Jamila Russell v. Superior Court of the Virgin I
Opinion
*244 In this tragic case, after Appellee Jamila Russell enlisted the help of the Virgin Islands Superior Court and its Court Marshals with her truant teenage son, L.T., Deputy Marshal Chris Richardson allegedly shot him at his home, unarmed and mostly undressed, rendering him a quadriplegic. Russell filed suit and the District Court denied the motions of Richardson and the Superior Court to dismiss on various immunity grounds. In this interlocutory appeal, we consider, among other things, whether judicial immunity extends to protect an officer from a suit challenging the manner in which he executed a court order. Because we, like the District Court, conclude it does not, and the District Court's thorough and careful opinion properly disposed of the motions in almost all respects, we will affirm except as to Appellees' claim for gross negligence, for which the Virgin Islands has not waived sovereign immunity and which thus should be dismissed on remand.
I. Background
A. Factual Background 1
At the time of the conduct at issue in this case, L.T. was 15 years old and had been designated by the Virgin Islands Superior Court a "Person in Need of Supervision" (PINS), meaning a "child" who, among other things, "habitually disobeys the reasonable demands of the person responsible for the child's care and is beyond their control." V.I. Code Ann. tit. 5, § 2502(23). That designation also subjected L.T. to a court order directing him to "follow the reasonable rules of his mother while living with her." JA 18. Apparently, however, his mother continued to have problems with his behavior.
One day, concluding she needed "assistance" with ensuring L.T.'s compliance, Russell contacted the Superior Court and "requested that [L.T.] be brought before the judge to answer for his behavior." JA 18. According to the complaint, she also "advised that her son was at home in his bed." JA 18. In response to her request, several Superior Court Marshals, including Deputy Marshal Christopher Richardson, arrived at Russell's home later that day. L.T. was at that point "relaxing in his room, in his underwear and unarmed." JA 19. The precise sequence of events that unfolded is unclear at this stage, but, according to the complaint, "Richardson shot [L.T.] under circumstances that were unjustified and an excessive use of force since [L.T.] was unarmed and did not threaten bodily harm to the marshals or third parties as he was attempting to run past the marshals." 2 JA 19.
*245 L.T. was airlifted to Puerto Rico for medical treatment, but the shooting rendered him a quadriplegic.
B. Procedural History
Russell eventually filed this action on behalf of herself and L.T. (collectively, "the Family")
3
in the District Court of the Virgin Islands. The operative complaint included claims against Richardson under
The District Court rejected those arguments. As to Richardson's claim of quasi-judicial immunity, the District Court acknowledged that many cases have granted such immunity to officers who have been sued for their role in enforcing court orders but determined that the reasoning behind those cases "d[id]n't cover shooting somebody." JA 69. The Court therefore held that absolute immunity did not apply. And while the Court recognized that the qualified immunity issue should be decided "at the earliest point possible in the case," JA 12;
see
Hunter v. Bryant
,
As to the sovereign immunity asserted by both defendants, the District Court recognized that, to bring a tort claim against the Virgin Islands Government, its departments, or its employees in their official capacities, a plaintiff must comply with the terms of the Virgin Islands Tort Claims Act, V.I. Code Ann. tit. 33, §§ 3401 - 3417, as a predicate to the courts' jurisdiction. But it rejected defendants' argument that the Family had failed to do so, either by filing an inadequate "notice of intention to file a claim" or by failing to file a "claim." "[S]ubstantial compliance with the statute is all that is required," JA 11 (quoting
Brunn v. Dowdye
,
*246 Following the denial of their motions to dismiss, Appellants filed an omnibus motion for reconsideration, clarification, and a more definite statement, and asked the District Court to stay discovery until both that motion and the forthcoming appeal to this Court had been resolved. But they soon withdrew the omnibus motion, and the District Court declined to issue a stay, ordering discovery to proceed "solely on the issue of ... qualified immunity," JA 14. Appellants then filed this timely appeal. Appellants also filed a motion to stay discovery pending appeal, which we denied. Discovery continued and, by the time of oral argument in this case, was nearly complete.
