDER AND JUDGMENT *
Before MURPHY , HARTZ , and McCONNELL , Circuit Judges.
*
After examining the briefs and appellate record, this panel has determined
unanimously that oral argument would not materially assist the determination of
this appeal. See Fed. R. App. P. 34(a)(2); 10th Cir. R. 34.1(G). The case is
therefore ordered submitted without oral argument. This order and judgment is
not binding precedent, except under the doctrines of law of the case, res judicata,
and collateral estoppel. The court generally disfavors the citation of orders and
judgments; nevertheless, an order and judgment may be cited under the terms and
conditions of 10th Cir. R. 36.3.
Toby Ray Trusdale, a federal prisoner, appeals pro se the district court’s
dismissal of his 42 U.S.C. § 1983 action against eight law enforcement officials.
Mr. Trusdale alleges various constitutional violations stemming from the
execution of an allegedly invalid no-knock search warrant , during which he was
shot by defendant Officer Bell. Mr. Trusdale claims the no-knock search warrant
(pursuant to which the officers recovered methamphetamine and a shotgun) was
based on false, unsubstantiated and uncorroborated information, and that the
officers employed unconstitutionally excessive force. He seeks two million
dollars in damages.
As to the allegedly invalid search warrant, the district court granted Officer
Bell’s, Officer McNickle’s, and Agent Cordry’s 12(b)(6) motions, and dismissed
Sheriff Platt pursuant to 28 U.S.C. § 1915(e)(2)(B)(ii). That court also dismissed
Mr. Trusdale’s excessive-force claims by granting Officer McNickle’s and Agent
Cordry’s 12(b)(6) motions, Sheriff Platt’s motion for summary judgment, and
Officer Bell’s motion for summary judgment based on qualified immunity.
Mr. Trusdale timely appeals these decisions. 1
1
Mr. Trusdale does not address the propriety of the district court’s dismissal
of the other four named defendants, thereby apparently conceding that they were
properly dismissed. See State Farm Fire & Cas. Co. v. Mhoon , 31 F.3d 979, 984
n.7 (10th Cir. 1994) (appellant’s failure to raise an issue in his opening brief
waives the point); Fed. R. App. P. 28(a)(9)(A) (appellant’s opening brief must
contain “appellant’s contentions and the reasons for them”).
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This court reviews de novo a district court’s grant of 12(b)(6) motions
and summary judgment motions. Hartman v. Kickapoo Tribe Gaming Comm’n ,
319 F.3d 1230, 1234 (10th Cir. 2003). We review a district court’s decision
to dismiss a complaint for failure to state a claim under 28 U.S.C.
§ 1915(e)(2)(B)(ii) de novo. Gaines v. Stenseng , 292 F.3d 1222, 1224 (10th Cir.
2002). The presence or absence of qualified immunity is a question of law we
also review de novo. Pino v. Higgs , 75 F.3d 1461, 1467 (10th Cir. 1996).
Exercising jurisdiction under 28 U.S.C. § 1291, we affirm.
It is well-settled that a prisoner cannot recover damages in a § 1983 suit for
an allegedly unconstitutional conviction or sentence until and unless his
conviction or sentence is invalidated. Heck v. Humphrey , 512 U.S. 477, 487
(1994) (If “a judgment in favor of the plaintiff would necessarily imply the
invalidity of his conviction or sentence . . . the complaint must be dismissed.”).
But a suit for damages attributable to an allegedly unreasonable search “may lie
even if the challenged search produced evidence that was introduced in a state
criminal trial resulting in the § 1983 plaintiff’s still outstanding conviction.”
Id. at 487 n.7; Beck v. City of Muskogee Police Dep’t, 195 F.3d 553, 559 n.4
(10th Cir. 1999) (“[U]se of illegally obtained evidence does not, for a variety of
reasons, necessarily imply an unlawful conviction.”).
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Here, however, we are faced with the “rare situation” where, as far as we
can tell from the record before us, all of the evidence obtained (i.e., the
methamphetamine and shotgun), was the result of execution of the allegedly
invalid no-knock search warrant. Beck, 195 F.3d at 559 n.4; see also United
States v. Trusdale , 38 Fed. Appx. 485, 486 (10th Cir. Feb. 25, 2002)
(Mr. Trusdale pled guilty to one count of possession with intent to distribute
methamphetamine in violation of 21 U.S.C. § 841(a)(1), and one count of
possession of a firearm in furtherance of a drug trafficking crime in violation of
18 U.S.C. § 924(c)). Indeed, the magistrate judge took judicial notice of district
court records concerning Mr. Trusdale’s criminal conviction and said the
“evidence obtained by law enforcement” pursuant to the no-knock search warrant
“formed the basis” for Mr. Trusdale’s “federal criminal prosecution.” R., Doc. 66
at 10. Mr. Trusdale does not demonstrate that his conviction or sentence has been
invalidated, or that a judgment in his favor “would not necessarily imply that [his]
conviction was unlawful.” Heck , 512 U.S. at 487 n.7 (emphasis added).
