Hornof v. United States
Hornof v. United States
Opinion
United States Court of Appeals For the First Circuit
No. 23-1761
JAROSLAV HORNOF, a resident and citizen of the Czech Republic; DAMIR KORDIC, a resident and citizen of Croatia; LUKAS ZAK, a resident and citizen of the Slovak Republic,
Plaintiffs, Appellants,
v.
UNITED STATES; UNITED STATES DEPARTMENT OF JUSTICE; UNITED STATES COAST GUARD; UNITED STATES DEPARTMENT OF HOMELAND SECURITY; SHANE N. WALLER, a former employee of the United States Department of Justice; JOHN D. CASHMAN, an employee of the United States Department of Justice; RICHARD UDEL, an employee of the United States Department of Justice; MICHAEL A. FAZIO, Commander, First Coast Guard District of the United States Coast Guard; MICHAEL BAROODY, Captain and Commanding Officer, United States Coast Guard, Sector Northern New England; JON D. LAVALLEE, Lieutenant, First Coast Guard District Legal Office; MARK ROOT, Special Agent, United States Coast Guard Investigative Service; CHRISTY DOYLE, a citizen of Maine employed by the United States Customs and Border Protection; SHANNON TRUE, a citizen of Maine employed by the United States Customs and Border Protection,
Defendants, Appellees,
KEITH FLEMING, Port Director, Custom and Border Protection, South Portland, Maine,
Defendant.
APPEAL FROM THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF MAINE
[Hon. Jon D. Levy, U.S. District Judge] Before
Kayatta, Howard, and Gelpí, Circuit Judges.
Edward S. MacColl, with whom Marshall J. Tinkle, and Thompson, Bull, Bass & MacColl, LLC, P.A., were on brief, for appellants.
Anne Murphy, Attorney, Appellate Staff, Civil Division, United States Department of Justice, with whom Brian M. Boynton, Principal Deputy Assistant Attorney General, Darcie N. McElwee, United States Attorney, and Charles W. Scarborough, Attorney, Appellate Staff, were on brief, for appellees.
July 15, 2024 GELPÍ, Circuit Judge. Jaroslav Hornof ("Hornof"), Damir
Kordic ("Kordic"), and Lukas Zak ("Zak") (collectively,
"Plaintiffs") were crewmembers aboard the MARGUERITA, a vessel
that was allegedly unlawfully disposing of bilge water and
improperly keeping records. The MARGUERITA was held in-port in
Maine, and Plaintiffs were ordered to remain in the United States
as potential material witnesses to the wrongdoing. Plaintiffs
were later permitted to leave the United States, returned for
trial, and were awarded for their contributions to conviction. As
a result of their detention and parole order to remain in the
United States, Plaintiffs filed suit under Bivens v. Six Unknown
Named Agents of Federal Bureau of Narcotics,
403 U.S. 388(1971),
and the Federal Tort Claims Act ("FTCA"), against the United
States, the United States Department of Justice ("DOJ"), the United
States Coast Guard ("Coast Guard"), the United States Department
of Homeland Security ("DHS"), and nine Government Officials in
their individual capacities (collectively, "Government" or
"Defendants").1 The district court dismissed the Bivens claim and
Plaintiffs' Bivens claim was for alleged violations of their 1
Fourth, Fifth, Sixth, and Thirteenth Amendment rights. The FTCA claims included false imprisonment, false arrest, abuse of process, and intentional infliction of emotional distress. In addition, but not at issue on appeal, Plaintiffs brought claims against the individual Defendants under the Racketeer Influenced and Corrupt Organizations Act ("RICO"), and claims against the Defendants collectively under the Act to Prevent Pollution from Ships,
Pub. L. 96-478, 94Stat. 2297 (1980) (codified as amended at
33 U.S.C. §§ 1901-1915) ("APPS") for compensation for
- 3 - entered summary judgment for Defendants on the FTCA claims.
Plaintiffs timely appealed, arguing that the district court erred
in the dismissal and entry of summary judgment. We disagree and
affirm.
I. Background
A. Statutory Background
The United States is a party to the 1973 International
Convention for the Prevention of Pollution from Ships and the
Protocol of 1978, which combined are referred to as MARPOL, short
for marine pollution. United States v. Vastardis,
19 F.4th 573, 577(3d Cir. 2021); United States v. MST Mineralien Schiffarht
Spedition Und Transport GmbH, No. 2:17-cr-117,
2018 WL 522764, at
*2 (D. Me. Jan. 22, 2018); International Convention for the
Prevention of Pollution from Ships, Nov. 2, 1973, 1340 U.N.T.S.
184; Protocol of 1978, Feb. 17, 1978, 1340 U.N.T.S. 61. The
objective of MARPOL is to "achieve the complete elimination of
international pollution of the marine environment by oil and other
harmful substances." Protocol of 1978, supra, 1340 U.N.T.S. at
128. The United States enforces MARPOL through federal statute,
APPS, criminalizing violations of MARPOL. MST,
2018 WL 522764, at
*2; Vastardis,
19 F.4th at 577. Whistleblowers are incentivized
unreasonable detainment, declaratory and injunctive relief, and claims under the federal criminal statutes against peonage, involuntary servitude, and human trafficking.
- 4 - to report APPS and MARPOL violations because
33 U.S.C. § 1908(a)
specifically states that, "[i]n the discretion of the [c]ourt, an
amount equal to not more than 1/2 of such fine may be paid to the
person giving information leading to conviction." In addition,
APPS authorizes the Coast Guard2 to "prescribe any necessary or
desired regulations to carry out the provisions of . . . MARPOL."
33 U.S.C. § 1903(c)(1); see also
33 C.F.R. § 151.01.
One federal regulation at issue is
33 C.F.R. § 151.25,
the "Oil Record Book" regulation. The regulation states that a
"ship of 400 gross tons and above . . . shall maintain an Oil
Record Book" kept "readily available for inspection at all
reasonable times."
33 C.F.R. § 151.25(a), (i). Entries must be
made in the Oil Record Book whenever there is "[d]ischarge
overboard or disposal otherwise of bilge water that has accumulated
in machinery spaces."
33 C.F.R. § 151.25(d)(4). The entries must
be "fully recorded without delay" and "signed by the person or
persons in charge of the operations" and "the master or other
person having charge of the ship."
33 C.F.R. § 151.25(h). APPS
only applies to foreign-flagged ships "in the navigable waters of
the United States, or while at a port or terminal under the
jurisdiction of the United States."
33 C.F.R. § 151.09(a)(5); see
Section 1903(c)(1) gives "[t]he Secretary" the authority to 2
carry out the provisions of MARPOL.
33 U.S.C. § 1903(c)(1). "The Secretary" is defined as "the Secretary of the department in which the Coast Guard is operating."
33 U.S.C. § 1901(a)(11).
- 5 - also
33 U.S.C. § 1902(a)(2). Flag states, meaning the country or
countries where the ships are registered, are responsible for
enforcement of MARPOL violations that occur in international
waters. United States v. Ionia Mgmt. S.A.,
555 F.3d 303, 308(2d
Cir. 2009) (discussing law of the flag doctrine).
