Peterson v. City of Fort Worth, Tex.
Full Opinion (html_with_citations)
This case, brought as a § 1983 action, presents the question whether the City of Fort Worth incurs municipal liability under Monell v. Depât of Social Servs. for the alleged excessive force of two of its police officers. See 436 U.S. 658, 98 S.Ct. 2018, 56 L.Ed.2d 611 (1978). Kevin Peterson, who has alleged that he was seriously injured by Fort Worth police officers during the course of an arrest, has not sued the officers individually. Instead, he filed this action against the City of Fort Worth, alleging that officers violated his Fourth Amendment rights by unlawfully detaining him and using excessive force to restrain him. The City counters that the detention and force were reasonable under the Fourth Amendment, and that, in any event, it is not liable because Peterson cannot show that a policy, practice, or custom of the City was the moving force behind the violation. The district court granted summary judgment for the City, finding neither a violation nor municipal liability. We agree that the evidence does not support a claim of unlawful detention, but conclude there is sufficient evidence to establish excessive force. In short, if Peterson had sued the officers, he would have had a colorable claim. Nonetheless, he chose not to do so and because the evidence will not support municipal liability for the individual misconduct of the officers, summary judgment was proper and we affirm.
I.
We begin with a brief summary of the facts, stating them most favorably to Peterson.
A Stockyards security guard later observed two persons sleeping in a truck near Billy Bobâs Texas and called the Fort Worth Police Department. Officers Samantha Horner and Roger Ballard arrived at the scene at about 5:00 a.m. and there they found the Petersons sleeping.
Officer Horner tried to wake Peterson up. According to Officer Horner, she opened the unlocked rear door and shook Petersonâs leg, but he did not respond. She then tapped her baton on Petersonâs sternum; he kicked at her and told her to leave him alone. He began to doze, and she reached into the cab. He swatted at her, and she told him that she was a police officer and that he needed to get out of the truck. When he began to doze again, she grabbed his arm. Peterson then hit her on the forearm. Officer Horner alerted Officer Ballard that Peterson had hit her, and asked for his assistance in getting Peterson out of the truck.
Peterson testified that at this point he woke up. He recalled:
The first thing I remember upon waking up was I was being drug out of the truck by my clothes. I was laying on my back. I actually hit the ground. The door was opened, and they drug me out. I was sliding on my back on the ground; and I had two police officers on me wrestling me to the ground .... And then they rolled me over and put my hands behind my back and put cuffs on me.
Peterson stated that after he was handcuffed the officers pulled him up by the cuffsâ chain:
They just jerked me up off the ground and ... spun me around [and] slammed me up against the bed of the truck .... [T]here wasnât any struggle with me
And then I noticed hey, these are cops .... I didnât say anything at that point.
According to Peterson, Officer Ballard was cursing at him when he delivered a hard knee strike to Petersonâs thigh:
The male officer was screaming in my ear. He was on my left, and he was saying you motherfucker. And he reared back and kneed me in the thigh with his knee .... [W]hen he did it, I cringed. I go ugh, ... and I was ... immediately enraged because it was totally unnecessary for him to beat on me when I was in cuffs.1
Meanwhile, Jodi identified Peterson as her husband. At Officer Hornerâs instruction, Jodi remained seated in the cab.
Officer Ballard collected Petersonâs billfold and license. After a background
The Petersons got back into their truck and waited until about 7:00 a.m. to drive home. When they got there, Peterson undressed and discovered that his leg needed medical treatment. At the hospital, doctors diagnosed him with a ruptured femoral artery. The injury required two surgeries and a hospital stay that lasted almost two weeks.
Peterson filed this § 1983 action against only the City of Fort Worth, choosing not to sue Officers Horner and Ballard, whom he alleged violated his Fourth Amendment rights by unlawfully detaining him and by using excessive force, specifically the knee strike, to restrain him. The district court concluded that the detention was lawful and that the force was not excessive under the circumstances. The district court also concluded that, even if the officers had violated Petersonâs rights, the City was not liable because Peterson did not show that a policy, practice, or custom of the City was the moving force behind the officersâ conduct. The district court entered summary judgment for the City, and Peterson appeals. For reasons we explain below, we find sufficient evidence to establish his excessive force claim. Nevertheless, because we conclude that the record evidence will not support municipal liability for the alleged misconduct of the individual officers, we affirm judgment for the City.
