Pagan-Gonzalez v. Moreno
Opinion of the Court
*586This case requires us to consider the constitutional boundaries for the use of deception by law enforcement officers seeking consent for a warrantless search. We conclude that the search at issue here violated the Fourth Amendment because the circumstances -- including a lie that conveyed the need for urgent action to address a pressing threat to person or property -- vitiated the consent given by appellants. We further hold that the defendants are not entitled to qualified immunity from civil liability for the unlawful search because any reasonable officer would have recognized that the circumstances were impermissibly coercive. However, we reject a related claim alleging malicious prosecution on the ground that, even if it had merit, the defendants would be entitled to qualified immunity.
We therefore vacate in part and affirm in part the district court's grant of defendants' motion to dismiss plaintiffs' complaint.
I. Background
Appellant David Pagán-González claims that his Fourth Amendment rights were violated when federal agents unlawfully searched his computer, and when they subsequently arrested and detained him on child pornography charges based solely on the evidence obtained in the unlawful search. After the criminal charges were dropped, Pagán-González brought this suit for damages pursuant to Bivens v. Six Unknown Named Agents of Federal Bureau of Narcotics,
A. The Challenged Conduct and Criminal Process
On October 23, 2013, approximately ten federal agents appeared at the door of the home shared by Pagán-González and his parents in Cabo Rojo, Puerto Rico. Special Agent Ana Moreno, one of two officers named as defendants,
The agents asked the family for consent to inspect their computers and said they would try to fix the modem that was sending transmissions to Washington. The agents explained that, if they could not make the repair, they would take the faulty computer and provide a replacement at the FBI's expense. Pagán-González, age 21, and his parents signed consent forms authorizing the computer searches.
After inspecting two computers, the agents told the family they needed to take Pagán-González's laptop. Pagán-González's father protested because his son, a college student, needed the computer for his classes, but the agents told the family they could no longer "touch or access" the laptop because it contained evidence of a crime. The family was not told that the agents had determined that the laptop contained "possible child pornography in the form of graphics, videos, and search terms"--as Agent Bonilla later reported in the affidavit for the criminal complaint.
The computer seized from Pagán-González was further examined by the FBI's Computer Analysis Response Team ("CART"). According to the CART report, the laptop contained numerous images and videos of minors engaged in sexually explicit conduct and also revealed that Pagán-González had both received from others and shared child pornography. Agent Bonilla thus prepared the criminal complaint alleging that Pagán-González had transported and received child pornography in violation of
Early the next morning, December 12, Pagán-González and his parents were awakened when armed federal agents "burst into their home" to arrest Pagán-González. He remained in custody until his parents were able to post bond a week later. On January 9, 2014, a federal grand jury indicted Pagán-González for the crimes charged in the criminal complaint. He subsequently filed a motion to suppress the evidence obtained from the search of his computer, arguing that the agents' misrepresentations about their investigative purpose limited or vitiated the consent given by the family for examination of their computers. Pagán-González asserted that the deception rendered the search "unreasonable and illegal" and, hence, a violation of his Fourth Amendment rights. Instead of responding to the suppression motion, the government filed a motion to dismiss the case "[i]n the interests of justice."
B. The Bivens Action
On December 12, 2014 -- exactly one year to the day after Pagán-González's arrest -- he and his parents filed this civil lawsuit.
The defendants moved to dismiss the complaint for failure to state a claim. They argued that (1) any claim related to the search itself was time-barred, (2) the agents' entry to plaintiffs' home and search of their computers was lawful, and (3) the agents were in any event protected from liability for the entry and search by the doctrine of qualified immunity. With respect to Pagán-González's allegations of improper arrest, detention, and indictment -- which they characterized as a cause of action for malicious prosecution -- the defendants argued that the claim failed because the criminal charges were supported by probable cause and because "unjustified prosecution" does not give rise to a Bivens claim.
The district court dismissed the complaint in its entirety. See González v. Moreno,
In rejecting the claims, the district court commented that it was "appalled at the allegations that FBI agents would ask to enter [Pagán-González's] home without a warrant, and through a ruse, obtain consent from all family members to search and seize [his] laptop."
*589Moreno-Medina v. Toledo, 458 Fed. App'x 4 (1st Cir. 2012) ).
C. The Appeal
On appeal, Pagán-González challenges the district court's holdings on the statute of limitations, the viability of his malicious prosecution claim, and the agents' entitlement to qualified immunity. Specifically, Pagán-González asserts that the Fourth Amendment claim based on the officers' entry to his home and search of his computer was timely because it did not accrue until the day of his arrest. As for deficiencies in the factual allegations, Pagán-González maintains that he should have been allowed to conduct discovery to ascertain "[t]he specific participation of each agent" in the challenged conduct. He also argues that the malicious prosecution claim should proceed because initiating and prosecuting criminal charges premised solely on illegally seized evidence violates the Constitution, and a reasonable officer would have understood as much.
Appellate review of a district court's grant of a motion to dismiss is de novo. Giragosian v. Bettencourt,
II. The Entry to the Home and the Computer Search
A. Statute of Limitations
State law determines the statute of limitations for a federal civil rights cause of action, see Barrett ex rel. Estate of Barrett v. United States,
Pagán-González argues that the district court erred in finding that the entry-and-search claim accrued when the officers took those actions. We agree. On the day of the search, Pagán-González and his parents were told that the agents needed to enter their home and inspect their computers to address a virus or signal that was detected by authorities in Washington, D.C. They neither knew that day, nor had reason to know, that the agents had misrepresented their purpose and elicited consent to search based on a falsehood.
Hence, only when the agents returned on December 12 to arrest Pagán-González on the child pornography charges did he and his parents "know of the existence *590and cause of the injury which is the basis of [the] action." Barrett,
B. The Merits and Qualified Immunity
Defendants argue that dismissal of the search-related claim should be upheld on the alternative ground that the ruse used by the officers was constitutionally permissible.