Furthermore,
8 C.F.R. § 252.1, titled "Examination of
crewmen," requires detention of "[a]ll persons employed in any
capacity on board any vessel or aircraft arriving in the United
States . . . by the master or agent of such vessel or aircraft
until admitted or otherwise permitted to land by an officer of the
Service."
8 C.F.R. § 252.1(a). Federal regulation
8 C.F.R. § 212.5, titled "Parole of aliens into the United States," outlines
when and how noncitizens can be paroled.
8 C.F.R. § 212.5(a),
(c)-(d).
B. Facts
The following facts are undisputed unless noted
otherwise. In 2017, Plaintiffs were working aboard the MARGUERITA,
registered in the Republic of Liberia, the crew of which were not
United States citizens nor residents.3 The MARGUERITA was owned
by Reederei MS "Marguerita" GmbH & Co., and operated by MST
Mineralien Schiffahrt Spedition und Transport, GmbH (collectively
3 Hornof is a citizen of the Czech Republic, Kordic is a citizen of Croatia, and Zak is a citizen of the Slovak Republic.
- 6 - "MST").4 Hornof noticed that the MARGUERITA's pollution-control
system had been altered, allowing unfiltered, dirty bilge water to
flow directly into the ocean. He realized that the Chief Engineer
of the MARGUERITA was making false entries into the Oil Record
Book. Hornof documented his discovery through pictures, videos,
and notes, confronting the Chief Engineer about the activity. The
Chief Engineer ignored Hornof's concerns, and when Hornof reported
the issue to the MARGUERITA's Captain, the Captain told Hornof
that the Chief Engineer reported that everything was being
conducted and documented correctly. Hornof then reported his
concerns to an MST superintendent.
MST was already on probation in the United States for
committing environmental crimes and was required to report any
wrongdoing on its vessels. MST informed United States officials
of the alleged wrongdoing and reported that the MARGUERITA would
be audited by a third party when it arrived in Brazil. The audit
confirmed Hornof's account. MST informed the Coast Guard of the
allegations and audit as a "Voluntary Disclosure," providing that
the situation was "fully, accurately and contemporaneously
memorialize[d]" in the vessel's Oil Record Book.
4 "MST" refers to both the owner and operator of the MARGUERITA as the two entities' relationship to one another is irrelevant to the appeal.
- 7 - The MARGUERITA arrived in Portland, Maine on July 7,
2017, where United States Customs and Border Protection ("CBP")
officials boarded the vessel and granted Plaintiffs temporary
landing privileges.5 The Coast Guard also boarded the MARGUERITA
to conduct a Port State Control Inspection and found that one or
more Oil Record Book entries were inaccurate or missing, thereby
concluding that a detailed and thorough "MARPOL examination" was
needed. Later that day, additional Coast Guard members boarded
the vessel and began the MARPOL examination which included speaking
with the crewmembers about the bilge water concerns.6 While
speaking with Coast Guard officials, "Hornof recounted his
discovery of the bilge water discharge system, played the video he
had taken of the pumps and hoses used in the discharge operation,
and showed officials the equipment used to bypass the
[pollution-control system]."
5 Hornof and Kordic were awarded D-1 conditional landing permits issued under
8 U.S.C. § 1282(a)(1), permitting them to go onshore temporarily while waiting for their vessel to depart, and Zak was awarded a D-2 conditional landing permit also issued under
8 U.S.C. § 1282(a)(2), permitting him to land temporarily in the United States and depart on his flight back home as his contract with MST had expired. 6 The parties dispute the number of Coast Guard officials who
boarded the MARGUERITA and the manner in which the officials interacted with the crewmembers. However, the number of officials is irrelevant to the issues on appeal. As to the interactions, while Plaintiffs claim that they were "interrogated," the Government claims that the officials conducted "interviews." Viewing the record in the light most favorable to Plaintiffs and drawing reasonable inferences in their favor, we accept their account of the interactions.
- 8 - After the MARPOL examination, the Coast Guard requested
that the MARGUERITA and its crew be placed on customs hold pursuant
to
33 U.S.C. § 1908(e), as the Coast Guard had determined it had
probable cause to believe that unlawful violations occurred,
identifying material witnesses. On July 8, 2017, the vessel's
departure clearance was denied and Plaintiffs' conditional landing
permits were revoked and replaced with new Form I-95s denying their
permission to land temporarily. CBP gave the MARGUERITA's shipping
agent a Form I-259 ("Notice to Detain, Remove, or Present Alien"),
requiring detention of the crew aboard the vessel, and the
witnesses identified were designated as "mala fide."
Plaintiffs remained on board the MARGUERITA from July 8
to July 16, 2017. On July 12, Government officials and MST
received the auditor's report and referred the matter to the DOJ
for criminal prosecution. The Coast Guard's investigation
concluded on July 15. On July 14, the Coast Guard and MST
negotiated an Agreement on Security ("Agreement") pursuant to
33 U.S.C. § 1908(e) requiring MST to request the crewmembers who were
identified as potential witnesses to surrender their passports,
disembark, and remain in Maine during the investigation. MST was
required to notify the Government if a passport was requested and
wait up to 72 hours before complying with the request. Plaintiffs
were not parties, and did not consent, to the Agreement. On the
same day as the Agreement, Zak filed a petition for habeas corpus
- 9 - to request that he be allowed to return home, which was followed
by the Government's obtaining of a material witness arrest warrant
three days later.
On July 16, Plaintiffs were granted temporary parole
while their Significant Public Benefit Parole applications,
submitted by the Coast Guard Investigative Service ("CGIS"), were
pending. Once paroled by CBP, Plaintiffs' passports changed hands
at CBP's request as a condition of Plaintiffs' release from the
vessel from MST to the Coast Guard. The material witness arrest
warrants included a requirement that Plaintiffs surrender their
passports to the Coast Guard. Per the Agreement, Plaintiffs were
lodged in a hotel in Maine, checked on once a day, and given a
meal allowance, healthcare coverage, and wages. On July 30,
Hornof's mother-in-law died, resulting in his counsel requesting
permission on August 3 to allow Hornof to leave the United States
by October 1. Hornof requested his passport, and the Government
obtained an arrest warrant for him as a material witness on
August 9, followed by Kordic's arrest warrant as a material witness
on August 21 after his passport request on August 9. On August 22,
Hornof and Kordic testified before a grand jury, resulting in the
indictment of MST.
That same day, Plaintiffs challenged the validity of the
material witness arrest warrants, claiming that the affidavits
prepared by CGIS Special Agent Mark Root ("Special Agent Root")
- 10 - contained misleading and false information, requesting Plaintiffs
be deposed pursuant to Federal Rule of Criminal Procedure 15(a)(2).