II.
We review the district courtâs grant of summary judgment de novo, applying the same legal standards as the district court. United States v. Corpus, 491 F.3d 205, 209 (5th Cir.2007). Summary judgment is appropriate only âif the pleadings, the discovery and disclosure materials on file, and any affidavits show that there is no genuine issue as to any material fact and that the movant is entitled to judgment as a matter of law.â Fed. R. Civ. P. 56(c). In determining whether a genuine issue as to any material fact exists, we must view the evidence in the light most favorable to the nonmoving party. Corpus, 491 F.3d at 209. The nonmoving party âmust identify specific evidence in the record and articulate the manner in which that evidence supports that partyâs claim.â Johnson v. Deep East Tex. Regâl Narcotics Trafficking Task Force, 379 F.3d 293, 308 (5th Cir.2004). The identified evidence âmust be sufficient to sustain a finding in favor of the nonmovant on all issues as to which the nonmovant would bear the burden of proof at trial.â Id.
We address the threshold issue of whether officers violated Petersonâs Fourth Amendment rights before we address the issue of municipal liability.
III.
The Fourth Amendment guarantees the right to be free from unreasonable searches and seizures. âThe Fourth Amendment does not proscribe all state-initiated searches and seizures; it merely proscribes those which are unreasonable.â See, e.g., Florida v. Jimeno, 500 U.S. 248, 250, 111 S.Ct. 1801, 114 L.Ed.2d 297 (1991) (citing Illinois v. Rodriguez, 497 U.S. 177, 110 S.Ct. 2793, 111 L.Ed.2d 148 (1990)). The touchstone of the Fourth Amendment is thus reasonableness. Id. (citing Katz v. United States, 389 U.S. 347, 360, 88 S.Ct. 507, 19 L.Ed.2d 576 (1967)). We measure reasonableness âin objective terms by examining the totality of the circumstances.â Ohio v. Robinette, 519 U.S. 33, 39, 117 S.Ct. 417, 136 L.Ed.2d 347 (1996).
Peterson alleges that officers violated his Fourth Amendment rights by
A.
We first address the alleged unlawful detention.
Peterson argues the officers had no lawful justification for entering his truck and detaining him because they had no reasonable suspicion to believe he had committed a crime. He contends the officers acted on the mere âneutral factsâ that the Peter-sons were parked near drinking establishments and were asleep in their vehicle. Peterson argues that those neutral facts did not support reasonable suspicion and, without it, the officers had no lawful justification for detaining him.
The City counters, and the district court held, that the officersâ actions were reasonable in the light of their articulated concerns for the Petersonsâ safety. The City points to deposition testimony in which the officers stated that they were concerned for the Petersonsâ safety. Officer Horner testified that she tried to wake Peterson not because she suspected criminal activity but because âfor his safetyâ she needed âto get compliance.â Officer Ballard testified that they âdidnât know if either one or two of them were simply intoxicated or had been hit in the head and left there, robbed.â
We face here the kind of officer-citizen encounter that is controlled by Terry v. Ohio, 392 U.S. 1, 88 S.Ct. 1868, 20 L.Ed.2d 889 (1968). In Terry, the Supreme Court recognized that â[e]ncounters are initiated by the police for a wide variety of purposes, some of which are wholly unrelated to a desire to prosecute crime.â Id. at 13, 88 S.Ct. 1868. Terry itself addressed the kind of informal officer-citizen encounters that arise when officers make on-the-spot observations that require immediate action. Id. at 20, 88 S.Ct. 1868. In assessing the reasonableness of such actions, âthere is âno ready test.â â Id. at 21, 88 S.Ct. 1868. Instead, a court must â âfocus upon the governmental interest which allegedly justifies official intrusion upon the constitutionally protected interests of the private citizen.â â Id. at 20-21, 88 S.Ct. 1868 (quoting Camara v. Mun. Ct., 387 U.S. 523, 536-37, 87 S.Ct. 1727, 18 L.Ed.2d 930 (1967)). The officer must be able to point to âspecific and articulable facts which, taken together with rational inferences from those facts, reasonably warrant that intrusion.â Id. at 21, 88 S.Ct. 1868. The court then asks: âwould the facts available to the officer at the moment of the seizure or the search âwarrant a man of reasonable caution in the belief that the action taken was appropriate?â Id. at 22, 88 S.Ct. 1868.
