F I L E D
United States Court of Appeals
Tenth Circuit
PUBLISH
June 27, 2006
UNITED STATES CO URT O F APPEALS Elisabeth A. Shumaker
Clerk of Court
TENTH CIRCUIT
DAVID W ALKER, for himself and as
next best friend for Cadin W ayne
W alker, M cKaela Tandi W alker and
Andrew W alker; DEBBIE WALKER,
for herself, as Personal Representative No. 04-4140
of the Estate of David W alker, as next (D.C. No. 2:02-CV -253-TS)
best friend for Cadin W ayne W alker, (D. Utah)
M cKaela Tandi W alker and Andrew
W alker; PATTI W ALK ER
STR ATTO N ; C HA D STR ATTON;
TYREE LAM PH , individually, and for
and on behalf of Dakota (“Cody”)
Lam ph; A M Y M ELISSA LA M PH,
individually, and for and on behalf of
Dakota (“Cody”) Lamph,
Plaintiffs-Appellees,
v.
CITY OF OREM , a Utah municipality;
HAROLD PETERSON, Officer;
CITY OF PLEASANT GROVE, a
U tah m unicipality; JO H N CLA YTON,
Officer; B. J. ROBINSON, Officer;
GORDON SM ITH, officer of the
Department of Public Safety, Orem
C ity, individually, U TA H CO U NTY;
DAVID BATEM AN, Sheriff of Utah
County, in his official and individual
capacity; D A RIN D U RFEY ,
D etective; PA TTY JO H N STO N,
D etective; TO M H O D G SO N ,
Detective,
Defendants,
and
JERRY M ON SON , Sgt.; M ERET
LANCE M CDANIEL, Deputy, all of
the Utah County Sheriff’s D epartment,
in their individual capacities,
Defendants-Appellants.
DAVID W ALKER, for himself and as
next best friend for Cadin W ayne
W alker, M cKaela Tandi W alker and
Andrew W alker; DEBBIE WALKER,
for herself, as Personal Representative
of the Estate of David W alker, as next No. 05-4016
best friend for Cadin W ayne W alker, (D.C. No. 2:02-CV -253-TS)
M cKaela Tandi W alker and Andrew (D. Utah)
W alker; PATTI W ALK ER
STR ATTO N ; C HA D STR ATTON;
TYREE LAM PH , individually, and for
and on behalf of Dakota (“Cody”)
Lam ph; AM Y M ELISSA LA M PH,
individually, and for and on behalf of
Dakota (“Cody”) Lamph,
Plaintiffs-Appellees,
v.
CITY OF OREM , a Utah municipality;
CITY OF PLEASANT GROVE, a
U tah m unicipality; JO H N CLA YTON,
Officer; B. J. ROBINSON, Officer;
UTAH COUNTY; DAVID
BATEM AN, Sheriff of Utah County,
in his official and individual capacity;
JERRY M ONSON, Sgt.; DARIN
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DU RFEY, Detective; PATTY
JO H N STO N , D etective; TO M
HO DG SON , Detective; M ERET
LANCE M CDANIEL, Deputy, all of
the Utah County Sheriff’s D epartment,
in their individual capacities;
GORDON SM ITH, officer of the
Department of Public Safety, Orem
City, individually,
Defendants,
and
HAROLD PETERSON, Officer,
Defendant-Appellant.
DEBBIE W ALKER, as Personal
Representative of the Estate of
David W alker, and as next best friend
for Cadin W ayne W alker, M cKaela
Tandi Walker and Andrew W alker;
DAVID B. W ALKER, for himself and
as next best friend for Cadin W ayne No. 05-4025
W alker, M cKaela Tandi W alker and (D.C. No. 2:02-CV -253-TS)
A ndrew W alker; TY REE LA M PH; (D. Utah)
AM Y M ELISSA LA M PH; PATTI
STR ATTO N WA LK ER ; C HA D
STR ATTO N ,
Plaintiffs-Appellees,
v.
OREM CITY, a Utah municipality;
HAROLD PETERSON, Officer;
PLEASA NT GROVE CITY, a Utah
m unicipality; B . J. R OB IN SO N ,
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O fficer; R IC HA RD CA SE; U TAH
C OU N TY ; D A V ID BA TEM A N;
JERRY M ONSON; M ERET LANCE
M cD A N IEL; G O RD O N SM ITH;
(FNU ) GILBERT,
Defendants,
and
JOHN CLAYTON, Officer,
Defendant-Appellant.
DEBBIE W ALKER, as personal
representative of the Estate of
David W alker, and as next best friend
for Cadin W ayne W alker, M cKaela
Tandi Walker and Andrew W alker;
DAVID W ALKER, SR., for himself
and as next best friend for Cadin No. 05-4038
W ayne W alker, M cKaela Tandi (D.C. No. 2:02-CV -253-TS)
W alker and Andrew W alker; TYREE (D. Utah)
LA M PH, and AM Y M ELISSA
LAM PH , individually and on behalf of
Dakota (“Cody”) Lamph; PATTI
STR ATTO N WA LK ER ; C HA D
STR ATTO N ,
Plaintiffs-Appellants,
v.
OREM CITY, a Utah municipality;
HAROLD PETERSON, Officer;
PLEASA NT GROVE CITY, a Utah
m unicipality; JO H N CLA Y TO N,
Officer; B. J. ROBINSON, Officer;
RICHARD CASE; DAVID
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BATEM AN, Sheriff of Utah County,
in his official and individual capacity;
D A RIN DU RFEY ; G O RD O N SM ITH;
(FNU ) GILBERT,
Defendants,
and
U TA H CO U N TY ; JER RY M O NSON;
M ERET LAN CE M cDA NIEL,
Defendants-Appellees.
A PPE AL FR OM T HE UNITED STATES DISTRICT COURT
FOR T HE DISTRICT OF UTAH
(D.C. No. 2:02-CV-253-TS)
Submitted on the briefs: *
Jesse C. Trentadue, M ichael W . Homer, Suitter Axland, Salt Lake City, Utah for
Defendants-Appellants in 04-4140, for Defendants-Appellees in 05-4038.
M argaret D. Plane, American Civil Liberties Foundation, Inc., Salt Lake City,
Utah for Plaintiffs-Appellees in 04-4140, for Plaintiffs-Appellants in 05-4038.
Ralph E. Chamness, Lauren I. Scholnick, Erika Birch, Strindberg, Scholnick &
Chamness, LLC, Salt Lake City, Utah for Plaintiffs-Appellees in 04-4140,
05-4016, 05-4025, and for Plaintiffs-Appellants in 05-4038.
*
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.
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Andrew M . M orse, Heather S. W hite, Snow Christensen & M artineau, Salt Lake
City, Utah for Defendant-Appellant in 05-4016.
Peter Stirba, Gary R. Guelker, Stirba & Associates, Salt Lake City, Utah for
Defendant-Appellant in 05-4025.
Before HA RTZ, EBEL, and M cCO NNELL, Circuit Judges.
EBEL, Circuit Judge.
W e have consolidated the present appeals for purposes of disposition.
These appeals arise out of a police shooting in a rural area of American Fork,
Utah, and the subsequent detention of witnesses to the shooting. The plaintiffs
include Debbie W alker, mother and personal representative of the estate of David
W alker who died in the shooting, and various other relatives of David W alker
who have asserted claims arising out of the shooting and the subsequent
detention.
In Case No. 04-4140, Officers Jerry M onson and Lance M cDaniel of the
Utah County Sheriff’s O ffice appeal from the district court’s order denying their
motion to dismiss plaintiffs’ complaint based on qualified immunity. Case No.
05-4038 is an appeal by the plaintiffs, who challenge the district court’s grant of
summary judgment based on qualified immunity to Officers M onson and
M cDaniel, and its grant of summary judgment to Utah County, on claims arising
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out of their detention subsequent to the shooting. Cases 05-4016 and 05-4025 are
brought, respectively, by Orem C ity Sergeant Harold Peterson and Pleasant Grove
Officer John Clayton, the officers who shot and killed David W alker. They
challenge the district court’s denial of their motions for summary judgment based
on qualified immunity.