Special Agent Root had drafted and signed the affidavits for each
of Plaintiffs, with the affidavits including mostly identical
information except for differences regarding the specific role of
each Plaintiff and the information they provided in their
interviews. A Magistrate Judge determined that Plaintiffs had
been detained under the material witness statute,
18 U.S.C. § 3144,
and ordered they be deposed within 30 days and permitted to leave
the United States thereafter. Plaintiffs were deposed on
September 11 and 12, 2017 and subpoenaed to testify at MST's trial.
Plaintiffs' motion to quash the subpoenas was denied. On
September 14, Plaintiffs left the United States.
MST was criminally prosecuted for APPS violations and
obstruction of justice. MST,
2018 WL 522764, at *1. Plaintiffs
returned to the United States to testify at trial on May 7, 2018,
and learned that MST was negotiating a plea agreement that did not
include criminal liability under APPS, therefore leaving
Plaintiffs with no hope of a whistleblower award. They moved to
be heard in connection with the plea and to be rewarded as
whistleblowers under APPS. The district court suggested that
Hornof's actions should be rewarded as it acknowledged the risks
he took. The plea agreement was revised and MST pled guilty to
two counts, one regarding the failure to maintain the Oil Record
- 11 - Book and one for obstruction of justice. The district court
allocated half of the $500,000 monetary penalty for the APPS
violation to Plaintiffs: $225,000 to Hornof, and $12,500 each to
Kordic and Zak.
C. Procedural History
In May 2019, Plaintiffs filed a civil action against the
United States, the DOJ, the DHS, the Coast Guard, and nine
individual employees who worked on the investigation.7 Plaintiffs
asserted claims against Defendants under the FTCA, APPS, and
federal statutes against peonage, involuntary servitude, and human
trafficking, seeking declaratory and injunctive relief, damages,
and attorneys' fees. Plaintiffs asserted claims against the
individual Defendants under Bivens and RICO.8 Defendants filed
two motions to dismiss: one on behalf of all Defendants arguing
sovereign immunity, a lack of subject matter jurisdiction, and
failure to state a claim under Federal Rule of Civil Procedure
12(b)(6) ("Rule 12(b)(6)"), and one on behalf of the individual
7 The individual defendants are three federal prosecutors, four Coast Guard officials, and two CBP officials. 8 We discuss only the claims at issue on appeal: the FTCA
claims for false arrest, false imprisonment, abuse of process, and intentional infliction of emotional distress and the Bivens claim.
- 12 - Defendants under Rule 12(b)(6). The district court granted the
joint motion in part and the individual Defendants' motion in full.
Plaintiffs' FTCA claims for false imprisonment and false
arrest, abuse of process, and intentional infliction of emotional
distress were permitted to proceed, and the other claims in the
amended complaint, along with the Bivens claim, were dismissed.
The district court concluded that the Bivens remedy was unavailable
because Plaintiffs' claims presented a "new context" under Bivens
and that special factors counseled hesitation, including both
challenging the implementation of a general policy and the presence
of alternative remedies.
Defendants filed a motion for summary judgment and the
district court entered judgment in their favor.9 As for the false
arrest and imprisonment claims, the district court determined that
Defendants had the authority to revoke the land permits and remand
Plaintiffs to the vessel, and that Plaintiffs did not show that,
in any event, the revocations caused them to be unlawfully
confined. Next, the district court concluded that the record could
not support a finding that the revocation of the permits resulted
9Before entering judgment, the district court ordered the parties to address two new issues: (1) whether
8 U.S.C. § 1252(a)(2)(B)(ii) barred judicial review of the decisions to revoke the D-1 and D-2 shore passes and remand Plaintiffs to the vessel, and (2) whether the revocation of the shore passes was an immigration enforcement-related action that has no analogous private person liability, therefore not actionable under the FTCA.
- 13 - in unlawful confinement or that Plaintiffs' detention on the vessel
was unauthorized. The district court determined that Plaintiffs
had not provided a trial-worthy issue of whether the nine-day
confinement on the vessel differed from their initial detention at
the port and that a reasonable jury could not find that their
detention was unauthorized. The duration of the detention was
also found not to be unreasonable under the Fourth Amendment. The
district court then concluded that Defendants were authorized to
apply for Significant Public Benefit Parole for Plaintiffs, that
the delay in issuing the warrants for potential material witnesses
was de minimis as to Hornof, and that Kordic remained lawfully
detained in the United States. The district court determined that
once Plaintiffs requested their passports, the public benefit of
Plaintiffs' parole had not yet been fulfilled and thus the denial
to return their passports was authorized. The district court
concluded that the record satisfied both the materiality and
impracticability prong of the material witness warrants, therefore
Plaintiffs were not falsely imprisoned after receiving the
warrants.
As for the abuse of process claim, the district court
concluded that the record could not support that the affidavits
were submitted for an improper or collateral purpose, therefore
the claim failed. As for the intentional infliction of emotional
distress claim, the district court concluded that because
- 14 - Plaintiffs could not establish material elements for their false
arrest, false imprisonment, or abuse of process claims, their
intentional infliction of emotional distress claim could not
survive. Even if one of the other claims was viable, the record
did not support that Defendants' behavior was "extreme and
outrageous" exceeding "all possible bounds of decency." This
timely appeal followed.
II. Discussion
Plaintiffs' main argument is that they did not commit a
United States crime, so they could not have been detained.
Plaintiffs further claim that the district court erred in
(1) ruling that Plaintiffs could not establish false arrest or
false imprisonment under the FTCA and had not raised material facts
to reasonably find that the government officials had exceeded their
lawful authority, (2) determining that Plaintiffs could not
establish abuse of process under the FTCA, (3) determining that
Plaintiffs could not establish intentional infliction of emotional
distress under the FTCA, and (4) dismissing the Bivens claim. We
address these arguments seriatim.
A. Summary Judgment for FTCA Claims
1. Standard of Review
We review a challenge to an order of summary judgment de
novo. See López-Hernández v. Terumo P.R. LLC,
64 F.4th 22, 28(1st Cir. 2023) (citing Murray v. Kindred Nursing Ctrs. W. LLC,
- 15 -
789 F.3d 20, 25(1st Cir. 2015)). We view the record "in the light
most favorable to the nonmovant and draw[] all reasonable
inferences in that party's favor."
Id.(citing Murray,
789 F.3d at 25). Summary judgment shall be granted "if the movant shows
that there is no genuine dispute as to any material fact and the
movant is entitled to judgment as a matter of law." Fed. R. Civ.
P. 56(a). A genuine dispute "is one on which the evidence would
enable a reasonable jury to find the fact in favor of either
party." Perez v. Lorraine Enters., Inc.,
769 F.3d 23, 29(1st
Cir. 2014) (citing Vasapolli v. Rostoff,
39 F.3d 27, 32(1st Cir.
1994)). "A 'material' fact is one that is relevant in the sense
that it has the capacity to change the outcome of the jury's
determination."
Id.(citing Borges ex rel. S.M.B.W. v.
