United States Court of Appeals
For the First Circuit
No. 07-2196
ASOCIACIÓN DE PERIODISTAS DE PUERTO RICO, Puerto Rico
Journalists Association; OVERSEAS PRESS CLUB OF PUERTO RICO;
NORMANDO VALENTÍN, individual capacity and on behalf of his
respective Conjugal partnership; VÍCTOR SÁNCHEZ, individual
capacity and on behalf of his respective Conjugal Partnership;
JOEL LAGO-ROMÁN, individual capacity and on behalf of his
respective Conjugal Partnership; COSSETTE DONALDS-BROWN,
individual capacity and on behalf of her respective Conjugal
Partnership; VÍCTOR FERNÁNDEZ, individual capacity and on
behalf of his respective Conjugal Partnership; ANNETTE ÁLVAREZ,
individual capacity and on behalf of her respective
Conjugal Partnership,
Plaintiffs, Appellants,
v.
ROBERT MUELLER, in his official capacity as Director of the
Federal Bureau of Investigation; TEN UNKNOWN AGENTS OF THE
FEDERAL BUREAU OF INVESTIGATION, individually and in their
official capacity and on behalf of their Conjugal Partnership;
AGENT KEITH BYER, individually and in his official capacity and
on behalf of his Conjugal Partnership; AGENT LUIS S. FRATICELLI,
individually and in his official capacity and on behalf of his
Conjugal Partnership; AGENT JOSÉ FIGUEROA-SANCHA, individually
and in his official capacity and on behalf of his
Conjugal Partnership,
Defendants, Appellees.
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF PUERTO RICO
[Hon. José Antonio Fusté, U.S. District Judge]
Before
Lynch, Chief Judge,
Torruella, Circuit Judge,
and Selya, Senior Circuit Judge.
Catherine Crump, with whom Aden J. Fine, ACLU Foundation, Nora
Vargas-Acosta, Josué Gonzáles-Ortiz, William Ramírez, ACLU, Puerto
Rico National Chapter, was on brief for appellants.
Germán A. Rieckehoff, Assistant United States Attorney, with
whom Rosa E. Rodríguez-Vélez, United States Attorney, Nelson Pérez-
Sosa, Assistant United States Attorney, Chief Appellate Division,
and Isabel Muñoz-Acosta, Assistant United States Attorney, was on
brief for appellees.
Lucy A. Dalglish, Gregg P. Leslie, Corinna J. Zarek, and
Elizabeth J. Soja, on brief for amicus curiae The Reporters
Committee for Freedom of the Press.
June 18, 2008
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TORRUELLA, Circuit Judge. This appeal involves alleged
violations of the First and Fourth Amendments by the Federal Bureau
of Investigation ("FBI") against a group of journalists during the
execution of a search warrant. The district court granted summary
judgment for the defendants on all claims based on qualified
immunity. After carefully considering the evidence in the record,
we affirm summary judgment on all First Amendment claims, but hold
that summary judgment was not proper against the individual
plaintiffs on their excessive force claims.
I. Background
As this case comes to us on summary judgment, we recount
the facts in the light most favorable to the nonmoving parties; in
this case, those parties are the plaintiffs. See, e.g., Franceschi
v. U.S. Dep't of Veterans Affairs, 514 F.3d 81, 84 (1st Cir. 2008).
On February 10, 2006, FBI agents executed a search
warrant on Liliana Laboy-Rodríguez's residence in a condominium
complex in San Juan, Puerto Rico. Laboy-Rodríguez is a prominent
political activist associated with the Puerto Rico independence
movement. News of the search spread quickly; during the course of
the day, members of the media descended on the scene and set up to
cover the events as they unfolded. Among those journalists were
the individual plaintiffs: Normando Valentín, a television
reporter; Victor Sánchez, his cameraman; Cossette Donalds Brown, a
radio reporter; Víctor Fernández, a television cameraman; Annette
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Álvarez, a television reporter; and Joel Lago-Román, a radio
reporter.
Laboy-Rodríguez resides in an apartment within a multi-
unit condominium building surrounded by a metal fence and concrete
wall. There are two access points in the fence: a pedestrian gate
and a vehicular access gate. A private security guard controls the
flow of cars and people into the building and parking lot from a
booth located between the two gates. During the execution of the
search warrant, the FBI agents utilized the building's existing
fence and security structure to restrict the flow of people into
the area. Access was limited to residents, their guests, and
building employees. Members of the media and other curious
bystanders congregated outside the metal fence on the street and
sidewalk.