W e reverse the district court’s denial of qualified immunity to Officers
M onson and M cDaniel in Case No. 04-4140, and remand for a grant of qualified
immunity to those officers. In Case No. 05-4038, we vacate the district court’s
grant of summary judgment to officers M onson and M cDaniel for lack of
jurisdiction, but affirm the grant of summary judgment in favor of Utah County.
W e dismiss cases 05-4016 and 05-4025 in part for lack of appellate jurisdiction,
and affirm in part.
Finally, we note that plaintiffs sued a number of defendants associated with
the Utah County Sheriff’s Office, including its sheriff, David Bateman, who was
named in both his individual and official capacities. In a stipulated order dated
July 6, 2004, all Utah C ounty defendants except for Utah C ounty and Officers
M onson and M cDaniel, were dismissed without prejudice. 1 Aplt. App., No.
04-4140, at 258-59. As w e read this order, Sheriff Bateman was dismissed in
1
The notice of appeal that Officers M onson and M cDaniel filed in Case No.
04-4140 included a number of U tah C ounty related defendants as appellants. In
reality, however, only Officers M onson and M cDaniel are parties to the appeal,
asserting qualified immunity. W e have adjusted our caption accordingly.
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both his individual and official capacities. Although the district court’s
subsequent summary judgment order purported to grant summary judgment in
favor of the “Utah County Sheriff’s O ffice,” w e understand its order to refer to
defendant Utah County. Accordingly, in this opinion, we refer to the municipal
entity to which summary judgment was granted, from which the plaintiffs now
appeal, as “Utah County.”
FACTS
W hile all of the appeals arise out of the same basic factual nexus, the
significance of the operative facts differs according to the appellate context of
each appeal. 2 W e will therefore begin with a recitation of the basic facts
contained in plaintiffs’ district court complaints. Further facts developed during
the summary judgment proceedings w ill then be presented in their appropriate
context, as part of the analysis of particular claims. 3
2
In Case No. 04-4140, we are concerned only with the facts alleged in
plaintiffs’ complaint against Officers M onson and M cDaniel. Although the
defendants involved in Cases 05-4016 and 05-4025 purport to appeal based solely
on issues of law, we lack jurisdiction to consider their appeals to the extent that
they challenge the district court’s determination that contested, material factual
issues remain to be resolved. W e evaluate the summary judgment facts in Case
No. 05-4038 under traditional summary judgment standards, stated in the light
most favorable to plaintiffs and drawing every reasonable inference in their favor.
3
The orders giving rise to these appeals do not exhaust all of plaintiffs’
claims against all of the defendants named in their complaints. The district court
certified plaintiffs’ appeal for immediate disposition in accordance with
Fed. R. Civ. P. 54(b). Facts relevant to causes of action not at issue in this
(continued...)
-8-
Two complaints were filed in this action, No. 2:02CV-0253ST (the
“shooting complaint”), naming the Cities of Orem, Pleasant Grove, and Lehi, and
Officers Peterson, Clayton, Robinson, Smith, Terry and M unson, and No.
2:02CV-1427BSJ (the “detention complaint”), naming Utah County, various Utah
County Sheriff’s Department employees, Gordon Smith, and the City of Orem.
The complaints were consolidated on plaintiffs’ motion.
The Shooting Complaint
Plaintiffs allege that on December 28, 1998, David W alker took his sister
Patti Walker Stratton’s Subaru from the home of his parents David W alker, Sr.
and Debbie W alker. After switching the license plates on the vehicle, he
continued driving it. Later that day, he called his mother, Debbie W alker, and
indicated that he was suicidal. In order to obtain assistance in locating her son
from the Utah County Sheriff’s Office, Debbie W alker reported the vehicle as
stolen.
The next day, David again called his mother at home and again reported he
was suicidal. Law enforcement assisted family members in tracing the call to a
gas station in Orem, Utah. Orem officers responded to the identified location but
David W alker eluded them.
3
(...continued)
appeal are omitted.
-9-
Officers Peterson of Orem and Clayton of Pleasant Grove thereafter became
involved in pursuing David through several municipal and Utah County
jurisdictions. Initially, the Orem police dispatch reported that David was a threat
to his family and others; this, however, was later corrected to report that he was
merely a danger to himself. The Utah County Sheriff’s office channel reported
that David was unarmed and was going to his parents’ home.
David arrived in the driveway of the rural W alker residence, followed by
Officers Peterson and Clayton. 4 Plaintiffs allege that this parking area was
“well-lit by a full moon, a large barn outdoor light,” a porch light, and Christmas
lights. Aplt. App., No. 04-4140, at 51. They also assert that David left his
brights on when he exited the Subaru and that he stood a short distance in front of
the vehicle, holding a small, two-inch blade knife against his wrist. Additional
illumination was provided at the scene by the red and blue warning lights on
Peterson’s vehicle, and the headlights from both Clayton and Peterson’s vehicles.
Plaintiffs assert that both officers had turned off their sirens when they
came down the driveway. W hile Peterson “shouted instructions to Clayton that
could be heard in the night’s silence” he allegedly did not provide any warning or
instructions to David. Id. at 52. Peterson drew his .45 caliber firearm, told Orem
dispatch he was exiting his vehicle, and shot David W alker twice from a distance
4
The rural drive leading to the W alker residence also led to the nearby,
separate residence of plaintiffs Tyree and Amy Lamph.
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of tw enty-eight feet. Plaintiffs allege that Clayton then shot David W alker two
more times with his .40 caliber weapon while David was lying on the ground,
from a distance of approximately twenty to twenty-five feet.
After the shooting, David’s mother Debbie W alker and his sister Patti
W alker Stratton were standing on the front porch of the W alker home. Officers
on the scene would not permit them to go to David. Officer B.J. Robinson
ordered them to get down and simultaneously grabbed Debbie W alker and pulled
her down the concrete stairs outside the home, seriously injuring her shoulder.
He then pulled Patti W alker Stratton down on top of Debbie W alker. Robinson
and Clayton then thrust their weapons into Debbie and Patti’s faces, terrifying
them.
The Detention Complaint
In addition to the factual allegations recited in the shooting complaint,
plaintiffs included the following allegations in their complaint against Utah
County, officers of the U tah C ounty Sheriff’s Department (including officers
M onson and M cDaniel), Gordon Smith of the Orem City Department of Public
Safety, and the City of Orem. After the shooting of David W alker, officers of the
Utah County Sheriff’s D epartment and Gordon Smith, who were armed and in
uniform, required plaintiffs to remain in their home for questioning. Debbie
W alker and Patti Walker Stratton had weapons pointed at their heads and were
ordered into the W alker home at gunpoint. Plaintiff Tyree Lamph, David
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W alker’s brother-in-law, was detained in the back of a Utah C ounty Sheriff’s
Department vehicle and then detained in the W alker residence. Plaintiffs did not
consent to this detention, which lasted approximately one and one-half hours and
prevented them from being with David W alker before he died.
ANALYSIS
Case No. 04-4140
In Case No. 04-4140, the first appeal filed in this case, Officers Jerry
M onson and Lance M cDaniel of the Utah County Sheriff’s Department appeal the
district court’s denial of their motion to dismiss, in which they asserted qualified
immunity for their role in detaining certain family members of David W alker
after the fatal shooting. “W e review de novo a district court’s ruling on qualified
immunity.” Jones v. Hunt, 410 F.3d 1221, 1225 (10th Cir. 2005). “O ur threshold
inquiry in the qualified immunity analysis is whether, taking [plaintiffs’]
allegations as true, [officers M onson and M cDaniel] violated [their] Fourth
Amendment right to be free from unreasonable seizures.” Id. “If we conclude
that [plaintiffs have] alleged constitutionally impermissible conduct, [the officers]
‘may nevertheless be shielded from liability for civil damages if [their] actions
did not violate clearly established . . . constitutional rights of which a reasonable
person would have known.’” Id. (quoting Hope v. Pelzer, 536 U.S. 730, 739
(2002)).