II. Jurisdiction and Standard of Review
The District Court had jurisdiction under
We review de novo a denial of quasi-judicial, qualified, or sovereign immunity.
Karns v. Shanahan
,
III. Discussion
Appellants contend that the District Court erred in denying Richardson quasi-judicial immunity and qualified immunity and in denying them both sovereign immunity. 6 We address each of these three immunity doctrines below.
A. Quasi-Judicial Immunity
We start with Richardson's argument that he cannot be sued for using excessive force because, just as a judge enjoys absolute "judicial immunity" for an official act like issuing a PINS order, so too does Richardson enjoy "quasi-judicial" immunity *247 for his official acts in enforcing that order. We briefly review the history of this immunity doctrine before turning to its application to this case.
1. The Quasi-Judicial Immunity Doctrine
Quasi-judicial immunity, as one might guess, evolved out of its well-known namesake, judicial immunity. "Few doctrines were more solidly established at common law than the immunity of judges from liability for damages for acts committed within their judicial jurisdiction[.]"
Pierson v. Ray
,
The fair administration of justice depends not only on judges, however, and these same concerns apply to "certain others who perform functions closely associated with the judicial process."
Cleavinger v. Saxner
,
In determining whether a government actor was fulfill[ing] a quasi-judicial role at the court's request, we take a " 'functional' approach to immunity,"
Forrester v. White
,
2. Application to This Case
Appellants here contend that the relevant function that justifies affording Richardson absolute immunity is "the enforcement of judicial orders by a court's marshal." Appellants' Br. 22. Reading two of our precedents and one from the Tenth Circuit as standing for a categorical rule that "any public official acting pursuant to a court directive is immune from suit," regardless of the specific action challenged in that suit, Appellants argue that Richardson enjoys immunity from the excessive force claim here because at the time he shot L.T. he was acting "at the direction of a judge." Appellants' Br. 21. And, according to Appellants, "[t]here simply cannot be one rule for a deputy who is able to accomplish th[at] directive without incident and a different rule for a deputy who meets with resistance that results in an injury or death." Appellants' Br. 27.
The problem with this argument is that it ignores the distinction between claims based on the actions actually authorized by court order, which are barred by quasi-judicial immunity, and those based on the manner in which a court order is enforced, which are not. As we explain below, that distinction dates to common law, has been consistently recognized by the Courts of Appeals, and is all but dictated by the "functional" approach to modern-day immunity. It also leads us to affirm the District Court's denial of absolute immunity to Richardson.
We start with the common law, which informs our consideration of immunities available under § 1983.
Rehberg v. Paulk
,
Contrary to Richardson's contention, our own case law to date has adhered to this distinction. In
Lockhart v. Hoenstine
,
Other Courts of Appeals have confronted that question, however, and have consistently concluded that absolute immunity does not extend so far.
Richardson purports to draw support from
Valdez v. City and County of Denver
,
The Seventh and Ninth Circuits share in that view.
7
In
Richman v. Sheahan
,
Today, we join our Sister Circuits and make explicit what was implicit in our decisions in
Lockhart
and
Waits
: Quasi-judicial immunity extends only to the acts authorized by court order, i.e., to the execution of a court order, and not to the manner in which it is executed. Here, the court order at issue is the PINS order, which merely required L.T. to follow his mother's "reasonable rules," and the Family does not claim that Richardson violated the law by performing acts authorized under that order; instead, they claim that Richardson exceeded the authorization of that order and used excessive force in the manner of its execution. And, indeed, given the terms of the PINS order, the act of shooting L.T. was obviously not "at the direction of a judge."
9
Because an officer's "fidelity to the specific order[ ] of the judge marks the boundary for labeling [his] act 'quasi-judicial,' "
Richman
,
Finally, our holding is virtually compelled by the rule that any new extension of absolute immunity must be "justified ... by the
functions
it protects and serves, not by the person to whom it attaches."