Around noon, a U.S. Department of Homeland Security
helicopter approached a nearby field. As an FBI agent on the
ground signaled to the helicopter, it landed and eight to ten
heavily armed agents disembarked. Some of the journalists
approached the field hoping to interview the agents as they made
their way to the condominium. The agents allegedly pushed away the
journalists' microphones, placed a hand in front of the lens of one
camera, and raised a rifle in their direction. Unsuccessful at
obtaining any statements from the agents, the journalists
eventually returned to the outside of the complex. By this point,
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the crowd of people outside of the fenced area -- members of the
media and the general public, including some local students -- had
grown and some were shouting foul language at the agents.
Two hours later, Laboy-Rodríguez's daughter (Natalia
Hernández-Laboy) and lawyers arrived and gained admittance to the
condominium building. Laboy-Rodríguez came downstairs to meet with
them, and she was interviewed by one reporter who had entered the
complex. During this time, FBI agents began exiting the building,
loading their cars with boxes of seized materials. Soon
thereafter, more reporters and other camerapersons entered the
gated area, allegedly in response to a "wave" from Natalia
Hernández-Laboy, and approached the agents with questions.
According to one plaintiff's account, some fifteen to twenty people
had entered the gated area.
The FBI agents ordered the group to return outside the
gated area. The plaintiffs maintain that they were peaceful at all
times and that when ordered to leave, they sought to exit through
the pedestrian gate, but were hindered by the agents' attempts to
push the crowd through the narrow opening. The plaintiffs assert
that without giving them an opportunity to exit, FBI agents
physically grabbed and assaulted the reporters and cameramen using
pepper spray and metal batons. Several of the plaintiffs aver that
they sought and received medical treatment for their injuries.
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On September 20, 2006, the plaintiffs –- several
individual journalists and the Asociación de Periodistas de Puerto
Rico and the Overseas Press Club of Puerto Rico, two organizations
comprised of journalists, photographers, and camerapersons -- filed
a complaint against the defendants, FBI Director Robert Mueller and
other known and unknown agents of the FBI, alleging violations of
their First and Fourth Amendment rights. The defendants moved for
summary judgment, claiming protection from the allegations on the
basis of qualified immunity. In support of their motion, the
defendants submitted an affidavit by FBI Special Agent Keith Byers
and a DVD with video footage of the day's events. The court
granted the defendants' motion for summary judgment, finding that
the plaintiffs' proffered facts had failed to establish a
constitutional violation. Plaintiffs appealed.
II. Discussion
A. Standard of Review
Summary judgment is proper when "there is no genuine
issue as to any material fact and . . . the movant is entitled to
judgment as a matter of law." Fed. R. Civ. P. 56(c). Our review
of a court's grant of summary judgment is de novo. Whitman v.
Miles, 387 F.3d 68, 70 (1st Cir. 2004). Reversal is required if
"there existed any factual issues that needed to be resolved before
the legal issues could be decided." Sabree v. United Bhd. of
Carpenters & Joiners Local No. 33, 921 F.2d 396, 399 (1st Cir.
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1990) (quoting Rossy v. Roche Prods., Inc., 880 F.2d 621, 624 (1st
Cir. 1989)); see also Anderson v. Liberty Lobby, Inc., 477 U.S.
242, 250 (1986) (requiring reversal if "there are any genuine
factual issues that properly can be resolved only by a finder of
fact because they may reasonably be resolved in favor of either
party"). At summary judgment, the court's focus is not "to weigh
the evidence and determine the truth of the matter but to determine
whether there is a genuine issue for trial." Id. at 249.
B. Defendants' DVD
As an initial matter, there is some question surrounding
the admissibility of a Spanish-language DVD submitted by the
defendants without any accompanying affidavits. The DVD is a
segment of a local news program that played footage of the day's
events. In their motion for summary judgment, the defendants
relied heavily on the DVD. Citing to the Supreme Court's decision
in Scott v. Harris, 127 S. Ct. 1769 (2007), the defendants argued
that the video disproves the plaintiffs' factual allegations of
interference with news gathering and use of excessive force.