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1. Threshold issue
The procedural posture of this appeal is complicated by the fact that the
district court denied qualified immunity to Officers M onson and M cDaniel on
their motion to dismiss, but ultimately granted that relief in response to their
motion for summary judgment. It denied the officers’ motion to dismiss “because
the right these Defendants are alleged to have violated was clearly established at
the time of the incident in question.” Aplt. App., No. 04-4140, at 250. After
M onson and M cD aniel renew ed their qualified immunity argument on summary
judgment, the district court correctly noted the plaintiffs’ argument that it lacked
jurisdiction to proceed because the officers had filed an interlocutory appeal. The
district court concluded, however, that since its prior order and the officers’
appeal concerned only whether the right allegedly violated was clearly
established, it retained jurisdiction to determine whether the officers had violated
the plaintiffs’ constitutional rights. It then determined, for summary judgment
purposes, that they had not.
Because of this unusual disposition, we encounter jurisdictional difficulties
in reaching either of the district court’s orders. The summary judgment ruling
granting qualified immunity in favor of the officers may have mooted the denial
of their motion to dismiss. On the other hand, once officers M onson and
M cDaniel took an appeal from the order denying their motion to dismiss based on
qualified immunity, the district court may have lost jurisdiction to take further
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substantive action relevant to them in the case. Stewart v. Donges, 915 F.2d 572,
576 (10th Cir. 1990) (“[A]n interlocutory appeal from an order refusing to
dismiss on . . . qualified immunity grounds . . . divests the district court of
jurisdiction to proceed with any part of the action against an appealing
defendant.”).
The issue is somewhat clouded by language in Stewart indicating that the
reason for the divestiture of jurisdiction is to protect the right of a defendant
asserting qualified immunity to avoid further proceedings pending resolution of
the appeal. See id. at 575-76. That rationale, strictly speaking, is not served here
by divesting the district court of jurisdiction to enter summary judgment in favor
of Officers M onson and M cDaniel. It was M onson and M cDaniel, after all, who
further invoked the jurisdiction of the district court in this case by filing a motion
for summary judgment and by obtaining a favorable disposition on that motion
while their appeal to this court was pending. The decision to proceed with their
motion for summary judgment paid off for them: the district court’s order of
summary judgment in their favor furthered, rather than hindered, their interest in
avoiding a trial on the merits of plaintiffs’ claims. 5
5
It is clear that a defendant may assert qualified immunity through a motion
to dismiss, take an appeal from the denial of such a motion, and if the appeal is
resolved unfavorably to him, renew the issue of qualified immunity by way of a
motion for summary judgment, appealing once again, if necessary, from the
denial of the summary judgment motion. See Behrens v. Pelletier, 516 U.S. 299,
(continued...)
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Did, then, the district court retain the power after the appeal was filed to
rule in favor of the officers on qualified immunity? W e think not. The filing of
the notice of appeal was an event of jurisdictional significance, which divested
the district court from granting further relief concerning the issues on appeal.
See Griggs v. Provident Consumer Discount Co., 459 U.S. 56, 58 (1982). W e see
no reason to depart from this rule, even where the relief granted favored the
appealing party. 6
This does not mean that a party, having filed a notice of appeal from the
denial of a motion to dismiss on the basis of qualified immunity, has no option
but to await the outcome of the appeal if facts subsequently emerge that it
believes demonstrate its entitlement to summary judgment. An appealing party in
that situation may seek to abate the appeal while requesting that we remand to the
district court for consideration of a summary judgment motion. The officers have
filed no such motions in this case, however, and our decision in their favor on
5
(...continued)
307-11 (1996) (rejecting Ninth Circuit’s “one-interlocutory-appeal” rule). Here,
however, the problem is that the defendants renewed the qualified immunity issue
in the district court prior to the disposition of their earlier appeal.
6
W e recognize that dicta in M cCauley v. Halliburton Energy Services, Inc.,
413 F.3d 1158, 1162 n.1 (10th Cir. 2005), suggests the divestiture rule is based on
considerations of judicial economy rather than jurisdiction. The statement in
M cCauley, is based on the opinion of one commentator on the law rather than
authority from this circuit or the Supreme Court, was not essential to the outcome
in that case, and does not dictate the outcome here.
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their appeal from the motion to dismiss makes it unnecessary to consider whether
we could or should grant such an abatement and remand nunc pro tunc.
It follows that the portion of the district court’s order granting summary
judgment to officers M onson and M cDaniel, challenged in Case No. 05-4038,
must be vacated for lack of jurisdiction. W e proceed to consider the officers’
appeal from the denial of their motion to dismiss.
2. Qualified immunity analysis
W e now proceed to conduct the required de novo review of the district
court’s denial of the officers’ motion to dismiss. Our review leads us to reach a
disposition contrary to that of the district court. W e conclude that taking the
allegations of plaintiffs’ complaint as true, they adequately alleged a violation by
officers M onson and M cDaniel of their Fourth Amendment right to be free from
unreasonable seizures. W e further conclude, however, that the contours of this
right w ere not sufficiently established that a reasonable officer would have know n
that the detention was unlawful. W e therefore reverse the denial of qualified
immunity in favor of officers M onson and M cDaniel, and remand with
instructions to dismiss plaintiffs’ complaint against them.
a. Fourth A mendm ent violation
As noted, our threshold inquiry concerns whether, taking the allegations of
plaintiffs’ complaint as true, the officers violated the detained plaintiffs’ Fourth
Amendment rights. Plaintiffs’ complaint is somewhat vague concerning the
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specific, personal participation of officers M onson and M cDaniel in detaining
plaintiffs. Plaintiffs do allege, however, that “all Defendants w ere armed, in
uniform, and required the Plaintiffs to remain in the residence . . . for
approximately one and one-half hours.” Aplt. App., No. 04-4140, at 100. They
further allege that plaintiff Tyree Lamph was “unreasonably detained in the back
of a [Utah County Sheriff’s Office] vehicle and then detained in the W alker
residence.” Id. 7
Plaintiffs do not assert that M onson and M cD aniel arrested them . Nor were
they detained as suspects of a crime. The Fourth Amendment applies to their
detention, however, because:
It is quite plain that the Fourth Amendment governs “seizures” of the
person which do not eventuate in a trip to the station house and
prosecution for crime – “arrests” in traditional terminology. It must
be recognized that whenever a police officer accosts an individual
and restrains his freedom to walk away, he has “seized” that person.
Terry v. Ohio, 392 U.S. 1, 16 (1968).
The question is w hether the “seizure” involved was reasonable for Fourth
Amendment purposes. W e note, at the outset, that defendants did not have a
7
The facts alleged in plaintiffs’ complaint, and some of their argument in the
district court, suggest that they believed the officers had violated their
constitutional rights in three ways: by using violence to subdue them and force
them into the home, by entering their home without permission, and by forcing
them to remain there. In this appeal, plaintiffs focus almost exclusively on the
claim that they were unlaw fully detained, using the facts about being forced into
their home only to show that a seizure occurred. Accordingly, we confine our
discussion to this claim.
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“reasonable suspicion” that plaintiffs were involved with any criminal
wrongdoing, and therefore had no right to subject them to an investigative
detention. See Cortez v. M cCauley, 438 F.3d 980, 991-92 (10th Cir. 2006).
Instead, they have advanced two basic rationales for the seizure involved here.
First, the seizure was reasonable as a means of obtaining information from, or
interview ing, potential witnesses to a crime. Second, the seizure was reasonable
as a means of securing a crime scene. W e will consider each of these rationales
in turn.
The detention of a potential witness to a crime must satisfy the Fourth
Amendment’s “reasonableness” requirement. Illinois v. Lidster, 540 U.S. 419,
426-27 (2004). In judging reasonableness, courts apply a balancing test that
looks to “the gravity of the public concerns served by the seizure, the degree to
which the seizure advances the public interest, and the severity of the interference
with individual liberty.” Brown v. Texas, 443 U.S. 47, 51 (1979).
As a general matter “[t]here is nothing in the Constitution which prevents a
policeman from addressing questions to anyone on the streets. Absent special
circumstances, [however,] the person approached may not be detained or frisked
but may refuse to cooperate and go on his way.” Terry, 392 U.S. at 34 (W hite, J.,
concurring). W hat little authority exists on this question suggests that police
have less authority to detain those w ho have w itnessed a crime for investigatory
purposes than to detain criminal suspects. 4 W ayne R. LaFave, Search & Seizure:
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A Treatise on the Fourth Amendment § 9.2(a), at 289 (4th ed. 2004).