1. The Consent Exception to the Warrant Requirement
The sanctity of the home is at the core of the Fourth Amendment's protection against unreasonable governmental intrusions. See Payton v. New York,
*591United States v. Parson,
The Supreme Court has described consent as a " 'jealously and carefully drawn' exception" to the warrant requirement. Georgia v. Randolph,
Thus, to find the search lawful as the government urges, we must conclude that the consent to enter and search given by Pagán-González and his parents to the FBI agents was "validly obtained and voluntary" notwithstanding the agents' deception concerning their purpose. Parson,
2. Deception by Government Authorities
i. General Principles
It is beyond debate that deception is a well-established and acceptable tool of law enforcement. See, e.g., Sorrells v. United States,
Consistent with the precedent described above, one such limitation is that government agents' deceptive tactics must not prevent a target from making "an essentially free and unconstrained choice" to forgo the constitutional protection of a warrant. Schneckloth,
The dynamic is meaningfully different, however, when police officers identify themselves as such but misrepresent their purpose. Because citizens will respond to law enforcement with a sense of obligation and presumption of trustworthiness, multiple courts have held facially consensual searches to be invalid where the "consent" was elicited through officers' lies about the nature or scope of their investigations. See, e.g., United States v. Bosse,
Courts troubled by agents' lies about the searches they seek to conduct have worried that condoning such falsehoods "would obliterate citizens' widely shared social expectations that they may place some modicum of trust in the words of government officials acting as such," with that lack of trust producing "catastrophic consequences." Parson,
Yet, despite the broadly framed objections of courts to deception by known government agents, the general consensus in the case law is that such deception, including lying about the purpose of an investigation, is not categorically off-limits in obtaining consent to search.
Spivey, in which one panel member dissented,
Despite the officers' misrepresentation of their purpose, the panel majority upheld the district court's finding that the consent to search was voluntary. The majority emphasized that one of the defendants had "made a strategic choice to report the burglary and to admit the officers into her home."
ii. Consensus on Impermissibly Coercive Deception
Notwithstanding the need in each case to consider the totality of the circumstances, there is consensus in the precedents that two types of deception have an impermissibly coercive effect. First, the Supreme Court has soundly rejected the consent to search obtained by officers who falsely claim they have a warrant. See Bumper v. North Carolina,
Second, relying on equivalent reasoning, courts have regularly held that coercion is implicit when officers falsely present a need for urgent action: "[W]hen an officer lies about the existence of exigent circumstances, he also suggests that the occupant has no right to resist and may face immediate danger if he tries." Spivey,
Beyond the coercion inherent in the false emergency scenario, multiple courts have emphasized "the potential public policy hazard created when police officers make false claims of exigent circumstances." Montes-Reyes,
In order to ensure cooperation in truly life-threatening situations, it is vital to maintain the public trust in emergency services. When the police or the gas company come to the door warning of a real gas leak or other life-threatening emergency, it is in everyone's interest that they be believed. Sanctioning the type of deception engaged in here [phony *596gas leak] would send a message to all those with reason to fear "the system" (whether they be law abiding or law breaking) that emergency warnings cannot be trusted.
United States v. Giraldo,
Thus, to sum up, while the fact-specific nature of the voluntariness inquiry makes it difficult to draw many bright lines "within this murky area of law concerning consents [to search] obtained by deception as to purpose," 4 Search & Seizure, supra, § 8.2(n), courts have uniformly recognized that the Fourth Amendment may be violated when consent is obtained through a law enforcement officer's false claim of authority or lies conveying an exigent need for the search. In such instances, the deception may be sufficient on its own to vitiate the voluntariness of the resulting "consent." See Bumper,
3. The Challenged Search
Against the backdrop of the law described above, and mindful of "the demanding *597scrutiny required by the Schneckloth court" in assessing consent, United States v. Twomey,
To be sure, the fabricated emergency was not one that presented an immediate threat to the personal safety of Pagán-González, his parents, or any particular individual -- as would a gas leak or a bomb. See supra Section II.B.2.ii. However, we reject the government's suggestion that a finding of coercion based on fabricated exigent circumstances is limited to lies about an imminent physical danger or "a time-critical investigation involving the well-being of a vulnerable person." There is nothing fanciful about the havoc that could be wreaked by a computer attack on the federal government. By late 2013, when the conduct at issue here occurred, cyber security was a major concern within the FBI itself, and the serious threat posed by cyberattacks also was public knowledge. In March 2012, for example, the FBI's then-top official on cybercrime stated that terrorist groups were "increasingly ... seeking to use the network to challenge the United States by looking at critical infrastructure to disrupt or harm the viability of our way of life." FBI, Interview with Shawn Henry, https://www.fbi.gov/news/stories/the-cyber-threat (March 27, 2012). An executive order issued by the White House in February 2013 likewise warned that "[t]he cyber threat to critical infrastructure continues to grow and represents one of the most serious national security challenges we must confront." Exec. Order No. 13636, Improving Critical Infrastructure Cybersecurity,
In addition, the severity of the purported threat in this instance was made plain *598by the number of agents dispatched to address it. Both of these factors -- the claimed threat and the significant show of force -- are consequential in assessing the voluntariness of Pagán-González's consent to enter and search. See 4 Search & Seizure, supra, § 8.2(b) ("It is significant ... that consent has been obtained while the consenting party was confronted by many police officers."); 2 Criminal Procedure, supra, § 3.10(c) (stating that consent "should not be considered valid" when the fabricated scenario is "so extreme" that the individual cannot fairly assess "the need to surrender his privacy").