Although the plaintiffs did not file a motion to strike the DVD
evidence, they disputed the DVD's authenticity in their opposition
to summary judgment.1 Specifically, the plaintiffs asserted that
1
We have declined to adopt a rigid rule requiring a motion to
strike in order to preserve an objection to the admissibility of
evidence in connection with a summary judgment motion. See
Pérez v. Volvo Car Corp., 247 F.3d 303, 314 (1st Cir. 2004). As
long as the objecting party makes the objection known to the court
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the DVD appeared to be heavily edited, and the lack of any
affidavits attesting to the DVD's authenticity required a finding
that the evidence was not proper for consideration at summary
judgment.
In its order, the district court noted the plaintiffs'
objections to the DVD and stated: "We, therefore, base our
discussion on Plaintiffs' version of the facts." Asociación de
Periodistas de Puerto Rico v. Mueller, No. 06-1931, slip op. at 12
(D.P.R. June 12, 2007). Although the court did not formally
strike the DVD from the record, we think it reasonable to conclude
that the district court excluded it in its consideration of the
summary judgment motion. Accordingly, we likewise decline to
consider the DVD in our review. Cf. Livick v. Gillette Co., 524
F.3d 24, 28 (1st Cir. 2008) ("[W]e will not disturb the district
court's [decision to exclude evidence] unless the record
demonstrates an error of law or a serious lapse of judgment on the
part of the court."). We make no ruling on the admissibility of a
properly authenticated DVD on remand.
in a reasonable and timely manner and outlines the perceived
shortcomings, we care not "[w]hether the dissatisfied party
fulfills these requirements by means of a motion to strike or in
some substantially equivalent way." Id. As made evident by the
court's reference to the plaintiffs' objections, the plaintiffs met
this requirement despite having failed to file a formal motion to
strike.
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C. Qualified Immunity
In their motion for summary judgment, the defendants seek
to avoid liability by invoking the protection of qualified
immunity. In this circuit, we generally apply a three-prong test
in determining whether that defense is applicable: first, whether
there was a violation of a constitutional right; second, whether
that constitutional right was clearly established at the time; and
third, "whether a 'reasonable officer, similarly situated, would
understand that the challenged conduct violated' the clearly
established right at issue." Riverdale Mills Corp. v. Pimpare, 392
F.3d 55, 59-61 (1st Cir. 2004) (quoting Suboh v. Dist. Attorney's
Office, 298 F.3d 81, 90 (1st Cir. 2002)).2 In accordance with the
preferred approach in qualified immunity cases, which is to address
the considerations sequentially, we begin by discussing the alleged
constitutional violations. See Scott, 127 S. Ct. at 1774 ("If, and
only if, the court finds a violation of a constitutional right,
'the next, sequential step is to ask whether the right was clearly
established.'" (quoting Saucier v. Katz, 533 U.S. 194, 201
(2001))). Here, the plaintiffs assert that the defendants violated
their First and Fourth Amendment rights.
2
We have, on occasion, considered these inquiries within a two-
step analysis. See, e.g., Santana v. Calderón, 342 F.3d 18, 23
(1st Cir. 2003).
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1. First Amendment Claims
The plaintiffs allege that the defendants, through the
use of force and intimidation, violated the First Amendment
because they interfered with the journalists' ability to gather and
report on the news while within the gated condominium complex and
at the nearby helicopter landing field. We need not address either
the existence or the scope of such a right to gather and report on
the news, because in this case the plaintiffs have not demonstrated
that they were authorized to enter those properties. The First
Amendment does not grant the press a special right of access to
property beyond the public domain. See, e.g., Richmond Newspapers
v. Virginia, 448 U.S. 555, 577-78 (1980) (recognizing a right to
report on public trials and describing the First Amendment right as
extending to "streets, sidewalks, and parks[, which] are places
traditionally open"); see also Wilson v. Layne, 526 U.S. 603, 612-
13 (1999).