Forrester
,
As relevant here, Virgin Islands law assigns Superior Court Marshals the functions of "execut[ing] all writs, processes and orders of the Superior Court," and "perform[ing] such other duties incident to" the execution of those writs, processes, and orders. V.I. Code Ann. tit. 4, § 351(b). But while those functions, with which the Marshals are "lawfully entrusted," are fully protected by quasi-judicial immunity, the use of excessive force in the performance of those functions is neither "at the direction of the judge,"
Waits
,
For all of these reasons, we will affirm the District Court's denial of quasi-judicial immunity.
B. Qualified Immunity
We turn next to Richardson's contention that, even if absolute immunity does not apply, the claim against him should have been dismissed on qualified immunity grounds because the complaint did not plead a violation of clearly established law.
"In considering whether qualified immunity attaches, courts perform a two-pronged analysis to determine: (1) 'whether the facts that the plaintiff has alleged make out a violation of a constitutional right,' and (2) 'whether the right at issue was "clearly established" at the time of the defendant's alleged misconduct.' "
Kedra v. Schroeter
,
*252
The allegations here meet that standard. According to the complaint, Richardson was called to the Family's house to "assist[ ]" in enforcing L.T.'s PINS order and to "br[ing] [him] before the judge." JA 18. When Richardson arrived, L.T. allegedly was "relaxing," "in his underwear," and "unarmed." JA 19. And, when L.T. "attempt[ed] to run past the marshals," Richardson shot him. JA 19. These allegations, taken as true, are sufficient to plead the violation of a clearly established constitutional right: the right of an unarmed individual to be free from the use of deadly force unless such force is "necessary to prevent [his] escape and the officer has probable cause to believe that [he] poses a significant threat of death or serious physical injury to the officer or others."
Tennessee v. Garner
,
Garner
, of course, "lay[s] out excessive-force principles at only a general level."
White v. Pauly
, --- U.S. ----,
This is such a case. According to the complaint, Richardson used deadly force against L.T. even though there was no indication L.T. was then engaged in any misconduct beyond disobeying his mother; immediately before the incident, L.T. was allegedly lounging in his bedroom; and L.T. allegedly exited his room wearing only underwear, making it implausible to a reasonable officer that he was hiding a weapon on his person. Accepting these allegations as we must at this stage, there was no "serious threat of immediate harm to others,"
Davenport
,
Appellants marshal two arguments to the contrary. First, they contend that the definition of the right given by the Family in its brief here-the "right to be free from injury through the use of excessive force by law enforcement officers," Appellees' Br. 23-is too general to give officers fair notice. But in defining the right at issue, we look not only to the parties' litigation positions, but also to the allegations in the complaint.
See
Ashcroft v. Iqbal
,
Second, Appellants take issue with the sufficiency of the pleading in the complaint, arguing that the District Court should have dismissed it under Federal Rule of Civil Procedure 12(b)(6) because it "d[id] not provide sufficient factual information
*253
for the framing of a proper qualified immunity defense."
Thomas v. Independence Twp.
,
We are not persuaded. True, where the pleading is as deficient as in
Thomas
-which featured a "textbook example of a pleading as to which a qualified defense cannot reasonably be framed,"
C. Sovereign Immunity
Finally, we turn to Appellants' claim of sovereign immunity under the Revised Organic Act ("Act"), the federal law that "[w]e have described ... as the [Territory's] basic charter of government,"
Pichardo v. V.I. Comm'r of Labor
,
Before addressing the merits of Appellants' sovereign immunity claim, however, we must assure ourselves that we have jurisdiction to do so.
See
Gayle v. Warden Monmouth Cty. Corr. Inst.
,
1. Jurisdiction
Appellants contend that we have jurisdiction to review the District Court's denial of sovereign immunity under the collateral order doctrine, which allows certain decisions that "do not terminate the litigation" to nonetheless count as "final decisions of the district courts" if they are (1) "conclusive," (2) "resolve important questions completely separate from the merits," and (3) "would render such important questions effectively unreviewable on appeal from final judgment in the underlying action,"
Digital Equip. Corp. v. Desktop Direct, Inc.