Accordingly, some courts have prohibited the involuntary detention of witnesses
to a crime. United States v. Ward, 488 F.2d 162, 169-70 (9th Cir. 1973) (en
banc); United States ex rel. Hampton v. Fews, 187 F. Supp. 2d 981, 988-90
(N .D. Ill.), rev’d on other grounds, 296 F.3d 560 (7th Cir. 2002); Perkins v.
Click, 148 F. Supp. 2d 1177, 1184 (D.N.M . 2001); Orozco v. County of Yolo,
814 F. Supp. 885, 893 (E.D. Cal. 1993).
A recent Supreme Court decision, however, suggests that a brief detention
of witnesses is in fact permitted, provided that it meets the reasonableness test in
Brown. In Lidster, the Court upheld the use of a highway checkpoint at which
officers briefly detained motorists to ask them for any information they might
have about a fatal hit-and-run accident. The Court upheld the use of the
checkpoint because, among other things, the stop posed only a minimal
interference with the motorists’ liberty, requiring only a brief wait in line, and
provided little reason for anxiety or alarm. Lidster, 540 U.S. at 427-28.
In Lidster, the officers manning the checkpoint asked motorists in general
to supply them w ith information, without knowing whether any motorist had the
information sought. Here, by contrast, the officers had much greater reason to
believe that one or more of the plaintiffs had specific information about the
shooting in question. Thus, the seizure involved here advanced the public interest
to a much greater degree than the roadblock involved in Lidster. See Brown,
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443 U.S. at 51. This being the case, a longer detention than that involved in
Lidster may have been reasonable. At a minimum, officers had a right to identify
witnesses to the shooting, to obtain the names and addresses of such w itnesses,
and to ascertain whether they were willing to speak voluntarily with the officers.
Cf. Hiibel v. Sixth Judicial District Court, 542 U.S. 177, 186-88 (2004) (stating
suspect subjected to valid Terry stop may be required to disclose his name during
the course of the stop).
Plaintiffs’ primary objection to the detention here involves its allegedly
excessive duration. W e have located no federal court precedent establishing a
specific time limit for witness detention. However, even if a brief detention could
be justified in this case to attempt to obtain names and addresses of the witnesses
(and statements if they were willing to provide them), a ninety-minute detention
for this purpose was unreasonable. See United States v. Place, 462 U.S. 696,
709-10 (1983) (“[A ]lthough we decline to adopt any outside time limitation for a
permissible Terry stop, we have never approved a seizure of the person for the
prolonged 90-minute period involved here and cannot do so on the facts presented
by this case.”) (footnote omitted). There is no indication in plaintiffs’ complaint
that any exigencies were present in this case, justifying the lengthy detention
involved here for investigative purposes. W e therefore conclude that the
detention alleged in plaintiffs’ complaint could not reasonably be justified using
an investigative rationale.
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The other rationale offered for the extended detention identified in
plaintiffs’ complaint is the need to establish control over the crime scene. The
question is whether detaining plaintiffs in their home, and in particular, detaining
them for ninety minutes as alleged in their complaint, could be considered
“reasonable” as a means of controlling the crime scene.
W e note that detaining the plaintiffs is a different matter from excluding
them from the crime scene itself. Thus, even if plaintiffs had no right to cross the
crime scene tape to be with David before he died, this does not necessarily mean
that the police had the right to detain them, even in their own home.
The Supreme Court has recognized that detention or control of both
suspects and non-suspects may be necessary to insure officer safety and to
maintain the officers’ control over a crime scene. Thus, officers conducting a
Terry stop are “authorized to take such steps as [are] reasonably necessary to
protect their personal safety and to maintain the status quo during the course of
the stop.” United States v. Hensley, 469 U.S. 221, 235 (1985). The detention of
non-suspects incidentally present on the scene, in the interest of officer safety,
should not ordinarily exceed in scope or duration that of the suspects directly
targeted by the Terry stop itself. W e have already held that Terry-style principles
(which may be less directly applicable to w itnesses, as opposed to suspects)
cannot be used to justify the ninety minute detention plaintiffs allege in this case.
-21-
A more extensive detention may be permitted where officers have secured a
valid search warrant, and they find non-suspects on the premises to be searched.
In M ichigan v. Summers, 452 U.S. 692 (1981), the Supreme Court permitted
officers in such circumstances to detain the persons they found, and even to
compel people outside the home to re-enter the premises and stay there, if
necessary. The Court reasoned that “[t]he detention of one of the residents w hile
the premises w ere searched, although admittedly a significant restraint on his
liberty, was surely less intrusive than the search itself,” for which a warrant had
been obtained. Id. at 701. W hile the Court noted that “[t]he risk of harm to both
the police and the occupants is minimized if the officers routinely exercise
unquestioned command of the situation,” id. at 702-03, we have found no case
extending this principle outside the context of a search pursuant to a warrant or
probable cause. Such circumstances are of course absent in this case.
In United States v. Edwards, 103 F.3d 90 (10th Cir. 1996), police pulled
over an automobile containing a frequent visitor to a drug house, just prior to
execution of a warrant at that house. They detained him at streetside for
forty-five minutes, three blocks from the house, during which time he was
handcuffed and guns were drawn. This court held that the extended detention had
been illegal because (1) the defendant did not know the warrant was being
executed, and had no reason to flee; (2) the police knew where he lived, and could
have stopped him briefly, then tailed him; (3) the defendant admittedly posed no
-22-
risk of harm to them; and (4) his detention played no part in facilitating the
search. Id. at 93-94. W e ultimately upheld the defendant’s conviction for other
reasons, but opined that he “was illegally arrested during the approximately thirty
minutes between the time w hen the police completed their [fifteen minute] ‘Terry
search’ of his person and vehicle, and the time when the discovery of [a drug lab
at the residence] gave rise to probable cause for [his] arrest.” Id. at 94.
Police officers may also conduct a “protective sweep” and limited search of
a premises, incident to an arrest, to protect the safety of officers and others.
M aryland v. Buie, 494 U.S. 325, 327 (1990). Such a sw eep, however, may only
be conducted if the officer reasonably believes that the area harbors an individual
posing a danger to himself or others. Id. M oreover, the sweep must last “no
longer than is necessary to dispel the reasonable suspicion of danger and in any
event no longer than it takes to complete the arrest and depart the premises.” Id.
at 335-36. The extended detention at issue in this case cannot be justified as part
of a protective sweep. 8
8
W e note that the facts developed for purposes of summary judgment
include an uncontested assertion that plaintiff Tyree Lamph “grabbed a shotgun
and stepped outside the W alker residence as the officers approached.” A plt.
App., No. 05-4038, Vol. I, at 193. He later set the shotgun down, however, and it
does not appear to have posed a continuing threat. Utah County also asserted that
there were guns inside the W alkers’ house, posing a safety issue for officers. Id.
at 198-201. W hile this might explain the need for O fficer M cDaniel to remain
just inside the threshold of the home, to insure officer safety during the time the
detention took place (assuming his lawful entry into the home in the first place, a
(continued...)
-23-
Finally, in the exercise of their “community caretaking function,” officers
may occasionally find it necessary to detain individuals to prevent them from
harming themselves or others. United States v. King, 990 F.2d 1552, 1560
(10th Cir. 1993). Nothing in the evidence suggests that such a detention was
reasonably necessary here.
In sum, based on the facts recited in plaintiffs’ complaint, the lengthy
detention alleged in this case was unreasonable and was not justified by either the
need for investigation of a crime or control of a crime scene. Having concluded
that plaintiffs have adequately alleged a violation of their Fourth Amendment
rights, we turn to whether the legal rule protecting those rights allegedly violated
by defendants was “clearly established” at the time of the events in question.
Anderson v. Creighton, 483 U.S. 635, 639 (1987).
b. Clearly established law
W hether a legal rule was clearly established at the time official action was
taken “depends substantially upon the level of generality at which the relevant
‘legal rule’ is to be defined.” Id. The Supreme Court has rejected an overly
abstract approach to this issue, which would “destroy the balance that our cases
strike between the interests in vindication of citizens’ constitutional rights and in
8
(...continued)
fact the plaintiffs dispute), neither his presence there nor the detention it
facilitated could be justified for the extended length of time involved here.