In other words, as we have previously stated: âWe must attempt to put ourselves in the shoes of a reasonable police officer as he or she approaches a given situation and assesses the likelihood of danger in a particular context.â United States v. Rideau, 969 F.2d 1572, 1574 (5th Cir.1992) (en banc).
We agree with the district court that the detention was reasonable. The officers were responding to a call the Fort Worth Police Department received from a Stockyards security guard. The officers observed two persons, apparently unconscious, in a truck. It was early in the morning. The doors to the truck were unlocked. The persons were unresponsive
B.
With respect to the excessive force claim, Peterson argues the knee strike used by Officer Ballard was unnecessary and excessive. He contends that at the time Officer Ballard delivered the knee strike to his thigh, Peterson was in full compliance with all police orders and was offering no resistance. Jodi was seated in the truck cab and Peterson himself was handcuffed. Of the moments leading up to the knee strike, Peterson testified:
I canât recall putting up any resistance; but I was being attacked by two people. I didnât know they were police officers, because I just woke up when they drug me out of the truck. So I might have been â I know I was confused, and I didnât know why I was being attacked ---- Is it possible I struggled? I donât see much â there wasnât much of a struggle from me .... It happened so fast there wasnât any time to struggle. I was rolled over on my stomach, and both officers had my arms behind my back; and they put cuffs on me .... And one of them, I believe it was the man, had his knee on my neck .... [A]nd both of them pried my arms behind my back with brute force and put cuffs on me. And one of them was sitting on my back, and the other one had his knee on my neck grinding my face .... I couldnât do anything. I donât think I struggled.
The City argues that Peterson was belligerent and the knee strike was necessary to restrain him. The City points to deposition testimony in which Officer Horner stated that Peterson kicked at her and hit her forearm when she first tried to wake him. Officer Ballard stated that outside of the truck Peterson struggled to escape his grasp. In Officer Ballardâs words, Peterson âstill continued to fail to comply. He wouldnât stand still. He was pulling away from us .... He [took] an aggressive stance toward us and [did] not [comply] to what weâre asking him to do.â
Our precedent requires that to establish a claim of excessive force, a plaintiff must show that, in addition to being seized, he suffered â(1) an injury that (2) resulted directly and only from the use of force that was excessive to the need and that (3) the force used was objectively unreasonable.â Ballard v. Burton, 444 F.3d 391, 402 (5th Cir.2006) (quoting Flores v. City of Palacios, 381 F.3d 391, 396 (5th Cir.2004)). There is no dispute that Peterson suffered an injury and, for purposes of its motion for summary judgment, the City conceded that Officer Ballard delivered a knee strike to Petersonâs thigh. The question is whether that knee strike was excessive to the need and therefore objectively unreasonable. We determine whether the force was excessive âfrom the perspective of a reasonable officer on the scene, rather than with the 20/20 vision of hindsight.â Graham v. Connor, 490 U.S. 386, 396, 109 S.Ct. 1865, 104 L.Ed.2d 443 (1989); see also Ballard, 444 F.3d at 402.
The district court held that the knee strike was not excessive. The district
We agree that the conflicting testimony does not rule out the possibility that some force may have been reasonable to restrain Peterson. But the evidence supporting the reasonableness of the police response is clearly disputed concerning whether continuing force in the form of a knee strike was justifiable after Peterson had been handcuffed. Peterson unequivocally testified that Officer Ballard did not strike him until after he had been handcuffed.