Serrano-Isern,
605 F.3d 1, 5(1st Cir. 2010)). However, "we need
not credit 'conclusory allegations, improbable inferences, and
unsupported speculation.'" Dixon-Tribou v. McDonough,
86 F.4th 453, 458(1st Cir. 2023) (quoting Lahens v. AT&T Mobility P.R.,
Inc.,
28 F.4th 325, 333(1st Cir. 2022)).
2. FTCA
"The FTCA provides 'a limited congressional waiver of
the sovereign immunity of the United States for tortious acts and
omissions committed by federal employees acting within the scope
of their employment.'" Soto-Cintrón ex rel A.S.M. v. United
States,
901 F.3d 29, 33(1st Cir. 2018) (quoting Díaz-Nieves v.
- 16 - United States,
858 F.3d 678, 683(1st Cir. 2017)). The FTCA
"expressly allows actions for claims of 'assault, battery, false
imprisonment, false arrest, abuse of process, or malicious
prosecution.'"10 Solis-Alarcón v. United States,
662 F.3d 577, 583(1st Cir. 2011) (quoting
28 U.S.C. § 2680(h)). "We look to local
law to determine" government liability. Soto-Cintrón,
901 F.3d at 33. And here, that means that "we must extract the substantive
rules of decision from [Maine] law."
Id.(quoting Calderón-Ortega
v. United States,
753 F.3d 250, 252(1st Cir. 2014)).
a. False Arrest and False Imprisonment
Under Maine law, both false arrest and false
imprisonment require that the plaintiff was confined. See Steeves
v. City of Rockland,
600 F. Supp. 2d 143, 184(D. Me. 2009)
(citation omitted); Smith v. Heritage Salmon, Inc.,
180 F. Supp. 2d 208, 220(D. Me. 2002). To prevail, "the authority upon which
[the plaintiff] is confined must be unlawful." Santoni v. Potter,
10The discretionary function exception under the FTCA, a common exception to the waiver of sovereign immunity, "bars liability for claims 'based upon the exercise or performance or the failure to exercise or perform a discretionary function or duty on the part of a federal agency or an employee of the Government, whether or not the discretion involved be abused.'" Evans v. United States,
876 F.3d 375, 380(1st Cir. 2017) (quoting
28 U.S.C. § 2680(a)). We need not consider this exception as Plaintiffs' claims are rooted in the violation of the Fourth Amendment, and "[i]t is elementary that the discretionary function exception does not . . . shield conduct that transgresses the Constitution." Limone v. United States,
579 F.3d 79, 101(1st Cir. 2009). In addition, the claims fail as a matter of law on other grounds.
- 17 -
369 F.3d 594, 603(1st Cir. 2004) (quoting Nadeau v. State,
395 A.2d 107, 116(Me. 1978)).
As an initial matter, Plaintiffs argue that Defendants
were not authorized to hold Plaintiffs as witnesses to a crime
because no crime was committed.
Plaintiffs first attempt to discredit the Government's
reliance on APPS and its accompanying regulations to detain and
prosecute them by arguing that its interpretation is invalid when
viewed in the context of the wider legislative scheme. Plaintiffs
contend that although the Coast Guard's regulation makes reference
to a ships' duty to "maintain" an Oil Record Book, MARPOL makes
clear that "maintain" just means "keep on board." Further,
Plaintiffs argue that the duty to inspect a vessel's Oil Record
Book "affords no right to take any further action against the
foreign vessel other than to report it to the flag state."
Therefore, Plaintiffs posit that it is untenable to think that the
United States cannot prosecute ship owners for failing to properly
record their high-seas violations, but can prosecute the ship for
arriving to the United States with an Oil Record Book that has
failed to properly record the event.
Next, Plaintiffs insist that the Oil Record Book
regulations are derived from the Oil Pollution Act of 1961,11 which
11
Pub. L. No. 87-167, 75Stat. 402.
- 18 - required every United States-flagged ship to carry an Oil Record
Book. Plaintiffs note that there were no penalties for
foreign-flagged ships that did not carry Oil Record Books,
therefore the current Coast Guard regulation should not apply to
Oil Record Book entries made on foreign vessels with respect to
high-seas violations. Further, they argue that an improper entry
made on the high seas cannot be a continuing offense when entering
the United States.12
Plaintiffs next attempt to make a textual argument
stating that
33 C.F.R. § 151.25(a) and (j)13 do not require a vessel
12 For support, Plaintiffs refer to a 2000 General Accounting Office ("GAO") report. This argument rests on speculation that the Coast Guard was misleading the GAO as to why the Coast Guard essentially ceased to refer foreign-flagged ships cases to their flag state when the Oil Record Book regulations were put into place and were prosecuting more cases in the United States. Plaintiffs claim that the Coast Guard and the DOJ "disregarded" recommendations to increase referrals to foreign flag states, and the Coast Guard instead changed the meaning of the Oil Record Book regulation. This argument is speculative and unpersuasive. Because, as we later explain, APPS unambiguously allows the Coast Guard to prosecute foreign vessels for maintaining inaccurate Oil Record Books, we see no relevance in the Coast Guard's historical enforcement of APPS. 13 Section 151.25(a) states:
[E]ach oil tanker of 150 gross tons and above, ship of 400 gross tons and above other than an oil tanker, and manned fixed or floating drilling rig or other platform shall maintain an Oil Record Book Part I (Machinery Space Operations). An oil tanker of 150 gross tons and above or a non oil tanker that carries 200 cubic meters or more of oil in bulk, shall also maintain an Oil Record Book Part II (Cargo/Ballast Operations).
- 19 - to maintain an Oil Record Book that is "complete" and "accurate,"
and the terms are not subsumed within "maintain." Further,
Plaintiffs argue that "maintain" and "keep" are used
interchangeably in the Coast Guard regulation, with § 151.25(a)
specifying the types of vessels that are required to maintain an
Oil Record Book, and § 151.25(j) stating that the master or other
person in charge is required to "keep" an Oil Record Book and
"shall be responsible for the maintenance of such record," thereby
the terms must have the same meaning.
33 C.F.R. § 151.25(a), (j).
Plaintiffs contend that the person in charge of record-keeping is
responsible for preservation, not accuracy.
Other circuits faced with this same question, whether
the improper maintenance of an Oil Record Book in violation of
33 C.F.R. § 151.25is a valid crime, have answered the question in
the affirmative. See Vastardis,
19 F.4th at 583; Ionia,
555 F.3d at 308; United States v. Jho,
534 F.3d 398, 404(5th Cir. 2008).
We find no reason to come to a different conclusion.
The Fifth Circuit in Jho stated that "ignoring the duty
to maintain [an Oil Record Book] puts the [Coast Guard] regulation
at odds with MARPOL and Congress' clear intent under the APPS to
prevent pollution at sea according to MARPOL." Jho,
534 F.3d at 33C.F.R. § 151.25(a). Section 151.25(j) states "[t]he master or other person having charge of a ship required to keep an Oil Record Book shall be responsible for the maintenance of such record."
33 C.F.R. § 151.25(j).
- 20 - 403. If no maintenance were required of Oil Record Books within
United States waters, foreign-flagged vessels could falsify all
their information before entering United States waters or ports.