-24-
public officials’ effective performance of their duties.” Id. (quotation omitted).
Instead, it has adopted a more particularized approach to whether a right has been
“clearly established,” requiring that “[t]he contours of the right must be
sufficiently clear that a reasonable official would understand that what he is doing
violates that right.” Id. at 640.
“This is not to say that an official action is protected . . . unless the very
action in question has previously been held unlawful, but it is to say that in the
light of pre-existing law the unlawfulness must be apparent.” Id. (citations
omitted). “Ordinarily, in order for the law to be clearly established, there must be
a Supreme Court or Tenth Circuit decision on point, or the clearly established
weight of authority from other courts must have found the law to be as the
plaintiff maintains.” M edina v. City & County of Denver, 960 F.2d 1493, 1498
(10th Cir. 1992).
Plaintiffs had the burden, in response to defendants’ motion to dismiss, of
articulating such clearly-established law. Albright v. Rodriguez, 51 F.3d 1531,
1534 (10th Cir. 1995). They assert that Terry itself provides an on-point Supreme
Court decision. W e cannot agree. The Terry court disclaimed any intention to go
beyond the facts of that case and to set forth general principles governing “the
constitutional propriety of an investigative ‘seizure’ upon less than probable
cause for purposes of ‘detention’ and/or interrogation.” 392 U.S. at 19 n.16. It
-25-
offers no direct guidance on the issue here, which is the outer contours of
legally-permissible detention of witnesses.
W e note, moreover, that to the extent an analogy to Terry-style principles is
permissible to determine the reasonableness of the officers’ actions here, such
principles require us to balance competing interests. In assessing the
reasonableness of a detention under Terry, “[w]e must balance the nature and
quality of the intrusion on the individual’s Fourth A mendment interests against
the importance of the governmental interests alleged to justify the intrusion.”
Place, 462 U.S. at 703. W e have stated that “allegations of constitutional
violations that require courts to balance competing interests may make it more
difficult to find the law ‘clearly established’ when assessing claims of qualified
immunity.” M edina, 960 F.2d at 1498.
W hile there were certainly some suggestions in the law prior to Lidster that
the interrogation of witnesses was subject to Fourth Amendment constraints at
least as stringent as those involving detention of suspects, we have found no
pertinent Supreme Court or Tenth Circuit decision prior to the events in question,
and no clearly established weight of authority from other courts, that would have
made the unlawfulness of the officers’ conduct apparent to them. In sum, “[t]he
contours of the right [were not] sufficiently clear that a reasonable official would
understand that what he [was] doing violate[d] that right.” Brosseau v. Haugen,
543 U.S. 194, 199 (2004) (quotation omitted). W e therefore reverse the district
-26-
court’s order denying qualified immunity to Officers M onson and M cDaniel, and
remand for a grant of qualified immunity to those officers.
Case No. 05-4038
This appeal is brought by the W alker family members, who challenge the
grant of summary judgment on qualified immunity to Officers M onson and
M cDaniel, and the grant of summary judgment to Utah County on their wrongful
detention claim. For the reasons we have previously stated, we vacate for lack of
jurisdiction the district court’s determination for summary judgment purposes that
the officers were entitled to qualified immunity.
W e turn to plaintiffs’ appeal of the district court’s order granting summary
judgment to Utah County. Utah County, as a municipal defendant, was not
entitled to qualified immunity. See, e.g., Valdez v. City & County of Denver,
878 F.2d 1285, 1287 n.2 (10th Cir. 1989). Nor did the officers’ qualified
immunity appeals divest the district court from determining whether the Sheriff’s
Office was entitled to summary judgment. The appeals only divested the district
court of jurisdiction over claims against the individual officers. Stewart,
915 F.2d at 576 (stating that interlocutory appeal “divests the district court of
jurisdiction to proceed with any part of the action against an appealing
defendant.”) (emphasis added). Finally, in assessing the grant of summary
judgment, we are not limited to the language of plaintiffs’ complaint but must
consider additional facts developed for purposes of summary judgment.
-27-
The district court concluded that plaintiffs had “failed to meet their burden
of establishing the elements of [a] municipal liability [claim]” against Utah
County. Aplt. App., No. 05-4038, Vol. II, at 779. It rejected plaintiffs’ “failure
to train” claim, reasoning that plaintiffs had “failed to establish any facts which
show that either Deputies M onson or M cDaniel were inadequately trained by Utah
County, that Utah County acted with deliberate indifference towards the rights of
citizens by not adequately training its officers, or even that a constitutional
violation occurred as a result of their detention.” Id. at 781. The district court
also rejected plaintiffs’ claim that Utah County had maintained a pattern or
practice of permitting unconstitutional conduct by its officers, finding that “it was
reasonable for the entities to conclude that their officers perceived a real threat to
their ow n safety and acted out of self defense and that their conduct [was]
reasonable.” Id. (It is unclear whether the district court meant to refer to the
detention claim when it justified the officers’ actions on the basis of
self-defense.)
“[A] plaintiff suing a county under section 1983 for the actions of one of its
officers must demonstrate two elements: (1) a municipal employee committed a
constitutional violation, and (2) a municipal policy or custom was the moving
force behind the constitutional deprivation.” M yers v. Okla. County Bd. of
County Com m’rs, 151 F.3d 1313, 1318 (10th Cir. 1998). W e now turn to
plaintiffs’ showing as to each of these elements.
-28-
1. Existence of a constitutional violation
The summary judgment evidence fleshed out considerably the bare bones of
plaintiffs’ unconstitutional detention claim, as described in their complaint. W e
have carefully review ed these additional facts. W hile most of the additional facts
developed merely confirm our previous analysis concerning the constitutionality
of the officers’ conduct, several facts require specific analysis and will be
separately described here.
To begin with, the summary judgment evidence revealed that M onson and
M cDaniel’s participation in the detention of plaintiffs did not last the full hour
and a half alleged in plaintiffs’ complaint. Officer M onson’s involvement, for
example, lasted only twenty-nine minutes, from approximately 7:16 p.m. when he
arrived on the scene, until 7:45 p.m. when plaintiffs left for the hospital. Officer
M cDaniel’s involvement may have been somewhat longer, but certainly not for
the entire hour and one half. Thus, the length of detention attributable to Utah
County may be as little as approximately one-half hour, rather than the one and
one-half hours as generally alleged in plaintiffs’ complaint. W e do not believe
that this fact alone, however, should result in summary judgment for Utah
County, for two reasons. First, even a detention lasting approximately a half hour
may not have been reasonable under the standard detailed in Brown, 443 U.S. at
50-51. As witnesses to a crime, plaintiffs could be detained no longer than
necessary to obtain the basic information from them that we have specified. O n
-29-
the summary judgment record in this case, there appears to be a genuine factual
dispute concerning whether plaintiffs volunteered this basic information, or
refused to provide it, when requested to do so by officers. M oreover, issues of
fact remain concerning the amount of time reasonably necessary to secure the
scene and insure the safety of the officers and witnesses present.
Second, even if a half-hour detention was reasonable, a ninety-minute
detention would not have been. A difficult issue is thus posed concerning
whether the detention in the range of one half hour directly attributable to Utah
County should be viewed in a vacuum. As the district court recognized, see Aplt.
App., No. 05-4038, Vol. II, at 716, if we examine only the length of the detention
directly attributable to Utah County, this makes possible a “tag-team” approach,
where officers from a variety of jurisdictions could take turns detaining citizens
for constitutionally-permissible time periods that in the aggregate would amount
to an unreasonable and excessively prolonged detention. To say that police are
unlikely to adopt such an approach is to ignore plaintiffs’ contention that they did
behave in that fashion in this case. W e conclude that even considering the
additional facts developed on summary judgment, plaintiffs have established
evidence of a constitutional violation for purposes of surviving summary
judgment on their claim against Utah County.