Nor do other factors diminish the coerciveness of these aspects of the encounter. Pagán-González's education and family support might have enabled him to resist some types of official deception, cf., e.g., Parson,
In short, the totality of the circumstances as alleged point strongly to a situation involving "an unwitting, trusting beguilement," Spivey,
4. Qualified Immunity
Having concluded that the search as alleged violated the Constitution, we turn to the second prong of the qualified immunity inquiry: whether the unlawfulness of the agents' conduct was clearly established at the time they acted. See, e.g., Wesby,
The government argues that the defendants in this case are entitled to qualified immunity because there is no consensus on "what constitutes permissible deception in enforcing the criminal law." Appellee's Br. at 23 (quoting 4 Search & Seizure, supra, § 8.2(n) ). Pointing out that the plaintiffs themselves have conceded that "there is no Supreme Court or First Circuit case forbidding agents from using a ruse," the government goes on to characterize this case as one in which "known officers misrepresent[ed] their investigative purpose and claim[ed] to be investigating one crime when they are really investigating another." Id. at 22. "[E]ven if some such ruses may be out of bounds," the government states, law enforcement officers cannot be expected to "identify[ ] the proscribed variety in advance." Id. at 23.
But the question on which qualified immunity turns in this case is not whether government agents ever may use a ruse to obtain consent for a warrantless search. Under current law, they clearly may. Hence, plaintiffs' "concession" that ruses have never been prohibited by the Supreme Court or our court is irrelevant to our inquiry. The government likewise misses the mark in pressing the lack of clarity on the lawfulness of ruses in which officers obtain consent by misrepresenting the crime they are investigating. Importantly, the deception that prompted Pagán-González's consent was not simply a lie about the purpose of the agents' search, but it involved fabrication of an emergency. In other words, the facts as alleged implicate the narrow line of cases described above in Section II.B.2.ii. See Mullenix,
Hence, the second-prong question we must address is whether the "robust 'consensus of cases' " on fabricated exigent circumstances put the defendants on notice of the unconstitutionality of their particular ruse. al-Kidd,
Essentially for the reasons leading us to conclude that Pagán-González's complaint states a claim for an unlawful search under the Fourth Amendment, we also hold that the virus ruse falls squarely within the "body of relevant case law" in which consent premised on a fabricated emergency was found invalid. Wesby,
No reasonable law enforcement officer could fail to understand the similar compulsion that is inherent in the lie used in this case. See Wesby,
Moreover, the precedent further makes plain that surrounding conditions can contribute to the coerciveness of the encounter. In Krause, for example, the court noted the "alarming" timing of the confrontation -- "[a] knock on the door at 4:00 a.m. by uniformed police officers" -- and the target's additional vulnerability because of the "heinous and shameful accusation" that someone in the residence had raped a young girl.
Accordingly, every reasonable officer would have understood that the ruse used here, carried out in a manner that signified an emergency, would leave an individual *601with effectively no choice but to allow law enforcement officers inside his home so they could attempt to alleviate the grave threat. And, in turn, a reasonable officer would have known that thus denying Pagán-González a "free and unconstrained choice" to forgo the constitutional protection of a warrant was a violation of his Fourth Amendment rights. Schneckloth,
III. Malicious Prosecution
Pagán-González argues that he also has a viable Fourth Amendment claim for malicious prosecution because the defendants relied solely on the evidence obtained in the unlawful search of his computer in arresting and charging him. As the district court noted, to succeed on a malicious prosecution claim, our case law states that a plaintiff must "establish that: 'the defendant (1) caused (2) a seizure of the plaintiff pursuant to legal process unsupported by probable cause, and (3) criminal proceedings terminated in plaintiff's favor.' " Hernandez-Cuevas v. Taylor,
The government counters that Pagán-González fails on multiple grounds to state a constitutional claim of malicious prosecution. First and foremost, it challenges Pagán-González's assertion that evidence obtained from an unlawful search may not be used to support a finding of probable cause for arrest, detention, and prosecution. Citing published decisions from other circuits and unpublished decisions of our own court, the government points out that the exclusionary rule has been held to apply only in criminal proceedings. See, e.g., Lingo v. City of Salem,
The widespread view that probable cause to arrest or prosecute may be established in civil proceedings with unlawfully seized evidence means that, regardless of our view on the merits of Pagán-Gonzá
*602lez's malicious prosecution claim, the defendants are entitled to qualified immunity on that claim. Put simply, no clearly established law barred the defendants from using evidence obtained in the unlawful search to support probable cause for the criminal charges brought against Pagán-González.
In so concluding, we do not reach the first question of the qualified immunity analysis, i.e., whether Pagán-González might in fact have a viable Fourth Amendment claim stemming from his arrest and pre-trial detention. Pagán-González fails to develop fully an argument that he has satisfied the unsupported-by-probable-cause requirement stated in Hernandez-Cuevas notwithstanding the "real," but unlawfully obtained, evidence of his criminal activity the officers submitted to the magistrate judge. Nor does he suggest an alternative analysis for considering his unlawful detention claim under the Fourth Amendment, such as the forceful theory of relief described by our colleague in his thoughtful concurrence. See generally Manuel v. City of Joliet, III., --- U.S. ----,
Accordingly, the district court properly dismissed the malicious prosecution claim on the ground that defendants are entitled to qualified immunity.
IV. Conclusion
For the reasons given above, we vacate the dismissal of appellants' search-based Fourth Amendment claim. In remanding for further proceedings on that claim, we leave it to the district court to address both defendants' contention that the complaint fails to adequately allege Agent Bonilla's responsibility for the search and plaintiffs' related request for discovery. We affirm the dismissal of the malicious prosecution claim based on qualified immunity.
Vacated in part, affirmed in part, and remanded for further proceedings consistent with this opinion. Two-thirds costs to appellants.
A Bivens claim is an implied cause of action for civil damages against federal officials that we treat for qualified immunity purposes as equivalent to the statutory cause of action against state officials provided by
The criminal complaint and affidavit were attached as exhibits to appellant's civil complaint. See, e.g., Foley v. Wells Fargo Bank, N.A.,
The second named officer, Agent Claudia I. Bonilla, signed the affidavit submitted with the criminal complaint. The civil complaint in this case also listed as defendants "Unknown Agents of the FBI and/or Federal Task Force 1 to 15," Moreno and Bonilla's husbands, and the two officers' conjugal partnerships.
For the sake of simplicity, we refer to the claims and arguments on appeal as if raised only by Pagán-González. However, his parents -- David Pagán-Albino and Isabel González-Torres -- and their conjugal partnership also are plaintiffs-appellants with respect to the search-related claim.