Id.This would significantly hinder the Coast Guard's ability to
inspect ships for wrongdoing and permit polluters to harm the
environment.
Id.Accordingly, we agree with the Fifth Circuit
and cannot conclude that Congress intended to "frustrate the
government's ability to enforce MARPOL[]" when imposing
limitations on APPS's application to foreign-flagged vessels.
Id.The requirement to "maintain" the Oil Record Book "impos[es] a
duty upon a foreign-flagged vessel to ensure that its oil record
book is accurate (or at least not knowingly inaccurate) upon
entering the ports of navigable waters of the United States."
Id.The Second Circuit in Ionia delved deeper into the plain
text of the Coast Guard regulation. Ionia,
555 F.3d at 309.
"Maintain" means to "keep in an existing state (as of repair,
efficiency, or validity)." Maintain, Merriam-Webster Online
Dictionary, https://www.merriam-webster.com/dictionary/maintain
[https://perma.cc/MPM6-KSKN] (last visited May 24, 2024). "In the
context of a regulation imposing record-keeping requirements, the
duty to 'maintain' plainly means a duty to maintain a reasonably
complete and accurate record." Ionia,
555 F.3d at 309. It is
thus unreasonable to conclude that the Coast Guard regulation
- 21 - requires only the preservation of the Oil Record Book in its
existing state without accuracy.
Id.Finally, the Third Circuit in Vastardis relied on its
decision in United States v. Abrogar,
459 F.3d 430(3d Cir. 2006),
to further support that
33 C.F.R. § 151.25is a valid regulation
based on its plain reading. Vastardis,
19 F.4th at 584(citing
Abrogar, 459 F.3rd at 435). In Abrogar, later reiterated by
Vastardis, the court determined that the failure to maintain an
Oil Record Book offense was satisfied even though the conduct which
had been recorded occurred on the high seas. Vastardis,
19 F.4th at 584. This is because the crime committed pertained to the Oil
Record Book not being properly maintained while in a United States
port, not the conduct on the high seas.
Id.Further, the Third Circuit emphasized that the Coast
Guard regulation does not "flout the division of authority set
forth in MARPOL and [APPS]."
Id.Flag states are permitted to
prosecute misconduct no matter where it occurs, whereas port states
have concurrent jurisdiction to prosecute conduct in their own
ports. Id.; International Convention for the Prevention of
Pollution from Ships, supra, Art. 4(1)-(2), 1340 U.N.T.S. at 185;
id. Art. 6(2), 1340 U.N.T.S. at 187. "Port states also play a key
role in detecting (if not prosecuting) such misconduct."
Vastardis,
19 F.4th at 584. In order for a port state to refer
violations on the high seas to flag states, a vessel must maintain
- 22 - accurate Oil Record Books to be reviewed by port officials like
the Coast Guard.
Id.Vastardis noted that without this
prohibition, vessels could have two Oil Record Books: one accurate
for flag-state inspection and one false for port-state inspection,
diminishing the importance of the record book to begin with.
Id. at 585.
We follow these analyses and conclude that
33 C.F.R. § 151.25is indeed a valid regulation under the jurisdiction of
the United States based on its text, and does not circumvent MARPOL
or APPS, but instead ensures both are upheld, furthering the
objectives prescribed. To hold otherwise would flout
international law and defeat the purpose of MARPOL and APPS -- to
permit member states to report violations and foster a spirit of
international accountability. Our analysis and conclusion dispose
of many of Plaintiffs' arguments, and the rest remain
unpersuasive.14 Therefore, the requirement for ships to "maintain"
an Oil Record Book under
33 C.F.R. § 151.25is valid, and based on
the facts, was properly pursued by the United States Government.
14Plaintiffs also rely on the major-questions doctrine in support of their narrower interpretation of APPS, reasoning that Congress would not have delegated to the Coast Guard the ability to alter "both Congressionally-established national policy and international policy." But the major-questions doctrine merely dictates the level of deference a court should extend to an agency's interpretation of a statute. And here, we need not extend any deference to the Government's preferred reading of APPS; the statute speaks clearly.
- 23 - Having established that
33 C.F.R. § 151.25is valid, we
conclude that Plaintiffs' arguments for false arrest and false
imprisonment are unpersuasive. Plaintiffs argue that the primary
issue is whether the officials had the legal authority to confine
the crewmembers and whether Plaintiffs' detentions were reasonable
under the Fourth Amendment. Plaintiffs refer to four distinct
periods in question: (1) false arrest from the unlawful revocation
of the permits, (2) false imprisonment on the vessel resulting
from the revocation of the permits and implementation of the
Agreement from July 8 to July 16, 2017, (3) false imprisonment on
United States soil from July 16 until August 21 when all of
Plaintiffs' arrest warrants were issued, and (4) false
imprisonment within the United States based on the material witness
warrants supported by "false and misleading affidavits."
i. Revocation of Permits and Detention from July 8 to July 16
To begin, we can easily dismiss Plaintiffs' argument
that CBP falsely arrested and imprisoned them by revoking their
landing permits because nothing in the record supports a conclusion
that the revocation resulted in confinement, as per Maine law.
True, when the CBP revoked the landing permits, Plaintiffs were
prohibited from disembarking. But that alone is not a confinement.
See Restatement (Second) of Torts § 36, cmt. b, illus. 8 (Am. Law.
Inst. 1965) ("A wrongfully prevents B from entering the United
States. A has not confined B, although B, in a sense, may be said
- 24 - to be confined within the rest of the habitable world."). The
crew was confined to the ship because the Coast Guard ordered the
ship to stay in the port; had that order not been in place, the
ship could have departed. Thus, the act of revoking the permits
cannot serve as a basis for the FTCA claim.
Nor can the ensuing nine-day shipboard detention.
Outside of one conclusory sentence in their opening brief,
Plaintiffs fail to argue on appeal that the Coast Guard lacked
statutory authorization to hold the ship in Portland. We
accordingly consider that argument waived. See United States v.
Zannino,
895 F.2d 1, 17(1st Cir. 1990). Further, we disagree
with Plaintiffs' arguments that the confinement was
unconstitutional, lacking due process under the Fifth Amendment,
or interfering with Plaintiffs' Fourth Amendment privacy and
security rights. The Supreme Court has held that a noncitizen
"seeking initial admission to the United States requests a
privilege and has no constitutional rights regarding his
application, for the power to admit or exclude [noncitizens] is a
sovereign prerogative." Landon v. Plasencia,
459 U.S. 21, 32(1982). Specifically related to the Fourth Amendment claims, as
stated by the district court, "it was not arbitrary or unreasonable
for immigration officials, once informed that the Coast Guard had
probable cause to believe that violations of federal law had
occurred and that the crewmembers would be critical witnesses in
- 25 - the investigation, to revoke the conditional landing permits," and
detain Plaintiffs on the vessel. We must balance the alleged
intrusion on Plaintiffs' Fourth Amendment protections against the
Government's interests and the importance of said interests to
justify said intrusion. Scott v. Harris,
550 U.S. 372, 383(2007).
Even assuming there was such an intrusion, the Government's
interest in conducting a criminal investigation and preserving
material noncitizen witnesses outweighs it. Therefore, there is
no genuine issue of material fact as to unlawful confinement on
the vessel.
ii. Detention from July 16 to August 21
Plaintiffs argue that because they did not consent to
the Agreement, they therefore did not consent to their parole and
its conditions, resulting in them being "forced ashore." However,
there is nothing in the record to support the contention that the
Plaintiffs were "forced ashore." For example, the Agreement
expressly limited MST's obligations to "request[ing]" that
Plaintiffs and other potential witnesses surrender their passports
to MST while the ship remained in port, and that those crewmembers
disembark and remain in Maine during the investigation. So, even
if Plaintiffs were misinformed about the Agreement, the fault, if
any, would seemingly lie with MST rather than the Government.