-30-
2. M unicipal policy or custom
Plaintiffs contend that Utah C ounty’s failure to correctly train its officers
concerning the constitutional limitations on detention of witnesses in connection
with police shooting investigations satisfies the second element of the test for
municipal liability. “[I]n order for liability to attach to a m unicipality, the failure
to train must amount to deliberate indifference to the rights of persons with whom
the police come into contact.” M yers, 151 F.3d at 1318 (quotation omitted).
Plaintiffs argue that the training Officers M onson and M cDaniel received satisfies
this standard because they were trained that there was no limit on the amount of
time they could detain w itnesses.
The summary judgment record includes training materials Officer M onson
received at a seminar in Ogden. A checklist for officer-involved shootings
required officers on the scene to “[l]ocate, identify, detain, ‘statementize’ [sic]
and sequester witnesses as well as possible.” Aplt. App., No. 05-4038, Vol. II, at
630. The training materials further explained this requirement, stating that the
officers should make “[p]rompt, aggressive and thorough attempts . . . to locate
witnesses, then obtain meaningful statements [from them],” id. at 631 (emphasis
added), should “[p]in them dow n as if that will be the only interview,” id. at 632,
and should, “[i]f possible, detain and sequester witnesses who have significant
information for interviews with investigators after they give statements to patrol
officers.” Id.
-31-
The materials do not specify a particular time limit for the detention of
witnesses. Officer M onson did explain his understanding that the length of
detention is governed by a reasonableness standard. He stated “[t]here’s no set
time that I’ve ever been told. There’s nothing written that a witness can only be
held this long and then the clock is up . . . . I think it is a reasonableness
standard, depending on the totality of the situation.” Id., Vol. I, at 275 (dep. p.
94). Plaintiffs point us to no evidence in the summary judgment record that
suggests that Utah County either had a policy that officers could retain witnesses
in situations involving a police shooting beyond the time reasonably necessary to
investigate the incident, obtain necessary statements, secure the scene, and the
like. Nor is there any evidence that Utah County’s training suggested or
permitted a policy that detention for an unreasonable time was allow ed. Thus,
summary judgment for Utah County must be affirmed.
Plaintiffs also argue that Utah County is liable because Officer M onson was
the final policymaker for the county in terms of how the investigation was
conducted. Having reviewed the evidence cited by plaintiffs, we agree with the
district court that they have failed to establish Officer M onson’s role as a
policymaker for U tah County. See Randle v. City of Aurora, 69 F.3d 441, 448
(10th Cir. 1995) (setting out standards for determining who is policymaker for
municipal liability purposes).
-32-
Cases No. 05-4016 and 05-4025
These two appeals challenge the district court’s denial of summary
judgment based on qualified immunity to the officers w ho shot and killed David
W alker. Case No. 05-4016 is brought by Sergeant Harold Peterson of the Orem
City Police Department. Case No. 05-4025 is brought by Officer John Clayton of
the Pleasant Grove Police Department. In each case, a threshold issue is
presented: whether this court has jurisdiction over the interlocutory appeal from
the denial of summary judgment.
This court has appellate jurisdiction over “final decisions” of the district
courts. 28 U.S.C. § 1291. Under the “collateral order” doctrine, some district
court orders are considered “final” even though they are entered before final
judgment has entered in the case. Cohen v. Beneficial Indus. Loan Corp.,
337 U.S. 541, 546-47 (1949). One such collateral order permitting interlocutory
appeal is an order denying qualified immunity. M itchell v. Forsyth, 472 U.S. 511,
530 (1985). A denial of qualified immunity is only immediately appealable,
however, to the extent the district court’s decision turns on an abstract issue of
law. Id.; see also Johnson v. Jones, 515 U.S. 304, 313-14, 317 (1995).
Included within these abstract issues of law reviewable on interlocutory
appeal is the purely legal question of whether the facts alleged by plaintiff
support a claim of violation of clearly established law. M itchell, 472 U.S. at 528
n. 9. A defendant may not immediately appeal a district court’s order denying
-33-
qualified immunity, however, merely to dispute the district court’s conclusions
that plaintiff’s claims are supported by sufficient evidence in the record or that
disputed issues of material fact exist which preclude summary judgment.
Johnson, 515 U.S. at 313; Foote v. Spiegel, 118 F.3d 1416, 1422 (10th Cir. 1997).
The district court denied qualified immunity because it determined “that
there are material issues of genuine fact, which, when viewed in the light most
favorable to Plaintiffs, preclude this Court from determining as a matter of law
that these Defendants’ conduct was objectively reasonable in light of clearly
established law.” Aplt. App., No. 05-4016, Vol. III, at 671. 9 As we read it, the
9
The district court identified seven categories of disputed and material facts:
I. That which was known, believed, or observed by Clayton and
Petersen prior to their arrival at the W alker[s’] residence;
ii. W hether or not David W alker ever turned on Officer Peters[o]n
prior to being shot by Officer Peters[o]n;
iii. W hether David W alker was confronting Officer Peterson at the
time he was shot by Officer Peterson;
iv. W hether David W alker’s arms were dropping at the mom ent he
was shot by Officer Peters[o]n;
v. The amount of light that was available at the scene;
vi. W hat witnesses at the scene may have said prior to the shooting;
and
vii. W hether Officers Clayton and Peterson gave any warnings prior
to the shooting.
(continued...)
-34-
district court’s ruling has two distinct components: (1) based on the evidence
before it, there is a genuine issue of fact as to what happened during the
encounter between the officers and W alker; and (2) viewing the disputed evidence
in the light most favorable to plaintiff, the officers’ conduct violated clearly
established law. W e lack jurisdiction to review the district court’s determination
on the first point, that “the evidence could support a finding that particular
conduct occurred.” M alik v. Arapahoe County Dep’t of Soc. Servs., 191 F.3d
1306, 1314 (10th Cir. 1999) (quotation omitted). At times, defendants appear to
challenge the district court’s finding concerning evidentiary sufficiency. Officer
Clayton, for example argues that “the seven ‘disputes’ identified by the district
court were not actually disputes regarding Officer Clayton’s version of events.”
Aplt. Opening Br., No. 05-4025, at 41. Officer Peterson argues that “[c]ontrary
to the district court’s conclusion, the allegedly disputed facts are either
unsupported by any evidence or are immaterial to the qualified immunity
determination.” Aplt. Opening Br., No. 05-4016, at 10. W e lack jurisdiction over
these challenges to the district court’s findings to the extent they challenge the
existence of disputed facts for summary judgment purposes.
9
(...continued)
Aplt. App., No. 05-4016, Vol. III, at 671-72.
-35-
W e may, however, examine the facts presented on summary judgment in
the light most favorable to the plaintiff, 10 to determine whether they amount to a
violation of a clearly-established right. W e have previously stated the standard
for granting qualified immunity. In arriving at plaintiff’s “version of the facts”
for purposes of this inquiry, we begin by noting that plaintiff did not dispute most
of the facts contained in the “statements of uncontroverted fact” accompanying
defendants’ motions for summary judgment. To the extent that these facts are
undisputed, they must be deemed conceded for purposes of our inquiry. Cf.
M edina v. Cram, 252 F.3d 1124, 1131 (10th Cir. 2001) (stating reviewing court
need not look solely to plaintiff’s version of facts where facts are undisputed).
Plaintiff filed her own statement of additional undisputed facts, however, which
the district court did not exclude. These facts must also be taken into account for
purposes of the inquiry. 11
W e specifically reject Officer Clayton’s argument that his undisputed
statement of facts constitutes the only evidence to be considered for purposes of
the qualified immunity inquiry. See Aplt. M em. Br., No. 05-4025, at 12-15. He
10
As the district court recognized, the only plaintiff with standing to bring
the excessive force claim under § 1983 at issue here is Debbie W alker, in her
capacity as the personal representative of David W alker’s estate.
11
Although plaintiffs filed a consolidated summary judgment memorandum,
responding to all of the motions for summary judgment, Officers Peterson and
Clayton each filed separate motions for summary judgment, containing separate
factual materials. The district court did not distinguish between these materials in
ruling on both summary judgment motions, and neither w ill w e.