In their motion to dismiss, the defendants observed that Pagán-González appeared to invoke only the Fifth Amendment as the basis for the malicious prosecution claim. The district court, however, viewed the malicious prosecution allegations to assert both Fourth and Fifth Amendment violations, but then found that the claim was cognizable only under the Fourth Amendment. See González v. Moreno,
Agent Bonilla's affidavit states that, during the agents' first visit to his home, Pagán-González acknowledged that "he would download and exchange images and videos of minors engaging in sexual activity." However, Pagán-González has denied making that admission, and, taking the facts in the light most favorable to him, we disregard the asserted admission in assessing the claims.
Pagán-González appears to have appealed only the statute-of-limitations ruling on the search claim. However, the government makes no waiver argument concerning the merits and, indeed, it urges us to find in its favor on the validity of the search. We may affirm the dismissal on any ground supported by the record, see, e.g., Flores v. OneWest Bank, F.S.B.,
We have observed that other
[f]actors relevant to voluntariness may include, but are not limited to: (i) the consenter's age, education, past experiences, and intelligence; (ii) whether law enforcement officials advised the consenter of his constitutional right to refuse consent; (iii) the length and conditions of the consenter's detention and/or questioning; and (iv) law enforcement officials' use of any inherently coercive tactics.
Vanvliet,
We note that, despite widespread acceptance, not everyone agrees that nondisclosure or an affirmative misrepresentation of a police officer's identity is compatible with a finding that the unknowing or deceived defendant acted voluntarily in interacting with law enforcement. See 2 Wayne R. LaFave et al., Criminal Procedure § 3.10(c) (4th ed. 2017) :
Though some consider even Lewis as objectionable on the ground that we should "regard deliberate deception about an obviously material -- indeed controlling -- fact as inconsistent with voluntariness," a more appropriate concern is that of keeping the above-stated principle within reasonable bounds. One attractive proposal is that permissible deception by a stranger must include a stated intention on his part to join the consenting party in criminal activity, for in that way innocent persons will be spared from intrusions upon their privacy by deception.
(Footnotes omitted.)
Multiple commentators, however, have questioned the constitutional validity of officer deception about purpose in seeking consent to search. See, e.g., Laurent Sacharoff, Trespass and Deception, 2015 B.Y.U. L. Rev. 359, 364 (2015) (relying on Supreme Court's trespass analysis in recent Fourth Amendment cases to propose that "when a person lies about her identity and purpose to obtain consent to enter private property, that deception vitiates consent, thereby transforming the entry into a trespass");
The Supreme Court denied certiorari in the case. See Spivey v. United States, --- U.S. ----,
In United States v. Wei Seng Phua, the court addressed circumstances that it acknowledged did not rise to the level of exigent because the agents "did not lie about an emergency or life-threatening situation."
In Giraldo, the agents were disguised as gas company employees.
The voluntariness of appellant's consent is, of course, a fact-based inquiry properly conducted by the district court in the first instance. See, e.g., Vanvliet,
As plaintiffs noted in their opposition to defendants' motion to dismiss, the agents' statement about viruses affecting computers in "Washington" was an "obvious reference to Government computers." Pagán-González v. Moreno, Civ. No. 3:14-01899 (GAG), Dkt. No. 25, at 20 (filed Nov. 2, 2015).
Concurring Opinion
I fully agree with the analysis that the majority sets forth to explain why David Pagán-González ("Pagán") states a viable Fourth Amendment claim with respect to the allegedly unconstitutional, warrantless search for which he seeks damages. I do so notwithstanding the defendants' assertion of qualified immunity.
I also agree with the majority that Pagán has failed to provide us with a basis for overturning the District Court's order dismissing what he styles as his malicious prosecution claim. In that claim, he seeks damages for the pre-trial detention that he endured and that he contends violated the Fourth Amendment's prohibition against unreasonable seizures. I agree with the majority that Pagán fails to show, with respect to this claim, that he has alleged a violation of clearly established law, and thus I agree that this claim must be dismissed because it cannot survive the second step of the qualified immunity inquiry.
The choice to resolve a constitutional tort claim with reference only to the second step of the qualified immunity inquiry *603-- as we do here with respect to Pagán's claim concerning his detention -- is often a sensible one. There is a risk, however, that such a choice will unduly stunt the development of the law. See Pearson v. Callahan,
I.
Starting on December 12, 2013, Pagán was held in pretrial detention for five days solely based on an arrest warrant that federal law enforcement agents had procured from a federal magistrate judge after they had filed a criminal complaint against Pagán. See Fed. R. Crim. P. 4(a).
At least one of the defendants deliberately or recklessly made false statements in an affidavit attached to the criminal complaint. Those statements misleadingly suggested to the magistrate judge that law enforcement had used constitutionally legitimate means to acquire the sole evidence that formed the basis for the magistrate judge's finding, in issuing that arrest warrant, of "probable cause to believe that an offense ha[d] been committed and that [Pagán] committed it." Fed. R. Crim. P. 5.1(e). That evidence consisted of a computer of Pagán's that contained child pornography.
Consider in this regard that Pagán alleges in his complaint that one of the agents who participated in his seizure stated in the affidavit that she attached to the application for the criminal complaint that, "on October 23, 2013, Agents obtained consent to examine two computers," including his own. Consider as well that Pagán also alleges in his complaint that this same agent made that conclusory representation concerning the consensual nature of the examination of the computers, even though she "knew Defendants lied to [Pagán] to secure and obtain the evidence referred to in her Affidavit." Consider, finally, that Pagán's complaint notes that this agent stated in the affidavit attached to the criminal complaint that she "personally participated in this investigation leading to the information contained in this affidavit either through personal investigation or through discussions with other law enforcement personnel."