Meanwhile, Plaintiffs point to no reliable evidence suggesting
government wrongdoing. Alternatively, the record supports the
- 26 - finding that there was an ongoing criminal investigation with
probable cause of a federal violation and indications that
Plaintiffs were material witnesses. In addition, the record
supports a finding that reasonable conditions of parole were
imposed to achieve the objective of the investigation. Therefore,
the record cannot support a finding that the parole was
unjustified. No reasonable jury could find that the Agreement
"forced" the Plaintiffs ashore, therefore the jury could not find,
based on the evidence presented, that the Government lacked
justification to submit the Plaintiffs to Significant Public
Benefit Parole. Because the Plaintiffs do not otherwise challenge
the lawfulness of the parole, they cannot show that the parole
resulted in false imprisonment or arrest.
iii. Continued Detention after Arrest Warrants
Plaintiffs claim that the Government was not authorized
to arrest Plaintiffs because the warrants were secured by
misleading affidavits. Under
18 U.S.C. § 3144, prosecutors may
ask a judge to "order the arrest of" material witnesses and "treat
[them] in accordance with" the detention provisions of the criminal
code. Live testimony of material witnesses is preferred to Rule
15 depositions. United States v. Mann,
590 F.2d 361, 366(1st
Cir. 1978); Fed. R. Crim. P. 15. To secure material witnesses,
warrants must be issued. There are two parts to determine whether
a warrant was properly issued. "If it appears from an affidavit
- 27 - filed by a party that the testimony of a person is material in a
criminal proceeding," the materiality prong, "and if it is shown
that it may become impracticable to secure the presence of the
person by subpoena," the impracticability prong, the person may be
arrested.
18 U.S.C. § 3144. Plaintiffs claim that because there
was no violation of APPS, the materiality prong of the analysis
was not satisfied. We have, however, already determined that there
was a valid violation of APPS under investigation at the time of
the arrest warrants, therefore the materiality prong was
satisfied.
We now turn to the impracticability analysis.
Plaintiffs next claim that Special Agent Root noted in his
affidavits that Plaintiffs lived overseas, but "deliberately
omitted numerous material facts casting doubt on the need for
[Plaintiffs'] detention." The allegedly omitted facts include
that Plaintiffs were cooperative and agreed to testify, Hornof had
appeared to testify prior to his arrest warrant, Kordic had agreed
to testify one day after Special Agent Root's request for his
arrest, APPS' witnesses have a strong incentive to testify due to
the potential award, the United States had treaties requiring
cooperation with subpoenas with some of Plaintiffs' home
countries, the Government had held Plaintiffs in its custody,
Plaintiffs' passports were being held, Plaintiffs were being
- 28 - monitored by the Government, and that Plaintiffs had petitioned
the court for the return of their passports.
"A Fourth Amendment violation may be established if [it
can be shown] that officers acted in reckless disregard, with a
'high degree of awareness [that] [the statements'] probable
falsity'" were used to support an arrest warrant. Forest v.
Pawtucket Police Dep't,
377 F.3d 52, 58(1st Cir. 2004) (third
alteration in original) (citation omitted). In addition, "the
intentional or reckless omission of material exculpatory facts
from information presented to a magistrate may also amount to a
Fourth Amendment violation." Burke v. Town of Walpole,
405 F.3d 66, 81(1st Cir. 2005); United States v. Awadallah,
349 F.3d 42, 64(2d Cir. 2003). "Reckless disregard for the truth in the
submission of a warrant application may be established where an
officer 'in fact entertained serious doubts as to the truth of the
allegations' or where 'circumstances evinc[ed] obvious reasons to
doubt the veracity of the allegations' in the application." Burke,
405 F.3d at 81(alteration in original) (quoting United States v.
Ranney,
298 F.3d 74, 78(1st Cir. 2002)). "[R]ecklessness may be
inferred where the omitted information was critical to the probable
cause determination."
Id.at 81-82 (quoting Golino v. New Haven,
950 F.2d 864, 871 (2d Cir. 1991)). The omissions or
misrepresentations must be "material to the probable cause
determination." Id. at 82. To determine if the omissions or
- 29 - misrepresentations were material, "we excise the offending
inaccuracies and insert the facts recklessly omitted, and then
determine whether or not the 'corrected' warrant affidavit would
establish probable cause." Id. (quoting Wilson v. Russo,
212 F.3d 781, 789(3d Cir. 2000)).
There exists no genuine issue of material fact to even
suggest that Special Agent Root intentionally misrepresented or
omitted facts while drafting the affidavits. The same goes for
any alleged recklessness by Special Agent Root. The allegedly
omitted facts would not have altered or undermined the Magistrate
Judge's finding of probable cause. See Burke,
405 F.3d at 82.
Each Plaintiff is from a foreign country, outside the reach of
United States subpoena power. Even if some of Plaintiffs' home
countries have treaties with the United States requiring them to
cooperate in criminal investigations, their foreign citizenship,
coupled with their requests to obtain their passports and return
to their countries, would have further supported the Magistrate
Judge's probable cause determination if included in the warrant
applications. Plaintiffs did not provide any information or point
to provisions in the treaties that would require them to return to
testify if subpoenaed. Plaintiffs' willingness to testify would
not have undermined the Magistrate Judge's probable cause
determination because as foreign citizens, they could later decide
to refuse to return to the United States to testify.
- 30 - Plaintiffs' argument that their parole conditions and
passport confiscations undermine the Magistrate Judge's decision
also falls flat. The Magistrate Judge was keenly aware that
Plaintiffs were not in possession of their passports when making
the probable cause determination because the applications stated
that there were no prohibitions to them leaving "once [each
crewmember] regains possession of his passport." This bolsters,
not hinders, the probable cause determination.