The plaintiffs admit that the area within the condominium
complex was private property to which access was limited. Although
some of the plaintiffs contend that they entered the gate in
response to a "wave" from Natalia Hernández-Laboy, there is no
evidence to show that she was a resident of the complex or that she
had the authority to invite them into the complex. Similarly, with
respect to the incidents occurring in the nearby field, there is
nothing in the record to establish that the plaintiffs had the
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authority to enter the field. It is the plaintiffs' burden to show
that they had the right to access both the field and the
condominium complex. See Vélez-Díaz v. Vega-Irizarry, 421 F.3d 71,
81 (1st Cir. 2005). Absent evidence establishing the plaintiffs'
right to enter the properties, the incidents complained of do not
amount to a violation of the First Amendment. See Branzburg v.
Hayes, 408 U.S. 665, 684 (1972) ("It has generally been held that
the First Amendment does not guarantee the press a constitutional
right of special access to information not available to the public
generally."); cf. Cape Cod Nursing Home Council v. Rambling Rose
Rest Home, 667 F.2d 238, 243 (1st Cir. 1981) ("Since the
plaintiff[] had no right to be on the property, the police action
in removing [him] could not in itself create such a right where
none existed before.").
Because the plaintiffs fail to make out a violation of
their First Amendment rights, the district court properly granted
summary judgment to the defendants based on the first prong of the
qualified immunity test. See Saucier, 533 U.S. at 201 ("If no
constitutional right would have been violated were the allegations
established, there is no necessity for further inquiries concerning
qualified immunity."). Given the proper dismissal of the First
Amendment claims (leaving only the Fourth Amendment claim), the
organizational plaintiffs -- the Asociación de Periodistas de
Puerto Rico and the Overseas Press Club of Puerto Rico -- were
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properly dismissed from the case. See United States v. Torres, 162
F.3d 6, 10 (1st Cir. 1998) (noting that the rights secured by the
Fourth Amendment are personal and cannot be vicariously asserted by
others). All of the individual plaintiffs' First Amendment claims
are also dismissed.
2. Fourth Amendment Claims
The individual plaintiffs also allege violations of their
Fourth Amendment right to be free from the use of excessive force.
Again, in the context of the defendants' assertion of qualified
immunity, we address the first prong of the test: whether the
proffered facts, taken in the light most favorable to the
plaintiffs, demonstrate a constitutional violation. As this comes
to us on summary judgment, we view the entire record and inquire as
to whether a violation "could be made out on a favorable view of
the parties' submissions." Saucier, 533 U.S. at 201.
The six individual plaintiffs allege that upon entering
the gated area they were, without provocation, pushed, punched, hit
by metal batons, and pepper sprayed in the face by federal agents
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and, consequently, suffered injuries.3 The affidavits submitted by
the plaintiffs confirm these allegations.
Although the use of force in excess of an objective
standard of reasonableness is contrary to the Fourth Amendment, see
Graham v. Connor, 490 U.S. 386 (1989), the district court concluded
that the plaintiffs had failed to establish a constitutional
violation. The district court observed that:
[F]aced with an angry mob that shouted insults
at agents and carried rocks that they later
hurled at departing FBI vehicles, Defendants
reasonably could have believed that it was
necessary to use physical force against
members of the crowd that included kicking,
punching, and hitting Plaintiffs with batons
in order to prevent the situation from
escalating into one that would threaten the
safety of the agents, the crowd, and innocent
bystanders.
Periodistas, No. 06-1931, slip op. at 13. In so finding, the court
erroneously adopted the defendants' characterization of the day's
events and failed to assess the facts under the appropriate
standard: "whether plaintiff's [Fourth Amendment] claim survives in
light of all the uncontested facts and any contested facts looked
3
It is unclear whether plaintiffs attempt to allege a Fourth
Amendment violation as to conduct that occurred when agents arrived
on the helicopter at the nearby field. The most serious of the
allegations is that one of the agents "kept pointing his rifle
toward [an individual plaintiff]." The facts attested to by the
plaintiffs describe a tense situation in which a government
helicopter landed and deployed several heavily armed federal agents
who then made their way to the condominium complex. This does not
make out an excessive force claim.
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at in the plaintiff's favor." Riverdale, 392 F.3d at 62 (emphasis
added).
To establish a Fourth Amendment excessive force
violation, the plaintiffs must show that the defendants employed
force that was unreasonable under the circumstances. See Graham,
490 U.S. at 397. Here, the plaintiffs' submissions reveal that
without any provocation or need for force, the defendants assailed
them. The plaintiffs contend that they were attempting to exit the
gated area, but were impeded by the narrow pedestrian access gate.