Awarding Mr. Trusdale damages in this civil suit would imply the invalidity of
his conviction, and is barred by Heck . We therefore concur with the magistrate
judge’s report and recommendation advising the district court to grant Officer
McNickle’s and Agent Cordry’s 12(b)(6) motions, and to dismiss Sheriff Platt
pursuant to 28 U.S.C. § 1915(e)(2)(B)(ii). We also agree with the district court’s
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subsequent grant of Officer Bell’s 12(b)(6) motion on this claim and that court’s
adoption and affirmation of the report and recommendation “in its entirety.”
R., Doc. 68 at 2.
Mr. Trusdale’s excessive-force claims against Officer McNickle, Agent
Cordry, and Sheriff Platt flow from their allegedly supervisory roles and from
their involvement in procuring the no-knock search warrant. 2
Because
Mr. Trusdale fails to show any personal participation on the part of any of these
defendants in the use of excessive force, the magistrate judge properly advised the
district court to grant Officer McNickle’s and Agent Cordry’s 12(b)(6) motions,
and Sheriff Platt’s motion for summary judgment. Foote v. Spiegel , 118 F.3d
1416, 1423 (10th Cir. 1997) (“Individual liability under § 1983 must be based on
personal involvement in the alleged constitutional violation.”); Jenkins v. Wood ,
81 F.3d 988, 994-95 (10th Cir. 1996) (“[P]laintiff must show the defendant
personally participated in the alleged violation, and conclusory allegations are not
sufficient to state a constitutional violation.”) (internal citation omitted). Upon
2
See Aplt.’s Opening Br. at 15 (Officer McNickle was a “supervisory
official for [Officer] Kerry Bell at the time of the shooting.”); id. at 8
(“Defendant [Sheriff Platt] is directly responsible for personnel under his
supervision, and [for] supplying false information to the officer’s [sic] executing
the search warrant.”); id. at 4 (“[Agent] Dee Cordry . . . sought out and obtained
by sworn affidavit, the search warrant for [Mr. Trusdale’s] residence.”).
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de novo review, we conclude that the district court did not err in granting these
defendants’ motions.
We next turn to Mr. Trusdale’s excessive-force claim against Officer Bell.
Mr. Trusdale alleges that the district court erred in granting Officer Bell summary
judgment based on qualified immunity because “his actions were unreasonable
under the circumstances and could be found differently by [a] jurist of reason.”
Aplt.’s Traverse to Br. of Defs./Aplees. Bell and McNickle at 7. We review
summary judgment orders deciding qualified immunity questions de novo, but our
review is
different[] from [the way we review] other summary judgment
decisions . . . . When a § 1983 defendant raises the defense of
qualified immunity on summary judgment, the burden shifts to the
plaintiff to show that 1) the official violated a constitutional or
statutory right; and 2) the constitutional or statutory right was clearly
established when the alleged violation occurred.
Olsen v. Layton Hills Mall , 312 F.3d 1304, 1311-12 (10th Cir. 2002) (internal
quotation marks and citation omitted). “If the plaintiff does not satisfy either
portion of the two-pronged test, the Court must grant the defendant qualified
immunity.” Id. at 1312. On the other hand, we have stressed that “this court will
not approve summary judgment in excessive force cases–based on qualified
immunity or otherwise–if the moving party has not quieted all disputed issues of
material fact.” Id. at 1314.
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The right to be free from excessive force is violated only if the force
employed is objectively unreasonable. See Saucier v. Katz , 533 U.S. 194, 202
(2001); Olsen , 312 F.3d at 1313-14. “Because police officers are often forced to
make split-second judgments–in circumstances that are tense, uncertain, and
rapidly evolving–about the amount of force that is necessary in a particular
situation, the reasonableness of the officer’s belief as to the appropriate level of
force should be judged from that on-scene perspective.” Saucier , 533 U.S. at 205
(internal quotation marks and citation omitted); see also Olsen , 312 F.3d at 1314.
Factors to be considered include the “degree of potential threat that the suspect
poses to an officer’s safety and to others’ safety,” and whether the suspect
attempts to resist or evade arrest. Olsen , 312 F.3d at 1314.