These allegations are plausible, moreover, in light of our holdings regarding the unconstitutional nature of the search that produced the computer. Recall in this regard that we find that "[n]o reasonable law enforcement agent could fail to understand the ... compulsion that is inherent in the lie used in this case" to obtain the evidence -- namely, the computer containing the child pornography -- that formed the basis for the application for the criminal complaint that led to Pagán's detention pre-trial. Panel Op. 601. Recall, too, that we *604hold that "any reasonable officer would have known that denying Pagán a 'free and unconstrained choice' to forgo the constitutional protection of a warrant was a violation of his Fourth Amendment rights." Panel Op. 601 (citing Schneckloth v. Bustamonte,
In sum, Pagán has clearly alleged that at least one of the agents involved in effecting his detention deliberately or recklessly misled the magistrate judge into thinking that the sole evidence of probable cause -- the computer -- had been acquired through a constitutionally compliant consensual transfer. But, Pagán has plausibly alleged, that agent was in fact aware that this evidence had been acquired through a clearly unconstitutional coercive ruse.
The consequence of these allegations is that Pagán's detention-based claim brings to the fore at the first step of the qualified immunity inquiry an important legal question. We must decide, at this first step, whether these allegations about this agent's trickery in securing the arrest warrant describe a constitutional violation, such that Pagán may recover damages for his pre-trial detention. We must decide whether those allegations state such a violation, moreover, notwithstanding that the magistrate judge relied on real evidence of criminal activity to make the probable cause finding that served as the predicate for the issuance of the arrest warrant that resulted in Pagán's seizure and notwithstanding that this real evidence was in fact strong enough to support that probable cause finding.
In my view, these allegations do suffice to state such a violation. To explain why, though, I need to wend my way through an unfortunately complex doctrinal thicket. Only then can I adequately explain why, on the one hand, Pagán fails to show that he has alleged a violation of clearly established law, but, on the other, little logic supports the precedential obstacles that potentially stand in the way of his doing so.
II.
I begin by winding the clock back more than two decades. That was when the Supreme Court decided Albright v. Oliver,
A.
Up until Albright, many lower courts had permitted plaintiffs to recover damages in § 1983 or Bivens actions against law enforcement for the deleterious effects of a baseless criminal prosecution. See Torres v. Superintendent of Police of P.R.,
Such damages actions were conceived of as ones that sought remedies for violations of an individual's substantive due process rights. See Albright,
The courts that permitted such suits to go forward often drew the elements for what they referred to as the constitutional tort of malicious prosecution from the common law tort of malicious prosecution. See Albright,
There was an understandable logic to the strict requirement that, to make out a constitutional claim for malicious prosecution, the plaintiff had to show both that there was no real evidence of probable cause at the outset and that the prosecution had been terminated in the plaintiff's favor at the close. The gravamen of the constitutional claim was the utter baselessness of the prosecution itself -- not any detention that the plaintiff had been made to endure in the pre-trial period. That seizure -- like the hit to the plaintiff's reputation -- may have inflicted damage for which recovery could be sought. But, that damage was not itself either the source of the constitutional violation or the basis for the constitutional claim.
Thus, the thinking went, if there were evidence of the defendant's criminal activity at the outset -- or, if the defendant's crime could be proven at the close -- then the constitutional claim for malicious prosecution could not succeed. There would be no ground for concluding in such a case that the prosecution had been so baseless as to violate the defendant's substantive due process rights. By contrast, if the plaintiff could show that law enforcement had fabricated the evidence of criminal activity from the get-go and that the prosecution failed at the end, then the constitutional claim for malicious prosecution would be viable.
The inclusion of these two elements of the constitutional tort of malicious prosecution -- the one concerning probable cause and the one concerning favorable termination -- made sense for another reason. Insofar as the federal constitutional guarantee of substantive due process itself barred such baseless prosecutions, it would have been surprising if that guarantee imposed such a bar even in cases in which *606the longstanding common law variant of the tort did not.
B.
Albright changed the legal landscape quite significantly. It did not do so by suggesting that -- insofar as the substantive due process guarantee barred baseless prosecutions -- the requirement that plaintiffs prove either the no-probable-cause element or the favorable-termination element was problematic. See Albright,
Albright's reasoning reflected a concern about expanding the scope of substantive due process. See
Albright did not actually go so far as to hold that such detention-focused, Fourth Amendment-based claims were viable. See
These lower appellate courts held that plaintiffs could bring what these courts continued to refer to as a "malicious prosecution" claim under the Constitution -- and thus, under § 1983 or Bivens-- so long as that claim was based on the Fourth Amendment and thus so long as that claim targeted an actual seizure of the plaintiff.
These courts, though, still had to determine what the elements of this newly conceived Fourth Amendment-based malicious prosecution constitutional tort claim would be. See
We offered our answer in Hernandez-Cuevas.
*607Ultimately, and presciently, we held that the elements of this type of constitutional tort of malicious prosecution were not dictated by the elements of the common law malicious prosecution analogue.
Thus, taken literally, Hernandez-Cuevas describes the elements of this Fourth Amendment-based malicious prosecution claim in a way that makes the existence of actual (and sufficiently substantial) evidence that the plaintiff committed the crime fatal to a Fourth Amendment-based tort claim challenging a pre-trial detention that has been carried out pursuant to legal process. See
C.
This precedential review brings us, then, to the conduct by law enforcement that Pagán alleges occurred in this case. That conduct occurred after we decided Hernandez-Cuevas, which is no doubt why Pagán relies on Hernandez-Cuevas in arguing that he has stated a claim for damages. But, given our statement of the necessary elements of the Fourth Amendment-based malicious prosecution claim in that precedent, I agree with the majority that Pagán has failed to make the case that he has alleged a violation of clearly established law.
Pagán's complaint -- unlike the one in Hernandez-Cuevas itself,
Nor does Pagán develop any argument as to how, notwithstanding the existence of real and substantial evidence of his criminal conduct, his claim is nonetheless one that clearly satisfies the probable cause element that Hernandez-Cuevas appears to have established. See
Thus, I agree with the majority that -- at least given the arguments that Pagán makes to us -- Hernandez-Cuevas poses an insuperable obstacle to his claim going forward. Accordingly, I join the majority's *608holding at step two of the qualified immunity inquiry. Panel Op. 601-02.