While bottlenecked in the space between the agents and the gate,
the defendants hit some of the plaintiffs and, without warning,
applied pepper spray directly into their faces. One plaintiff
attests in his affidavit that he fell to the ground during the
course of events and an agent intentionally sprayed him in the area
around his eyes and caused intense burning and temporary blindness.
While still blinded and prone on the ground, an agent grabbed and
kicked him, causing additional injuries. According to the
plaintiffs' submissions, all of this occurred without any
provocation.
As the record presently exists, the defendants have not
offered any evidence that contradicts the plaintiff's version of
the facts.4 Rather, the affidavit of Special Agent Byers makes
4
Although the defendants argue that their response was
necessitated by the escalating threat of a crowd that was
increasingly angry and armed (with stones), the defendants did not
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only conclusory statements regarding the need for crowd control
because the "reporters and crowd members refused to return outside
the perimeter despite our repeated instructions that they do so."
However, mere obstinance by a crowd, without any evidence of a
potential public safety threat or other law enforcement
consideration, is insufficient to warrant the show of force that,
according to the facts viewed in the light most flattering to the
plaintiffs, was exhibited by the law enforcement officers here.
See Headwaters Forest Def. v. County of Humboldt, 276 F.3d 1125,
1130 (9th Cir. 2002) (finding unreasonable the use of pepper spray
against nonviolent protestors who were "sitting peacefully, were
easily moved by the police, and did not threaten or harm the
officers"). Furthermore, Byers's affidavit does not even purport
to address the individual plaintiffs' specific claims of excessive
force and injury. Therefore, on this present record, the
plaintiffs have made out a prima facie case that the defendants'
conduct violated a constitutional prohibition against excessive
force.5
submit any evidence into the record to support these assertions.
Nothing in the record establishes that the crowd was unruly or that
the journalists within the gated area created a situation that gave
rise to such safety concerns.
5
Of course, on remand the parties will have the opportunity to
supplement the record, which may change our assessment. Our
holding is based on the record as it now exists.
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Turning to the second prong of the test, we ask whether
this constitutional right was "clearly established" at the time
such that it would be "clear to a reasonable officer that his
conduct was unlawful in the situation he confronted." Saucier, 533
U.S. at 202. In essence, this prong asks "whether existing case
law gave the defendants 'fair warning that their conduct violated
the plaintiff[s'] constitutional rights.'" Jennings v. Jones, 499
F.3d 2, 16 (1st Cir. 2007) (quoting Suboh, 298 F.3d at 93). The
degree of factual particularity required to provide fair warning
varies on the circumstances of the case. See United States v.
Lanier, 520 U.S. 259, 271 (1997) (contrasting cases in which a
"very high degree of factual particularity may be necessary" with
cases in which "a general constitutional rule already identified in
the decisional law may apply with obvious clarity to the specific
conduct in question"). The facts on the record, taken most
favorably to the plaintiffs, reveal that without provocation, the
defendants beat and applied pepper spray into the faces of the non-
threatening plaintiffs to force them to exit the gated area. Thus,
our proper inquiry is whether prior law makes clear that the use of
such force against a group of non-threatening individuals was
excessive.
The Supreme Court's case law clearly establishes beyond
any doubt that the "use of force is contrary to the Fourth
Amendment if it is excessive under objective standards of
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reasonableness." Saucier, 533 U.S. at 202 (citing Graham, 490 U.S.
at 386). While the generalized holding in Graham will not
necessarily provide sufficient notice to officers, "in the obvious
case, the standards announced in th[at] decision[] . . . [are]
sufficient to 'clearly establish' the answer." Whitfield v.
Meléndez-Rivera, 431 F.3d 1, 8 (1st Cir. 2005) (citing Brosseau v.
Haughen, 543 U.S. 194 (2004)). Indeed, we have held that where an
officer's conduct is "such an obvious violation of the Fourth
Amendment's general prohibition on unreasonable force . . . a
reasonable officer would not have required prior case law on point
to be on notice that his conduct was unlawful." Jennings, 499 F.3d
at 17; see also DeMayo v. Nugent, 517 F.3d 11, 18 (1st Cir. 2008)
(noting that a general constitutional rule may apply to specific
conduct "even though 'the very action in question has [not]
previously been held unlawful" (quoting Lanier, 520 U.S. at 271)).