-36-
contends that since the plaintiff did not contest his statement of facts, and did not
file a cross-motion for summary judgment, she could not present any additional
facts by way of her own statement of uncontested facts. He relies upon a local
rule, D. Utah Civ. R. 56-1(c), which states:
(c) C ontested Facts Declared in Summary Judgment M otion. A
memorandum in opposition to a motion for summary judgment must
begin with a section that contains a concise statement of material
facts as to which the party contends a genuine issue exists. Each fact
in dispute must be numbered, must refer with particularity to those
portions of the record on which the opposing party relies and, if
applicable, must state the number of the movant’s fact that is
disputed. All material facts of record meeting the requirements of
Fed.R.Civ.P. 56 that are set forth with particularity in the statement
of the movant will be deemed admitted for the purpose of summary
judgment, unless specifically controverted by the statement of the
opposing party identifying material facts of record meeting the
requirements of Fed.R.Civ.P. 56.
It is true that plaintiff did not dispute most of the facts contained in Officer
Clayton’s statement of uncontroverted facts. Instead, she prepared a statement of
additional facts w hich she contended were undisputed. W hile that is not exactly
the format contemplated by the local rule, 12 the district court (which is the first
line of enforcement for local rules) did not exclude plaintiff’s additional facts
presented in this format, even though urged to do so by Officer Clayton.
Accordingly, neither w ill w e.
12
Plaintiff could have, for example, complied with the rule by disputing the
specific facts stated by defendants as “incomplete.”
-37-
Because the district court did not identify with any specificity the facts that
it assumed in denying summary judgment, see Blossom v. Yarbrough, 429 F.3d
963, 966 (10th Cir. 2005), we have carefully review ed the materials presented to
the district court to determine which facts it must have assumed, Sevier v. City of
Lawrence, 60 F.3d 695, 700 (10th Cir. 1995). Plaintiff’s version of the facts,
viewed in light of this record and including defendants’ facts undisputed by
plaintiff, presents the following factual scenario.
FACTS
Prior to the shooting, David W alker had been living with his parents and
his sister in rural Utah County. David was unemployed, had not completed high
school, had a criminal record involving drug possession, and was addicted to
methamphetamine.
Two days before he was shot, David left the family home. He was
depressed because his ex-wife had not allowed him to see his children at
Christmas. W hen he left, he took an old Subaru that belonged to his sister, Patti.
The automobile was neither registered nor insured, and David did not possess a
driver’s license.
David’s mother called him after the family realized the car w as missing.
During their conversation, David threatened to kill himself. Concerned with this
threat, his family decided to contact the police. They reported the Subaru stolen
in order to obtain assistance in locating David.
-38-
The next day, December 29, David called his mother. The Orem police
were able to trace the call to a Sinclair station. David saw the police arrive at the
gas station and was able to evade them. The Orem police pursued David
throughout Orem as he drove dangerously on busy streets. After he ran a red
light, the Orem police called off the chase but kept the Subaru in sight. The
Subaru crisscrossed the foothills above Orem, Lindon, and Pleasant Grove.
Officer Peterson was working an accident when he heard an Orem dispatch
for a suspect at a Sinclair station who was possibly en route to cause harm to his
family. None of David’s family members, however, had stated they believed
David would harm them; this report was apparently an error by the Orem
dispatcher. Shortly thereafter, the Orem dispatcher added information that David
was threatening suicide. This additional information was broadcast before
Officer Peterson became involved in the chase.
Sometime after he heard the Orem dispatch, the Pleasant Grove police
department radioed Officer Peterson, asking him to bring spikes (a tool used to
shred tires) to help end the pursuit of the Subaru. Officer Peterson left the auto
accident scene to take the spikes to Pleasant Grove.
In the meantime, as David W alker drove down out of the foothills, police
sergeant Krisden Hendricksen spotted David’s car near the Kiwanis Park area of
Pleasant Grove. He pulled his police car behind the Subaru at a stop sign in an
attempt to box it in. Officer Peterson, who was also in the vicinity, activated his
-39-
overhead lights, and assisted with the attempt to box the Subaru in. Sergeant
Hendricksen then approached W alker, night stick in hand, yelling, “Police.
Stop.” Walker backed up the Subaru, forcing Hendricksen to jump out of the
way, and evaded the officers by driving through a ditch and bouncing back up
onto the street.
Officer Peterson thereafter chased the Subaru through Pleasant Grove at
speeds ranging from 30 to 50 miles per hour, as David W alker ran through a
series of stop signs. Officer Clayton joined the pursuit after he received a
dispatch call stating that the pursuit w as nearing his location.
The chase ended in the driveway in front of the W alker family residence.
Plaintiff asserts that the officers at least should have known, based on radio
broadcasts, that this was the W alker residence. The officers, however, deny
knowing where they were.
Although it was night time, there were several sources of light on the
scene: the porch light, a large building light, the Subaru’s two headlights on high
-40-
beam, 13 the two officers’ cars’ lights, and the moon. 14 One witness described the
scene as bright enough to read a book.
David stopped the Subaru in the driveway. Officer Peterson pulled his car
in behind the Subaru. Officer Clayton arrived shortly after Peterson and parked
his car behind Peterson’s marked car. The officers turned off their sirens after
they arrived on the scene. 15
David got out of his car and moved away at something between a walk and
a jog. Things happened very fast after this. One witness estimated that he was
shot only about twelve seconds later. Officer Peterson turned off his spotlight,
got out of his car, and moved up the driver’s side of the Subaru. 16 He had draw n
his gun before leaving the car.
13
Defendants contend that the left headlight on the Subaru was broken;
plaintiff disputes this. The videotaped crime scene walkthrough does show
significant damage to the Subaru’s left front quarter panel, and it is evident that
the left headlight was not working at the time of the walkthrough. It is unclear
whether the damage was sufficient to have rendered the headlight inoperable on
its high beam setting at the time of the shooting.
14
Defendants assert that heavy clouds obscured any ambient light that might
have come from the moon, or from starlight.
15
Defendants contend that the sirens remained on after the end of the chase.
In the district court, they apparently supplied a tape recording of Officer
Peterson’s call to dispatch after the shooting on which they asserted that police
sirens could be heard. W e do not have this recording as part of the record on
appeal, however.
16
Officer Peterson asserted that he sought to end the pursuit by tackling
David W alker from behind. Plaintiff contends that he was never close enough to
David to tackle him.
-41-
David then pulled a knife or box-cutter out of his pocket, and held it to his
wrist. 17 His hands were about chest height, straight out. His left wrist was bent
to expose the wrist. He was facing at an angle somewhat but not directly facing
toward Officer Peterson, who was behind the Subaru’s driver’s side door,
approximately twenty-one feet away. 18
Tyree Lamph, who witnessed the shooting, thought for a split second that
the box-cutter might be a gun. Debbie W alker and Patti W alker Stratton,
however, realized immediately that it was a knife. They began shouting to
Officer Peterson that David did not have a gun. Officer Peterson contends that he
shouted commands to David such as stop, freeze, and drop his weapon.
M s. W alker and M s. Stratton testified, however, that they did not hear Peterson
issue any such commands.
Officer Peterson testified that he believed that D avid had a gun.
Specifically, he thought it w as a .38 special with a two-inch barrel. He
backpedaled and pulled the trigger on his gun tw ice, attempting to shoot D avid.
Officer Peterson’s gun did not fire. This was because he had grabbed the gun so
17
The object David held to his wrist was described by various witnesses as a
box cutter, Aplt. App., No. 05-4025, Vol. I, at 128, a razor knife used as a box
cutter, id. at 131, a “hinged razor,” id. at 101, and a knife, id. at 135. Any
discrepancy in the description is not material to the outcome of this case.
18
Plaintiff contended in her statement of undisputed facts that David’s body
was facing Tyree and angled away from Officer Peterson. She did not dispute
Officer Clayton’s undisputed statement of fact, however, that David was facing
toward Peterson at some point prior to the time Peterson fired.
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fast that his thumb had hit the clip release. David started to lower his hands, as
though he were going to take off running from the officers. Before he could take
any further action, however, Officer Peterson popped the clip back in and opened
fire.
Officer Peterson shot David in the right hip. The bullet penetrated his right
hip, traversing his body, and lodged in his left hip. David staggered back four or
five steps, hit the back of a parked camper, and fell forw ard.