There has, however, been yet another change in the relevant legal landscape, although this one occurred only after the initiation of Pagán's case. It thus does little to help Pagán meet the "clearly established law" prong of the qualified immunity inquiry, at least given the arguments that he makes to us. Nevertheless, this change does suggest to me that it would be a mistake to make too much of the obstacle that seemingly stands in the way of Pagán's claim with respect to similar claims that may be brought by others. Thus, in the remainder of my analysis, I explain my reasons for so concluding.
III.
The post- Hernandez-Cuevas legal change that I have in mind was brought about by the Supreme Court's recent decision in Manuel v. City of Joliet, III., --- U.S. ----,
To support the first of these conclusions, I note that the Supreme Court granted certiorari in Manuel on the question of "whether an individual's Fourth Amendment right to be free from unreasonable seizure continues beyond legal process so as to allow a malicious prosecution claim based upon the Fourth Amendment."
Moreover, Manuel remanded to the Seventh Circuit to consider "the elements of, or rules applicable to" Manuel's claim, without purporting to set forth the elements from the traditional tort of malicious prosecution or to answer the timeliness question by applying the special accrual rules from the common law variant of the malicious prosecution tort.
In addition to the fact that Manuel eschews the "malicious prosecution" label, it also supports the implication that I draw from it that courts need to examine claims such as the one that Pagán brings through the lens of the Fourth Amendment rather than through the lens of the common law tort of malicious prosecution. Although Manuel expressly encourages us to "look first to the common law of torts" to define the elements of a § 1983 claim, it explains that those "[c]ommon-law principles are meant to guide rather than to control the *609definition of § 1983 claims,
Thus, it is with this fresh guidance from Manuel in mind that I now consider whether the Fourth Amendment claim that Manuel recognizes encompasses a claim like Pagán's. For the reasons set forth below, I conclude that it does. I do so despite the fact that the evidence that the magistrate judge relied upon to issue the arrest warrant that permitted Pagán's seizure was both real and sufficient to establish the requisite probable cause. I do so, as well, even though the analogous evidence of probable cause in Manuel allegedly had been fabricated by law enforcement, just as it allegedly had been fabricated in Hernandez-Cuevas.
A.
As Manuel recognizes, a claim of the kind that Pagán brings is necessarily predicated on a challenge to whether the seizure at issue comports with the Fourth Amendment. The focus, therefore, should be on discerning the elements of the constitutional tort that logically relate to the constitutional right -- namely, the Fourth Amendment prohibition against unreasonable seizures -- on which the tort is grounded. Id. at 920-21.
Such a focus, however, makes it mysterious to me why we would continue to define the elements of the claim as Hernandez-Cuevas-- at least at first blush -- presently does. See Hernandez-Cuevas,
With respect to making favorable termination an element of the Fourth Amendment-based tort, such as the one that Pagán brings, I see little reason to retain that element post- Manuel. The termination of the prosecution -- even if unfavorable to the defendant -- cannot render the pre-trial seizure of the defendant constitutional if that seizure was unlawful from the inception. No matter how the prosecution ends -- including if it ends in a conviction -- the defendant still has a right for there to have been a constitutionally valid basis for the pre-trial detention that he endured. Thus, the favorable termination element -- an artifact of the old, no longer viable substantive due process-based malicious prosecution constitutional tort -- seems to me to be an anachronism. Accord Manuel, 137 S.Ct. at 925-26 (Alito, J., dissenting).
I reach the same conclusion with respect to the element concerning probable cause -- at least if we understand that element to require a showing that the magistrate judge's finding of probable cause that grounded the seizure was predicated on evidence that law enforcement fabricated or that was so patently weak that it could not plausibly support a probable cause finding. I add this caveat about whether *610Hernandez-Cuevas actually meant to establish a definitive holding about the requirements of the probable cause element for the following reason. In Hernandez-Cuevas, the only evidence of probable cause had -- allegedly -- been fabricated by law enforcement.
But, insofar as Hernandez-Cuevas does establish a probable cause element of a strict kind, I do not see why it is right to do so given the recent guidance that we have received from Manuel. Here, too, my concern is that the element is being defined with reference to the old, now-rejected malicious prosecution constitutional tort, rather than with reference to the Fourth Amendment-based tort, which is the only variant of that tort that remains viable after Manuel.
There is a logic to requiring the prosecution to have been based on real evidence of a crime at the outset if the constitutional claim targets the bringing of the prosecution itself. There is no similar logic, though, to imposing that requirement if the constitutional claim challenges only the seizure that occurred in connection with that prosecution.
To see why, we need only follow Manuel's admonition that, in discerning the elements of this Fourth Amendment-based tort, we must keep our eye on the underlying constitutional right. Manuel,
B.
The Fourth Amendment provides that "no Warrants shall issue but upon probable cause, supported by Oath or affirmation, and particularly describing the place to be searched, and the persons or things to be seized." U.S. Const. amend. IV. Importantly, for present purposes, the Supreme Court has explained that the Amendment's protection consists of more than the requirement of probable cause. Rather, the Court has explained, "[t]he bulwark of Fourth Amendment protection, of course, is the Warrant Clause, requiring that, absent certain exceptions, police obtain a warrant from a neutral and disinterested magistrate before embarking upon a search." Franks v. Delaware,
Further, the Court emphasized in Franks that "it is the magistrate who must determine independently whether there is probable cause" in a case where a warrant would be required and thus "it would be an unthinkable imposition upon his authority if a warrant affidavit, revealed after the fact to contain a deliberately reckless false statement, were to stand beyond impeachment."
Thus, a showing of probable cause is not the only prerequisite to a lawful seizure of a criminal defendant -- by reason of his suspected criminal activity -- under the *611Fourth Amendment. Rather, per Franks, the probable cause showing is necessary but not sufficient, because, in many circumstances, a defendant's seizure may be constitutionally carried out only pursuant to an arrest warrant issued by a neutral magistrate judge. Franks,
Moreover, in those circumstances in which a warrant is required, the seizure does not necessarily comply with the Fourth Amendment simply because law enforcement carried it out pursuant to such a warrant. Rather, even in that event, the seizure may be challenged on Fourth Amendment grounds, as Franks shows, too.