Based on the plaintiffs' account of the events, this case falls
within that category of obvious violations. See Vinyard v. Wilson,
311 F.3d 1340, 1348 (11th Cir. 2002) (use of pepper spray excessive
in a case where the individual was handcuffed in the back of a
patrol car); Headwaters Forest Def., 276 F.3d at 1130 (use of
pepper spray on peaceful protesters was excessive); Park v.
Shiflett, 250 F.3d 843, 853 (4th Cir. 2001) (use of pepper spray
from close range on an unarmed and nonthreatening individual was
excessive); Adams v. Metiva, 31 F.3d 375, 387 (6th Cir. 1994) (use
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of spray on blinded and incapacitated person in a car was
excessive).
According to the plaintiffs' account, the agents never
gave them an opportunity to exit the area, but simply began hitting
them and then, without warning, pepper sprayed them. Indeed, as
discussed earlier, some of the individual plaintiffs were sprayed
in the face, at close range, even after they had fallen down on the
ground. Based on both a "consensus of cases of persuasive
authority," Wilson, 526 U.S. at 617, and the general prohibition
against excessive force, we conclude that, according to the facts
on this present record, the defendants should have been on notice
that the actions attributed to them by the plaintiffs were in
violation of the Fourth Amendment.
We move next to the third prong of the test and ask
"whether an objectively reasonable officer would have believed the
conduct was unreasonable." Jennings, 499 F.3d at 19 (emphasis
added). This inquiry acknowledges the possibility for "reasonable
mistakes":
It is sometimes difficult for an officer to
determine how the relevant legal doctrine,
here excessive force, will apply to the
factual situation the officer confronts. An
officer might correctly perceive all of the
relevant facts but have a mistaken
understanding as to whether a particular
amount of force is legal in those
circumstances. If the officer's mistake as to
what the law requires is reasonable, however,
the officer is entitled to the immunity
defense. . . . Qualified immunity operates in
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this case, then, just as it does in others, to
protect officers from the sometimes "hazy
border between excessive and acceptable
force."
Id. at 205 (quoting Priester v. Rivera Beach, 208 F.3d 919, 926-27
(11th Cir. 2000)). The scope of protection is intended to include
"all but the plainly incompetent or those who knowingly violate the
law." Malley v. Briggs, 475 U.S. 335, 341 (1986).
The defendants contend that they reasonably believed that
the use of force was appropriate in view of the crowd's
provocations and the escalating situation outside of the
condominium complex. Yet, the defendants' submissions are
exceedingly deficient on this ground and silent with respect to the
individual claims of force. The only affidavit submitted by the
government, that of Special Agent Byers, makes a passing reference
to the crowd's growing size and failure to leave the gated area,
and says nothing about the individual plaintiffs' claims of
excessive force and injury. Even assuming some general need for
crowd control, protection under qualified immunity requires an
evaluation of the specific circumstances giving rise to the
injuries sustained by each plaintiff, which inevitably will entail
individualized assessments of their claims. One could imagine that
even if a reasonable officer would have believed it appropriate to
use pepper spray in response to an unruly mob (and thus be entitled
to immunity), applying pepper spray into the face of an
unthreatening journalist lying on the ground might well not be
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protected under the mantle of qualified immunity. The appropriate
analysis therefore requires an individualized inquiry of each
plaintiff's circumstances.
Given this evidentiary gap, the district court's entry of
summary judgment for the defendants on qualified immunity grounds
was premature. However, this is not to say that qualified immunity
should not be considered later, on a more fully developed record.
Thus, we vacate the entry of qualified immunity for the defendants
on the individual plaintiffs' claims and remand.
III. Conclusion
For the foregoing reasons, we affirm the district court's
grant of summary judgment on the First Amendment claims. We also
affirm on the Fourth Amendment claims, except as to the six
individual plaintiffs. With respect to these plaintiffs, we vacate
on the Fourth Amendment claims and remand for further proceedings
consistent with this opinion. Given that we are remanding, we do
not reach the question of whether the plaintiffs have standing to
seek injunctive relief, and leave it to the district court to
address the issue if appropriate. All parties will bear their own
costs.
It is so ordered.
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