Although Officer Bell’s perception of the threat turns out, in hindsight, to
have been tragically mistaken, the objective reasonableness of his actions must be
viewed from the “on-scene perspective.” Saucier , 533 U.S. at 205. So viewed,
the undisputed evidence in this case supports the objective reasonableness of his
actions. In advance of entry into Mr. Trusdale’s home, Officer Bell was briefed
that Mr. Trusdale “was a homicide suspect with a violent criminal history,” “was
known to carry a firearm at all times, even from room to room in his residence,”
and that he had “shot a police officer in Kansas.” Br. of Defs./Aplees. Bell and
McNickle at 4. Officer Bell was told that the suspects were heavily armed and
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were conducting a methamphetamine laboratory. The warrant Officer Bell was
executing was a no-knock, high-risk warrant. After entering the premises, Officer
Bell proceeded to the doorway of a dimly lit bedroom, where he saw
Mr. Trusdale. The officer believed Mr. Trusdale was advancing on him, but this
is disputed. Mr. Trusdale lifted his right arm; he was carrying an object that
appeared to Officer Bell to be a gun. Officer Bell fired, either twice or thrice.
Ultimately, it turned out that Mr. Trusdale was not carrying a gun, but only
a Bic cigarette lighter. The legal question, however, is not whether the Officer
was mistaken, but whether his actions were objectively reasonable in light of what
he perceived at the time. We agree with the district court that the undisputed
evidence supports summary judgment in favor of the officer. As stated by the
magistrate judge in his supplemental report and recommendation, “[t]he fact that
a no-knock, night-time warrant was issued alone indicates the potential existed
for a violent confrontation.” R., Doc. 75 at 11-12; see also Okla. Stat. tit. 22,
§ 1228 (execution of a search warrant without warning or notice). The district
court found that in the split second before Officer Bell fired it would not
necessarily be clear to a reasonable officer that his conduct was unlawful in the
situation he confronted.
Attempting to refute the reasonableness of Officer Bell’s actions,
Mr. Trusdale points to several disputed factual issues. The question is whether
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any of those disputed issues is material. Mr. Trusdale states that he was in prison
at the time of the homicide and therefore could not be a suspect, that he was not
in possession of any firearms except for a wall-mounted shotgun, and that he had
never shot a police officer in Kansas. These claims are beside the point, however.
Officer Bell may have been misinformed, but he was reasonable to act on the
basis of the information provided to him.
Additionally, Mr. Trusdale argues that his “residence was not dark.”
Aplt.’s Traverse to Br. of Defs./Aplees. Bell and McNickle at 2. The darkness
issue is more a question of characterization than of disputed fact; the facts show
that the only light in the bedroom came from a lamp in the corner of the room,
behind Mr. Trusdale, and from another room. More significantly, Mr. Trusdale
claims that he had raised his hands to the level of his head by the time Officer
Bell had entered the room, and that he did not advance toward Officer Bell.
Even if true, this does not negate Officer Bell’s testimony that he observed
Mr. Trusdale raising his arm with what appeared to be a gun pointing at the
Officer. Finally, in Mr. Trusdale’s view,
if officer Bell was close enough to tell or guess the size and caliber
of the imagined firearm he thought he saw, then he should clearly
have been able to see that no firearm in fact existed, and that
plaintiff was holding only a Bic lighter in his hand with his hands
above his head in peaceful surrender.
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Aplt.’s Opening Br. at 11. What Officer Bell “should clearly have been able to
see,” however, cannot be the basis for imposing liability. The question is whether
his actions were reasonable in light of the circumstances. The Supreme Court has
“cautioned against the ‘20/20 vision of hindsight’ in favor of deference to the
judgment of reasonable officers on the scene.” Saucier , 533 U.S. at 205 (quoting
Graham v. Connor , 490 U.S. 386, 393 (1989)). This was a close case, but we do
not think the district court erred in granting summary judgment.
In closing, we note that the district court did not consider Mr. Trusdale’s
bare allegations that his Fifth and Sixth Amendments rights were violated, and
neither will we. Singleton v. Wulff , 428 U.S. 106, 120 (1976) (“It is the general
rule, of course, that a federal appellate court does not consider an issue not passed
upon below.”). We likewise will not entertain the several issues Mr. Trusdale
raises for the first time on appeal. McDonald v. Kinder-Morgan, Inc., 287 F.3d
992, 999 (10th Cir. 2002). Finally, we note that while the magistrate judge
recognized that Mr. Trusdale’s complaint raised a claim pursuant to Bivens v. Six
Unknown Named Agents of the Federal Bureau of Narcotics , 403 U.S. 388 (1971),
the magistrate did not consider this claim. Neither did the district court. Even so,
because all of the defendants are alleged to be employees either of Oklahoma or
municipal entities within Oklahoma, a Bivens action is improper. See Robbins v.
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Wilkie , 300 F.3d 1208, 1211-1212 (10th Cir. 2002). Besides, Trusdale did not
allege that he should have been allowed to proceed pursuant to Bivens .
The judgments of the district court are AFFIRMED.
Entered for the Court
Michael W. McConnell
Circuit Judge
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