To be sure, even a defective arrest warrant -- say, one resting on evidence too slight to establish probable cause -- may legitimate the conduct of officers who, in good faith, effect an arrest pursuant to that defective warrant. The good faith exception to the warrant requirement ensures this outcome. United States v. Leon,
The logic underlying the precedent that limits the good faith exception is clear enough. An arrest warrant can legitimate a seizure premised on a warrant that in fact lacks probable cause. An arrest warrant cannot legitimate a seizure under the Fourth Amendment if law enforcement precluded the magistrate judge from performing the neutral gatekeeping role required of it by the Warrant Clause. In such circumstances, the warrant cannot provide a good faith basis for law enforcement to think that the seizure was lawful due to the trick on the magistrate judge that was used to secure the warrant.
Against this legal background, Hernandez-Cuevas and Manuel were hardly innovative in permitting Fourth Amendment-based damages claims to proceed where the plaintiff alleged that his pre-trial seizure had been carried out pursuant to an arrest warrant that the magistrate judge issued based on evidence of probable cause that law enforcement had fabricated. Manuel, 137 S.Ct. at 914-15, 920 n.8 ; Hernandez-Cuevas,
The question for our purposes, though, is not quite so easily answered as it was in those cases. The trickery in Manuel and Hernandez-Cuevas led the magistrate judge to issue a warrant based on evidence of probable cause that simply did not exist and that law enforcement knew from the outset did not exist. In a case like Pagán's, by contrast, law enforcement has not tricked the magistrate judge into believing that there was evidence of probable cause when there in fact was none. There was such evidence all along. Rather, law enforcement has -- allegedly -- merely tricked the magistrate judge into believing that the evidence of probable cause was constitutionally acquired when law enforcement knew it was not.
As I read our precedent, however, where officers trick the magistrate judge *612about the unlawfully acquired nature of the evidence that they have put forward to establish probable cause, the resulting warrant is no less premised on a lie or reckless half-truth that materially taints the magistrate judge's capacity to perform the constitutionally prescribed gatekeeping role than when the deceit concerns the existence of the evidence. Thus, law enforcement's ability to rely on that warrant in good faith to justify the seizure may be limited just as it would be in a case in which the lie or reckless untruth does concern the evidence's existence.
Specifically, we have explained that a warrant -- even if predicated on evidence that was itself real -- may not be relied upon by law enforcement, if it had been secured by deliberate lies or reckless omissions that misled the magistrate judge into thinking that critical evidence of probable cause had been acquired constitutionally or with a good faith belief that it had been. See United States v. Diehl,
In Bain, for example, we held that a search warrant could be issued based on unconstitutionally acquired evidence of probable cause obtained in a prior search if that prior search had been conducted on a "good faith" belief that it was conducted constitutionally. Bain,
Franks itself, I should add, supports the same conclusion. It concerned misrepresentations by officers about whether certain statements -- necessary for a finding *613of probable cause by the magistrate judge -- had been made to officers in violation of the defendant's rights under Miranda v. Arizona,
Thus, the following would appear to be clear, at least under our precedent. When law enforcement intentionally or recklessly makes false statements to a magistrate judge about the constitutional or good faith means by which law enforcement obtained the evidence that supplies the basis for finding the probable cause necessary to justify the warrant that would permit a pre-trial seizure of a criminal defendant, such lies -- or reckless omissions -- undermine the magistrate judge's ability to perform its constitutional role under the Warrant Clause. See Franks,
C.
Against this legal backdrop, I do not see why a plaintiff should be barred from seeking damages for his pre-trial seizure, simply because he can show that the lies or the reckless omissions that law enforcement told the magistrate judge to secure the arrest warrant concerned only how real evidence had been acquired and not whether such real evidence existed. The deceit still stripped the magistrate judge of the ability to perform its constitutionally prescribed gatekeeping role. The deceit did so by stripping the magistrate judge of the opportunity to deny law enforcement the ability to exploit the unconstitutional conduct it used to acquire the evidence that supplies the sole basis for procuring the warrant that would permit a defendant to be seized. Under our precedent, therefore, the seizure would appear to be no less unconstitutional -- insofar as the warrant is necessary in the first place -- for having been carried out pursuant to unconstitutional trickery of that comparatively subtle (but still egregious) sort. Cf. Manuel, 137 S.Ct. at 918 (noting that the Fourth Amendment's prohibition on "government officials ... detaining a person in the absence of probable cause" may "also occur when legal process itself goes wrong").
Nor would such a conclusion be unique. There is some precedent that recognizes that the old "probable cause" element -- as developed in connection with the pre- Albright constitutional tort of malicious prosecution -- should not be construed to require a showing that the finding of probable cause rested on fake rather than real evidence. For example, in Boyd v. City of New York,
Thus, even before Manuel, at least one circuit appeared to be grappling with the apparent mismatch between the elements of existing, substantive due process malicious prosecution claims and the new Fourth Amendment-based claim challenging the seizure alone. In my view, that circuit was right to be doing so.
Consider a case in which law enforcement bribed the magistrate judge to rule its way in assessing whether debatable but real evidence -- say, officer testimony in which credibility determinations are paramount -- could suffice to permit the seizure. The victim of that misconduct should not be barred from seeking recompense for the harm that he has endured from the resulting detention. There, the evidence of probable cause itself would not have been fabricated. Nor might it even have been so patently weak as to preclude an officer from relying in good faith on a warrant based on it. Nevertheless, the detainee would still have been deprived of his Fourth Amendment right to have a neutral magistrate judge -- rather than an interested executive actor -- assess whether the detention was justified.