Nor does it escape our notice that the City conceded that Officer Ballard struck Peterson with his knee, yet Officer Ballard himself denied that he struck Peterson. Officer Ballard testified that Peterson resisted, but only minimally, such that a knee strike would have been unnecessary.
Thus, the existing evidence raises unresolved questions about what occurred. We therefore hold that the evidence creates a genuine issue of material fact as to whether, from the perspective of a reasonable officer on the scene, the knee strike was excessive and therefore objectively unreasonable. Summary judgment as to Petersonâs excessive force claim was therefore improper.
IV.
The question now becomes whether summary judgment was nonetheless proper as to the Cityâs liability for the alleged misconduct of its officers.
A.
We will begin with the basic principles of municipal liability for the misconduct of its employees in § 1983 actions.
It is well-established that a city is not liable under § 1983 on the theory of respondeat superior. Monell, 436 U.S. at 694, 98 S.Ct. 2018; Johnson, 379 F.3d at 308. A municipality is almost never liable for an isolated unconstitutional act on the part of an employee; it is liable only for acts directly attributable to it âthrough some official action or imprimatur.â Piotrowski v. City of Houston, 237 F.3d 567, 578 (5th Cir.2001). To establish municipal liability under § 1983, a plaintiff must show that (1) an official policy (2) promulgated by the municipal policymaker (3) was the moving force behind the violation of a constitutional right. Id.
Official policy establishes culpability, and can arise in various forms. It usually exists in the form of written policy statements, ordinances, or regulations, but it may also arise in the form of a widespread practice that is âso common and well-settled as to constitute a custom that fairly represents municipal policy.â Id. at 579 (quoting Webster v. City of Houston, 735 F.2d 838, 841 (5th Cir.1984) (en banc)).
A policy or custom is official only âwhen it results from the decision or acquiescence of the municipal officer or body with âfinal policymaking authorityâ over the subject matter of the offending policy.â Jett v. Dallas Indep. Sch. Dist., 491 U.S. 701, 737, 109 S.Ct. 2702, 105 L.Ed.2d 598 (1989). Thus, a plaintiff must show the policy was promulgated by the municipalityâs policymaker. There is no âde factoâ final policymaking authority. See Gros v. City of Grand Prairie, Tex.,
Finally, a plaintiff must establish that the policy was the moving force behind the violation. In other words, a plaintiff must show direct causation. See Piotrowski, 237 F.3d at 580. This means âthere must be a direct causal linkâ between the policy and the violation. Id.; see also Johnson, 379 F.3d at 310 (quoting Fraire v. City of Arlington, 957 F.2d 1268, 1281 (5th Cir.1992) (âmust be more than a mere âbut forâ â)).
Peterson acknowledges that there is no official written or otherwise specially articulated policy upon which he can rely. Nevertheless, he advances several theories of municipal liability. He alleges that the use of excessive force by Fort Worth Police Department officers is so common, and well known to the policymakers, that it constitutes a custom that fairly represents official policy. In addition, he alleges the City is also liable because it ratified the use of excessive force in this case and generally failed either to train or supervise its officers.
B.
Because we can quickly conclude that the City is not liable for any violation under the theories of ratification or failure to train or supervise, we address those arguments first.