Plaintiffs' assurances to testify and their alleged
incentive to testify through the APPS award similarly leaves the
probable cause determination unaltered if such were added to the
warrant applications. In nearly identical circumstances, it has
been insufficient to rely on witnesses' promises to testify because
once they are beyond the jurisdiction of the United States, the
impracticability of securing their testimony is too great. See In
re M/V Joanna, No. 21-mc-592,
2021 WL 2514687, at *11 (E.D. La.
June 18, 2021). Even with the alleged incentive to return for the
APPS reward, it is not enough. It is not clear that Special Agent
Root had knowledge of this incentive or that the facts suggest
that Plaintiffs would have been incentivized to return. Therefore,
under the circumstances presented, the combination of information
provided in the arrest warrant applications -- Plaintiffs' foreign
citizenship, their documented requests to obtain their passports,
their requests to terminate parole, their lack of connection to
- 31 - the United States, and their expressed desires to leave -- was
sufficient for an impracticability finding. Plaintiffs' alleged
additional facts are insufficient to change the analysis.
Accordingly, the false arrest and false imprisonment claims fail
as well.
b. Abuse of Process
The FTCA permits claims for abuse of process arising
from "acts or omissions of" federal "investigative or law
enforcement officers."
28 U.S.C. § 2680(h). "Elements necessary
to sustain such an action include (1) a use of the process in a
manner not proper in the regular conduct of the proceedings and
(2) the existence of an ulterior motive." Nadeau,
395 A.2d at 117. "Abuse of process may be demonstrated 'if a Plaintiff can
show an improper use of process for an immediate purpose other
than that for which it was designed and intended.'" OfficeMax
Inc. v. Sousa,
773 F. Supp. 2d 190, 240(D. Me. 2011) (quoting
Grace v. Yarnall,
346 F. Supp. 2d 222, 224(D. Me. 2004)).
Plaintiffs claim that Special Agent Root used fraudulent
affidavits to secure arrest warrants against them. In addition,
Plaintiffs claim that the paperwork for revocation of Plaintiffs'
landing permits "using the fiction that they were not bona fide
crewmen," and using the parole process "solely for the purpose of
detaining on U.S. soil crewmembers who had no desire to be there,"
could be found by a jury as abuses of process. However, the only
- 32 - conclusion to be drawn from the record is that Special Agent Root
and the other investigative officials had secured the arrest
warrants, revoked the visas, and detained Plaintiffs in order to
advance the Government's criminal investigation and ensure that
Plaintiffs remained in the United States to participate in the
proceedings against MST. Even in the light most favorable to
Plaintiffs, there is no factual support in the record that Special
Agent Root or any other official took action for a different,
improper reason -- nor did Plaintiffs identify any support here or
below. Therefore, the district court was correct in concluding
that Plaintiffs could not establish their abuse of process claim.
c. Intentional Infliction of Emotional Distress
We also agree with the district court that the Government
was entitled to summary judgment on the intentional infliction of
emotional distress claim. Under Maine law,
[t]he four elements of a claim for intentional infliction of emotional distress are that "(1) the defendant intentionally or recklessly inflicted severe emotional distress or was certain or substantially certain that such distress would result from her conduct; (2) the conduct was so extreme and outrageous as to exceed all possible bounds of decency and must be regarded as atrocious, utterly intolerable in a civilized community; (3) the actions of the defendant caused the plaintiff's emotional distress; and (4) the emotional distress suffered by the
- 33 - plaintiff was so severe that no reasonable person could be expected to endure it."
Argereow v. Wesberg,
195 A.3d 1210, 1219(Me. 2018) (quoting Curtis
v. Porter,
784 A.2d 18, 22-23(Me. 2001)). "The determination of
whether the facts alleged are sufficient to establish that the
defendant's conduct is 'so extreme and outrageous to permit
recovery' is a question of law for the court to decide."
Id.(quoting Champagne v. Mid-Maine Med. Ctr.,
711 A.2d 842, 847(Me.
1998)). To prove extreme and outrageous conduct, a plaintiff must
allege that the defendant did more than merely break the law. See
Bratton v. McDonough,
91 A.3d 1050, 1058(Me. 2014).
Plaintiffs do allege extreme and outrageous conduct;
they accuse the Government of knowingly acting with no legal
authority, thereby of "unconscionably treat[ing] Plaintiffs as
human collateral or chattel." But Plaintiffs supply no evidence
supporting that allegation. As we have explained, the record does
not indicate that the government officials acted unlawfully and
thus certainly cannot support a conclusion that they knew they
were acting unlawfully. Cf. Limone,
579 F.3d at 97-99(holding
that FBI agents acted extremely and outrageously by not disclosing
exculpatory evidence to state authorities, continuing to advocate
that the authorities arrest the plaintiff, and then "stonewalling"
- 34 - the plaintiff's post-conviction attacks by refusing to investigate
the officer that lied about the plaintiff's guilt).
B. Dismissal of Bivens Claim
1. Standard of Review
"[W]e review the grant of a motion to dismiss de novo,
accepting well-pled facts as true and drawing all inferences in
favor of the non-moving party." Rivera-Rosario v. LSREF2 Island
Holdings, Ltd.,
79 F.4th 1, 4(1st Cir. 2023) (alteration in
original) (quoting Triangle Cayman Asset Co. v. LG & AC, Corp.,
52 F.4th 24, 32(1st Cir. 2022)). "The sole inquiry under Rule
12(b)(6) is whether, construing the well-pleaded facts of the
complaint in the light most favorable to the plaintiffs, the
complaint states a claim for which relief can be granted."
Ocasio-Hernández v. Fortuño-Burset,
640 F.3d 1, 7(1st Cir. 2011)
(citing Fed. R. Civ. Pro. 12(b)(6)). We therefore must determine
whether Plaintiffs' complaint provided a viable claim under
Bivens.
2. Bivens Claim
"A Bivens claim is an implied cause of action for civil
damages against federal officials . . . equivalent to the
statutory cause of action against state officials" for
Constitutional violations. Pagán-González v. Moreno,
919 F.3d 582, 586 n.1 (1st Cir. 2019). Bivens claims have been permitted
by the Supreme Court in three situations: (1) in Bivens, 403 U.S.
- 35 - 388, itself, where a man asserted a Fourth Amendment claim against
police officers for handcuffing him in his home without a warrant,
(2) in Davis v. Passman,
442 U.S. 228(1979), where a congressional
administrative assistant brought a claim under the Fifth Amendment
after she was fired based on her sex, and (3) in Carlson v. Green,
446 U.S. 14(1980), where an incarcerated person's estate brought
a claim against a prison official under the Eighth Amendment for
failure to provide medical care. See Ziglar v. Abbasi,
582 U.S. 120, 130-31(2017).
"[E]xpanding the Bivens remedy is now a 'disfavored'
judicial activity."
Id.at 135 (quoting Ashcroft v. Iqbal,
556 U.S. 662, 675(2009)). Because it is generally the role of
Congress, not the courts, to supply a damages remedy, we must
proceed with caution in recognizing implied causes of action in
"new context[s]."
Id.at 135-36 (quoting Corr. Servs. Corp. v.
Malesko,
534 U.S. 61, 68(2001)). The context is new "[i]f the
case is different in a meaningful way from previous Bivens cases."