The situation, it seems to me, is no different if the magistrate judge was misled into believing that the evidence of probable cause had been acquired consensually rather than pursuant to a ruse that the officers knew to be unconstitutionally coercive. Such deceit -- even if it inheres only in a reckless omission, rather than a deliberate untruth, and even if it concerns the means of acquisition rather than the evidence's actual existence -- prevents the magistrate judge from performing its constitutionally contemplated role as a neutral adjudicator of whether detention is warranted. See Franks,
D.
Allowing claims like Pagán's to proceed would not mean that constitutional tort suits could be used to attack arrests based on warrants as a general matter. Leon still shields officers where they rely on warrants in good faith, except in very limited circumstances, such as Franks violations in securing the warrant. Leon,
This approach is also entirely consistent with the prevailing view that the exclusionary rule does not apply to civil proceedings. See Lingo v. City of Salem,
In addition, in all § 1983 cases and Bivens actions, plaintiffs must show some causation between the defendant's conduct, the constitutional violation, and the plaintiff's injury. See Martinez v. California,
IV.
For these reasons, I conclude that Pagán has sufficiently stated a claim for damages under the Fourth Amendment -- save, that is, for the qualified immunity defense that bars that claim from surviving here. The lack of clarity in our precedent or the Supreme Court's as to the elements of such a claim precludes him from overcoming that defense -- at least given his arguments to us. I recognize that this caveat concerning qualified immunity is a rather significant one -- and not only in Pagán's case. The defense of qualified immunity is usually invoked in cases like this one, just as it has been invoked here. A plaintiff who loses at the second step of the qualified immunity inquiry is no better off than one who loses at the first step.
Still, it is important to address the first step of the qualified immunity inquiry. That step is certainly relevant in cases in which the defense of qualified immunity is not properly invoked -- and, in fact, it was not invoked in either Hernandez-Cuevas or Manuel. Hernandez-Cuevas,
With respect to that step, moreover, it is clear to me that, in light of Manuel, it is a mistake to attempt to fashion a half-fish, *616half-fowl, hybrid malicious prosecution/Fourth Amendment based tort. I thus do not see how, post- Manuel, we could continue to justify treating a Fourth Amendment-based claim such as Pagán brings here -- targeting, as it does, only the seizure and not the prosecution -- as a species of the old malicious prosecution tort. Rather, we must understand that tort for what it is -- a Fourth Amendment-based challenge to pre-trial detention that targets law enforcement's efforts to circumvent the warrant requirement through lies or reckless omissions that conceal from the magistrate judge facts material to its ability to perform its constitutionally assigned role.
For that reason, I think it important to lay out this analysis here. That way, in a subsequent case we will be better positioned to resolve definitively how Manuel bears on -- and, in my view, supersedes -- two of the elements of the constitutional tort that we described in Hernandez-Cuevas: the ones concerning favorable termination and probable cause. See Hernandez-Cuevas,
Unless we at some point address step one of the qualified immunity inquiry in a case involving such a claim, or otherwise definitively define the elements of this constitutional tort post- Manuel, we will be at risk of leaving the law unclear in key respects. In consequence, we will be permitting our pre- Manuel case law to exert an outsized influence on the types of remedies that may be available to those who have been the victims of unlawful law enforcement trickery of the kind that the Fourth Amendment quite clearly condemns.
Finally, and relatedly, I would not rule out the possibility that, even before our court does provide clarity to the doctrine in this area, a plaintiff might be able to develop an argument -- which Pagán has not attempted to do here -- as to why such a claim might be viable even in the face of a qualified immunity defense. Our Fourth Amendment precedents in Bain and Diehl clearly establish that law enforcement officers -- per Franks -- may not rely on warrants in good faith that are the product of their own reckless half-truths about the constitutionality (or the officers' good faith belief in the constitutionality) of the means used to acquire the evidence of probable cause on which the magistrate judge relied in issuing the warrant. Nor does Hernandez-Cuevas suggest otherwise. Rather, Hernandez-Cuevas at most creates doubt about the content of one element of the constitutional tort suit that may be brought to recoup damages for the harm caused by the pre-trial detention that results from such clearly unconstitutional law enforcement conduct.
Given that qualified immunity is intended to serve a practical, functional purpose, I am not certain that law enforcement officers should be immune from damages for engaging in conduct that, at the time it was undertaken, was clearly unconstitutional under our precedent, simply because we had not also as of that time clearly described an element of the constitutional tort that may be brought to recover damages for the harm caused by such conduct. We have no occasion, however, to consider such a refined question of qualified immunity law here. I thus leave it for another day.
For present purposes, it is enough to lay out the lines along which the relevant doctrine may be reconstructed. Doing so is the first step along the route to ensuring that this body of doctrine is freed from the lingering influence of the pre- Albright tort of malicious prosecution and thus may reflect more fully Manuel's suggestion that we "closely attend to the values and purposes of the constitutional right at issue"
*617when "applying, selecting among, or adjusting common law-approaches." Manuel,
At the end of this five-day period, there was a preliminary hearing to determine whether there was "probable cause to believe an offense ha[d] been committed and that the defendant committed it." Fed. R. Crim. P. 5.1(e). Pagán does not allege in his complaint what evidence was put forward at this hearing. Accordingly, he has not met his burden to show that his pre-trial detention that ensued in the wake of that hearing violated his constitutional right to be free from unreasonable seizures.
We look to the common law for guidance in Bivens cases, as well. See Hernandez-Cuevas,
The only two circuits to take a different approach have adopted a per se rule precluding a magistrate judge from relying on unlawfully acquired evidence when evaluating whether there is probable cause for a warrant to issue. See United States v. McGough,
In that case, without deciding that it was the correct formulation of the test for "good faith," we applied the Eighth Circuit's formulation that the prior search must have been "close enough to the line of validity to make the officers' belief in the validity of the warrant objectively reasonable." Bain,
I note in this regard that, although our review of a District Court's legal conclusions on a motion to suppress, "including its conclusion regarding the existence of probable cause, [is] de novo," United States v. Clark,
Reference
- Full Case Name
- David PAGÁN-GONZÁLEZ, Et Al., Plaintiffs, Appellants, v. Ana MORENO, Et Al., Defendants, Appellees.
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