Officer Clayton was kneeling behind his car, fifty-eight feet away. He had
heard shots fired, but had not seen a muzzle flash, and did not see anything that
looked like a gun in David’s hands. He relied solely on David’s actions to
conclude that he was in danger. Specifically, after David was shot by Officer
Peterson, David swung toward Officer Clayton in what Officer Clayton described
as a “classic pistol shooting stance.” 19 Also, Officer Peterson had sunk down
behind the Subaru, taking cover, and Officer Clayton believed he might have been
shot.
19
Plaintiff now argues that this description of David’s position is inconsistent
with the ballistic evidence. Aplee Br., No. 05-4025, at 17. In the district court,
however, she did not dispute Officer Clayton’s statement of undisputed material
fact no. 20, in w hich Officer Clayton cited his deposition testimony that David
turned in his direction with his arms outstretched in a classic pistol shooting
stance.
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Officer Clayton opened fire, hitting David in the chest with two shots. 20 It
is plaintiff’s theory that Officer Peterson then fired a final shot that ricocheted off
the ground, struck David’s back, and lodged in a mud flap on the ground beside
David. Four expended shell casings were found on the ground at the scene. After
the shooting, the officers discovered that David had only the knife, and not a gun.
ANALYSIS
Having set out these applicable facts, we must next determine, on de novo
review, whether they amount to a violation of a clearly established constitutional
right. Officer Clayton contends that in conducting this inquiry, the district court
erred by failing to separate his own liability from that of Officer Peterson. W e
will consider the officers’ conduct separately for purposes of this de novo inquiry.
W e analyze claims of excessive force under the Fourth Amendment’s
objective reasonableness standard. M edina, 252 F.3d at 1131. It is clearly
established that an officer must use only reasonable force to effectuate a seizure.
Id. “Determining whether the force used to effect a particular seizure is
‘reasonable’ under the Fourth Amendment requires a careful balancing of the
nature and quality of the intrusion on the individual’s Fourth Amendment
20
Officer Peterson contends that only one of the two bullets Officer Clayton
fired entered David’s chest. The other, he argues, entered David’s back after he
had been spun around. The parties submitted complex forensic testimony on
these issues; however, for purposes of our inquiry, we must accept plaintiff’s
version of events.
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interests against the countervailing governmental interests at stake.” Graham v.
Connor, 490 U.S. 386, 396 (1989) (quotations omitted). M oreover, “[t]he
reasonableness of an officer’s conduct must be assessed from the perspective of a
reasonable officer on the scene . . . [who] may be forced to make split-second
judgments under stressful and dangerous conditions.” M edina, 252 F.3d at 1131
(quotations omitted).
In conducting this inquiry, we consider the totality of the circumstances,
including such factors as “the severity of the crime at issue, whether the suspect
poses an immediate threat to the safety of the officers or others, and whether he is
actively resisting arrest or attempting to evade arrest by flight.” Graham,
490 U.S. at 396. “The use of deadly force is justified under the Fourth
Amendment if a reasonable officer in the Defendant’s position would have had
probable cause to believe that there was a threat of serious physical harm to
themselves or to others.” Phillips v. James, 422 F.3d 1075, 1083 (10th Cir. 2005)
(quotation omitted).
O fficer Peterson
According to plaintiff’s version of events, Officer Peterson shot David
W alker twice from a distance of at least twenty-one feet. Officer Peterson drew
his gun before he left his patrol car. David W alker did not have a gun and was
not pointing a gun at Officer Peterson. He did have a small knife or box cutter,
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w hich he w as in the process of lowering at the time Officer Peterson fired. He
was not advancing on Officer Peterson.
Information was broadcast over the police radio before Officer Peterson
arrived at the location of the shooting that David was suicidal, not homicidal.
W hile David had previously eluded police, nearly running over an officer, and
had driven recklessly just prior to the incident, he had not affirmatively led
anyone to believe that he had a firearm and had not made any violent threats
toward the officers or others.
Just before the shooting, David W alker’s body was angled roughly tow ard
Officer Peterson. As plaintiff points out, David could not have been squarely
facing Officer Peterson, because the first bullet entered his right hip, traversed his
body, and lodged in his left hip. David was holding the knife to his left wrist.
His left wrist was bent downward to expose it to the knife blade. W hile it was
night time, plaintiff asserts that there were a number of light sources on the scene
that w ould have made it possible for Officer Peterson to see fairly well. (He
admits he could see well enough to determine the specific caliber of the pistol he
thought David w as pointing at him.)
W itnesses on the scene were yelling to Officer Peterson that David W alker
did not have a gun. He claims he did not hear them. They, in turn, claim they
never heard Officer Peterson yell to David W alker to drop the weapon, or give
him any other commands. There would not have been much time for commands
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in any event. Less than twelve seconds after David W alker exited his vehicle,
Officer Peterson opened fire on him.
W e conclude that plaintiff’s version of the facts presented on summary
judgment support a claim of a violation of David W alker’s Fourth Amendment
right to be free from excessive force. Plaintiff’s version of events suggests that
Officer Peterson acted precipitously in shooting David, who posed a danger only
to himself. The crimes at issue (theft of the vehicle, eluding the officers) were
not particularly severe. David did not pose an immediate threat to the safety of
the officers or others. He had made no threats and was not advancing on anyone
with the small knife. He was holding the knife to his own wrist. W hile Officer
Peterson stated that he believed David was pointing a gun at him, this belief was
not reasonable, if plaintiff’s version of events is accepted, and she is given the
benefit of every reasonable inference. The angle of David’s hands and the
amount of light on the scene should have permitted Officer Peterson to ascertain
that he was not holding a gun in a shooting stance. Finally, David was not
actively resisting arrest, and there was no need to use deadly force to prevent him
from fleeing and possibly harming others.
The right to be free from excessive force was w ell established in this circuit
at the time of the events in question. See, e.g., Allen v. M uskogee, 119 F.3d 837,
840-41 (10th Cir. 1997). It was specifically established that where an officer had
reason to believe that a suspect was only holding a knife, not a gun, and the
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suspect was not charging the officer and had made no slicing or stabbing motions
tow ard him, that it was unreasonable for the officer to use deadly force against
the suspect. Zuchel v. City & County of Denver, 997 F.2d 730, 735-36 (10th Cir.
1993). Plaintiff’s version of the facts therefore shows the violation of a
clearly-established constitutional right. W e must therefore affirm the district
court’s order denying qualified immunity to Officer Peterson.
O fficer Clayton
M uch of what has already been said about the circumstances surrounding
Officer Peterson’s actions also applies to Officer Clayton’s conduct. At the time
he fired at David, Officer Clayton was behind the cover of his vehicle, fifty-eight
feet away from David. David was not advancing on him and had not threatened
him in any way, other than allegedly pointing his hands in O fficer Clayton’s
direction in what Officer Clayton interpreted as a “classic shooting stance.”
Officer Clayton had not seen a gun in David’s hands. W hether he reasonably
believed from the shots he heard, and the fact that Officer Peterson had ducked
behind the Subaru, and the position of D avid’s body and hands, that he or others
were in danger from David, is a factual question that remains to be resolved.
W hen reviewing the denial of a motion for summary judgment based on qualified
immunity, we are not only required to accept plaintiff’s version of events; we are
also required to draw all reasonable inferences in favor of the non-moving party.
Verdecia v. Adam s, 327 F.3d 1171, 1174 (10th Cir. 2003). W e conclude that,
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given all reasonable inferences, plaintiff’s version of the facts shows the violation
of a constitutional right. That right is also clearly established. W e must therefore
affirm the district court’s denial of qualified immunity to Officer Clayton.
C ON CLU SIO N
In Case No. 04-4140, we reverse the district court’s denial of qualified
immunity to Officers M onson and M cDaniel, and remand for a grant of qualified
immunity to those officers. In Case No. 05-4038, we vacate the district court’s
grant of summary judgment to officers M onson and M cDaniel, but affirm the
grant of summary judgment in favor of Utah County. W e dismiss Cases
No. 05-4016 and 05-4025 in part for lack of appellate jurisdiction, and affirm in
part.
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