Id. at 139. A case may meaningfully differ if "it implicates a
different constitutional right; if judicial precedents provide a
less meaningful guide for official conduct; . . . if there are
potential special factors that were not considered in previous
Bivens cases," or if there is a "new category of defendants."
Id. at 135, 148. In addition, "the rank of the officers involved,"
and "the risk of disruptive intrusion by the Judiciary into the
- 36 - functioning of other branches" are also taken into consideration
in determining whether the case presents a new context.
Id. at 140. If the case is not meaningfully different, Bivens relief is
available. Quinones-Pimentel v. Cannon,
85 F.4th 63, 70 (1st Cir.
2023).
If the case raises a "new context" then "a Bivens remedy
will not be available if there are special factors counselling
hesitation in the absence of affirmative action by Congress."
Ziglar,
582 U.S. at 136(internal quotation marks and citation
omitted). When conducting a special-factors analysis, it is
important to note that "a Bivens action is not 'a proper vehicle
for altering an entity's policy.'"
Id.at 140 (quoting Malesko,
534 U.S. at 74). A Bivens claim is also not a proper avenue for
challenging the "formulation and implementation of a general
policy."
Id. at 141. "The necessary inference [when considering
whether special factors counsel hesitation] is that the inquiry
must concentrate on whether the Judiciary is well suited, absent
congressional action or instruction, to consider and weigh the
costs and benefits of allowing a damages action to proceed."
Id. at 136. Courts should analyze "whether there [are] alternative
remedies available."
Id. at 149. A special factor counselling
hesitation "must cause a court to hesitate before answering that
question in the affirmative."
Id. at 136. If special factors are
- 37 - present, "relief is unavailable." Quinones-Pimentel, 85 F.4th at
70.
a. New Context
Plaintiffs argue that this case does not meaningfully
differ from Bivens, and therefore does not present a new context,
because it is sufficiently comparable to Bivens itself.
Specifically, Plaintiffs contend that, like in Bivens, they too
were arrested by federal law enforcement officials and detained
for months without probable cause. Plaintiffs further argue that
the fact that they were non-resident seamen, and the fact that the
arrest took place on a vessel rather than an apartment, do not
meaningfully differentiate this case from Bivens because
non-residents have the right to bring Bivens claims and the vessel
was effectively Plaintiffs' home for an extended time. In
addition, Plaintiffs argue that it is not a meaningful distinction
that the enforcement officers involved here were members of the
Coast Guard and CBP because they were not enforcing immigration or
national security laws. Lastly, Plaintiffs assert that
recognition of their Bivens claim would not intrude upon another
branch of government because the claim turns on the knowledge and
actions of federal law enforcement officers.
After careful review of the record, we conclude that the
district court properly found that Plaintiffs' Bivens claim
presented a new context. To begin, the plaintiff in Bivens was a
- 38 - United States citizen who challenged a warrantless arrest in his
home pursuant to a narcotics investigation. Here, Plaintiffs are
non-resident seamen challenging their detention on board a foreign
vessel and the events surrounding the detention, providing a
meaningful difference. In addition, Bivens was solely predicated
on a Fourth Amendment claim whereas here, Plaintiffs raise Fourth,
Fifth, Sixth, and Thirteenth Amendment claims. Further, members
of the Coast Guard are generally not subject to Bivens claims.
See Ziglar,
582 U.S. at 137(citing Chappell v. Wallace,
462 U.S. 296, 302(1983)) (discussing the viability of Bivens claims
involving the armed forces). The remaining individual defendants
are three prosecutors, which have not been recognized as proper
defendants under Bivens, see Quinones-Pimentel, 85 F.4th at 72
(collecting cases that conclude prosecutors are a new category of
defendants), and two CBP Officials, which could implicate
immigration and national security concerns, see Egbert v. Boule,
596 U.S. 482, 496(2022) (determining that a court is not competent
"to authorize a damages action . . . against Border Patrol agents
generally").15 "[E]ven a modest extension is still an extension."
Ziglar,
582 U.S. at 147. These characteristics present a
15Plaintiffs argue that this case does not involve immigration policies or national security. However, as discussed below, Plaintiffs do challenge the Agreement put into effect, thereby challenging the Coast Guard's policies, implicating national security concerns, and challenge CBP officials' actions, implicating immigration concerns.
- 39 - meaningful difference, therefore resulting in a new context under
Bivens.
b. Special Factors
Plaintiffs argue that they did not have sufficient
alternative remedies through habeas corpus relief or their motions
for modification of their conditions of release. They claim that
Defendants "used unlawful processes and false and misleading
statements" to prevent Plaintiffs from obtaining an effective
remedy. As to habeas corpus, Plaintiffs claim that Defendants
"avoided communications from the court to forestall a hearing or
conference." They further allege they were deprived of their
assistance of counsel when they were paroled into the United
States. Plaintiffs, however, concede that the court did allow
them to give deposition testimony and leave the country after they
had sought modifications to their conditions of release. Lastly,
Plaintiffs argue that there are no other "special factors" that
counsel hesitation. They claim that "[t]here is no reason to
believe that Congress opposes allowing the victims of such abuse
to directly sue [federal law enforcement officers] when the false
arrest violated the Constitution."
We conclude, however, that there were sufficient
alternative remedies available, and there are other special
factors counseling hesitation. To begin, "the existence of an
alternative remedy . . . gives us sufficient reason to take a
- 40 - beat." Quinones-Pimentel, 85 F.4th at 74. Here, Plaintiffs had
moved the district court for habeas corpus relief, for return of
their passports, and for release after their depositions were
taken. In addition, Plaintiffs received monetary rewards from the
Government for providing evidence in the criminal case. CBP's
grievance process has been recognized as an alternative remedy in
damages claims against CBP officials. Egbert,
596 U.S. at 498("[W]e have no warrant to doubt that the consideration of Boule's
grievance against Agent Egbert secured adequate deterrence and
afforded Boule an alternative remedy."). "[R]emedies such
as . . . writs of habeas corpus . . . are sufficient to foreclose
Bivens relief and qualify as alternative remedies."
Quinones-Pimentel, 85 F.4th at 74.
Moreover, Plaintiffs' challenge of the Coast Guard's
policy of executing security agreements that require seamen to
remain in the United States presents a special factor. A Bivens
challenge is not the proper avenue for altering an entity's
policies. See Ziglar,
582 U.S. at 140. Plaintiffs also note that
the Liberian government "protested [the United States]
government's actions in detaining the ship." When governments
disagree, however, "[i]t is not our task to arbitrate between
them." Hernandez v. Mesa,
589 U.S. 93, 105-06(2020). It is
therefore Congress's role "to 'weigh the costs and benefits of
allowing a damages action to proceed'" in this kind of situation,
- 41 - not ours. Quinones-Pimentel, 85 F.4th at 70 (quoting Egbert,
596 U.S. at 492). Due to these factors and the alternative remedies
available to Plaintiffs, the district court did not err in
dismissing the Bivens claim.
III. Conclusion
For the reasons stated, the district court's orders
granting summary judgment and dismissal are
Affirmed.
- 42 -
Reference
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