Peterson alleges the City is liable because Chief Mendoza ratified the officersâ conduct. He points out that Chief Mendoza determined after investigation that Officers Horner and Ballardâs conduct complied with the departmentâs policies. Peterson cites City of St. Louis v. Praprotnik, 485 U.S. 112, 108 S.Ct. 915, 99 L.Ed.2d 107 (1988), which acknowledges that â[i]f the authorized policymakers approve a subordinateâs decision and the basis for it, their ratification would be chargeable to the municipality because their decision is final.â Id. at 127, 108 S.Ct. 915. But our precedent has limited the theory of ratification to âextreme factual situations.â See Snyder v. Trepagnier, 142 F.3d 791, 798 (5th Cir.1998). Under that precedent, we cannot say that this case presents an extreme factual situation. Compare Grandstaff v. City of Borger, 767 F.2d 161 (5th Cir.1985) (finding ratification in case in which officers âpouredâ gunfire onto a truck and killed innocent occupant), with Snyder, 142 F.3d at 798 (refusing to find ratification in case in which officer shot fleeing suspect in the back). Moreover, we have also explained that a policymaker who defends conduct that is later shown to be unlawful does not necessarily incur liability on behalf of the municipality. See Coon v. Ledbetter, 780 F.2d 1158, 1161-62 (5th Cir.1986) (precedent âdoes not stand for the broad proposition that if a policymaker defends his subordinates and if those subordinates are later found to have broken the law, then the illegal behavior can be assumed to have resulted from an official policyâ). Our precedent thus forecloses ratification liability in this case.
Accordingly, the district court properly held on summary judgment that the City is not liable for any violation under the theories of ratification or failure to train or supervise.
C.
Finally, we address whether Peterson has presented sufficient evidence to establish a fact question for municipal liability on the basis that the City maintained an official policy that was permissive of excessive force. As we have stated, Peterson must show some evidence to support that an official policy of the City was the moving force behind the excessive force that violated his Fourth Amendment rights. Piotrowski, 237 F.3d at 578. He concedes that there is no written policy supporting his claim of municipal liability. Instead he argues that a pattern of excessive force in making arrests establishes that the City maintained an unwritten policy that was permissive of the use of excessive force. In support, he points to 27 complaints of excessive force between 2002 and 2005. The legal question thus presented is whether the 27 complaints on which Peterson relies are sufficient to establish a pattern of excessive force that can be said to represent official policy.
A pattern is tantamount to official policy when it is âso common and well-settled as to constitute a custom that fairly represents municipal policy.â Id. at 579 (quoting Webster v. City of Houston, 735 F.2d 838, 841 (5th Cir.1984) (en banc)). Where prior incidents are used to prove a pattern, they âmust have occurred for so long or so frequently that the course of conduct warrants the attribution to the governing body of knowledge that the objectionable conduct is the expected, accepted practice of city employees.â Webster, 735 F.2d at 842. It is thus clear that a plaintiff must demonstrate âa pattern of
A pattern also requires âsufficiently numerous prior incidents,â as opposed to âisolated instances.â McConney v. City of Houston, 863 F.2d 1180, 1184 (5th Cir.1989). In Pineda v. City of Houston, 291 F.3d 325 (5th Cir.2002), we held that eleven incidents of warrantless entry did not support a pattern of unconstitutional warrantless entry. In each of those eleven incidents, officers reported either consent or exigent circumstances. Id. at 329 n. 12. We observed that â[ejleven incidents each ultimately offering equivocal evidence of compliance with the Fourth Amendment cannot support a pattern of illegality in one of the Nationâs largest cities and police forces.â Id. at 329.
The district court, relying on Pineda, held that the 27 complaints on which Peterson relies were insufficient to establish a pattern of excessive force. After careful examination of the record, we conclude the district court did not err.
Peterson presented evidence that, according to the Cityâs internal affairs records, at least 27 complaints of excessive force were filed between 2002 and 2005. Almost all arose from officersâ investigations of what may be called small crimes; the injuries suffered, however, ranged from minor lacerations to broken bones. In one incident, officers allegedly stopped a suspect who was riding a bicycle and, after he had dismounted the bicycle and lay on the ground, beat him until his face bled and his nose and eye socket were fractured. In another incident, an officer who detained an individual as a suspect in the burglary of a car wash knee-struck him in the back and broke his jaw; that individual turned out to be, not a suspect, but one of the car washâs owners. In yet another incident, officers allegedly punched and beat a suspect until he suffered a head injury; although the officers claimed that the suspect was carrying a crack pipe, they were unable to produce the pipe. And finally, in an even more alarming incident, officers responding to a call alleging tampering with an electrical box entered an apartment without a warrant and allegedly tased an individual until he was unconscious and had stopped breathing.
The incidents allege use of force that, if true, would be emphatically excessive. Nevertheless, assuming their truth, the incidents do not, on the basis of this record, tell us that the City maintained an official policy of condoning excessive force. The failure of the evidence is that the plaintiffs have failed to provide context that would show a pattern of establishing a municipal policy.
The record does indicate that for each of the 27 complaints of excessive force the department conducted an internal investigation, a fact that would appear to cut against the argument that the City condoned the use of excessive force. The City itself has relied on the fact that only four of the 27 complaints were âsustainedâ after investigation and, indeed, in each of the incidents described above, the department found the complaint of excessive force either ânot sustainedâ or âunfounded.â However, that the department itself vaguely ruled most of its complaints ânot sustainedâ or âunfoundedâ is no assurance that these investigations exonerate the City. To the contrary, that only four of the 27 complaints were âsustainedâ after investigation may tilt in Petersonâs favor. Nevertheless, even assuming error in the unsustained investigations, the record as a whole will not support a legal conclusion that the City maintained an official policy of condoning excessive force.
In sum, the 27 incidents, in the context of this record, do not suggest a pattern âso common and well-settled as to constitute a custom that fairly represents municipal policy.â Piotrowski, 237 F.3d at 579.
V.
In conclusion, there was sufficient evidence to establish Petersonâs' excessive force claim. Peterson, however, did not sue the officer or officers who violated his constitutional rights. Instead he sought to impose liability on the City of Fort Worth for the misconduct of its employees. In this connection, he failed to produce evidence to satisfy the demanding standards required by Monell and its progeny to hold the City liable, all for the reasons we have detailed in this opinion. Accordingly, the judgment of the district court is
AFFIRMED.
. Officer Ballard denies that he cursed at Peterson and delivered a knee strike to Petersonâs thigh. He stated that Peterson's resistance was minimal, and that a knee strike was unnecessary. Officer Horner, however, observed the knee strike and called it "an approved distraction technique.â For the purposes of its motion for summary judgment, the City conceded that Officer Ballard delivered a knee strike to Peterson's thigh.
. The dissent acknowledges that ratification is "seldom, if ever, found by this court.â It maintains, however, that Peterson put forth evidence of ratification sufficient to withstand summary judgment by showing that neither Officer Ballard nor Officer Horner was disciplined for the use of force or failure to file a âUse of Force Reportâ following the incident, and by pointing to Chief Mendoza's deposition testimony that both officers complied with the Cityâs policies and procedures. However, this evidence, viewed in the light
The dissent also acknowledges that ratification applies only in "extreme factual situations.â It maintains, however, that our conclusion that this was not an "extreme factual situationâ is a "factual determination,â which we are not permitted to make. On the contrary, our conclusion rests on a legal determination that the facts here, even viewed in the light most favorable to Peterson, do not satisfy the legal standard set out in our ratification caselaw.
. Though the evidence cited by the dissent may create a factual dispute as to whether the Cityâs police officers received sufficient training on the practice and consequences of knee strikes, "that a particular officer may be unsatisfactorily trained will not alone suffice to fasten liability on the city .... â City of Canton v. Harris, 489 U.S. 378, 390, 109 S.Ct. 1197, 103 L.Ed.2d 412 (1989). Rather, the "vigorous testâ of "deliberate indifference,â Brown, 219 F.3d at 461, is required because a "lesser standard of fault would result in de facto respondeat superior liability on munici
. Twenty-seven incidents in four years, with no context as to the overall number of arrests or any comparisons to other cities, is not sufficient evidence of a pattern rising to the level of a policy. The burden of providing a context that would show such a pattern falls on the plaintiff, not on the City, and Peterson has failed to meet that burden. No reasonable jury could conclude based on Peterson's evidence that the City had established a municipal policy of using or condoning excessive force.