,
Metcalf & Eddy
, however, does not squarely answer the question of jurisdiction for this case because the Supreme Court held there that the collateral order doctrine applies to the denial of a State's Eleventh Amendment immunity and we have not yet resolved whether the Eleventh Amendment applies to the Virgin Islands.
See
United Steel Paper & Forestry Rubber Mfg. Allied Indus. & Serv. Workers Int'l Union AFL-CIO-CLC v. Gov't of Virgin Islands
,
The first and third criteria are easily satisfied. By providing that "no tort action shall be brought" against the Government without its consent, the Act makes clear that the Territory's immunity is an "immunity from trial and the attendant burdens of litigation ..., and not just a defense to liability on the merits."
Fed. Ins. Co. v. Richard I. Rubin & Co.
,
Our jurisdiction thus depends on the second criterion: whether a denial of the Virgin Islands' statutory sovereign immunity is sufficiently "important" and "separate from the merits" of the underlying action to trigger the collateral order doctrine.
Digital Equip.
,
*255
Will v. Hallock
,
Having satisfied ourselves of our jurisdiction under the collateral order doctrine, we turn to the merits of Appellants' claim of sovereign immunity.
2. Merits
Pointing out that compliance with the requirements of the Virgin Islands Tort Claims Act (VITCA) is a prerequisite for its waiver of immunity from tort liability, Appellants argue that the Family failed to comply in two ways: first, by filing an insufficient notice of intention to file a claim, and, second, by failing to file a "claim." These arguments are perplexing, to say to the least, as they are flatly contradicted by the record.
We begin with the notice, the purpose of which is to give the Government "enough information to enable [it] to make an investigation in order to determine if the claims should be settled without suit."
Abdallah v. Callender
,
Less than a month after the shooting, the Family served the following notice on the Governor and Attorney General:
Re: Action for Personal Injury and Civil Rights Violations pursuant to42 U.S.C. § 1983 against the Government of the Virgin Islands, Superior Court of the Virgin Islands and Marshal Carl Richardson
...
Notice of intent is hereby given to file a claim in accordance with 33 V.I.C. § 3410 against Government of the Virgin Islands, the Superior Court of the Virgin Islands and Superior Court Marshal Carl Richardson on behalf of Jamila Russell, individually and as next of kin to [L.T.], a minor, for personal injuries and civil rights violations. On July 11, 2013, [L.T.], while in his home was shot by a Superior Court Marshal who exercised unnecessary use of force, and caused serious personal injury to [L.T.], a minor. The minor, [L.T.] had to be airlifted to a medical facility in San Juan, Puerto Rico for further treatment. As a result of the incident, [L.T.] is not [sic] a quadriplegic who will require lifelong medical care and treatment as he is unable to breathe on his own. The damages in this case exceed the statutory cap herein.
*256 JA 30. In the bottom-left corner of the notice was a notary's stamp and signature.
Despite that accurate preview of the forthcoming complaint, Appellants decry "
numerous
defects," Reply Br. 9, chief among them that the notice allegedly contains "no facts alleged or notice provided as to any of th[e tort] claims," Appellants' Br. 33. Citing
Fleming v. Cruz
,
Neither assertion is accurate. To start with, Appellants misstate the relevant standard. As the District Court correctly recognized, the Virgin Islands Supreme Court has made clear that "substantial compliance with [the VITCA] is all that is required."
Brunn
,
Moreover, even if strict compliance were required, the Family's notice would pass muster as we perceive no requirement imposed by the plain text of § 3410 with which the Family did not comply. But Appellants do-eleven of them, to be precise. Yet none is even colorable. Appellants state, for example, that the notice "does not provide a time or place where the alleged incident occurred," "does not identify ... Russell as filing a claim on behalf of ... [L.T.]," is "not verified," and lacks a "receipt ... confirming [its] filing" with the Governor. Appellants' Br. 40-42. The Family's notice, however, plainly states that L.T. was shot "[o]n July 11, 2013" in his "home" (the "time" and "place" where the claim arose); it asserts that it is filed "on behalf of Jamila Russell, individually and as next of kin to [L.T.], a minor, for personal injuries and civil rights violations"; it is verified by a notary's stamp and signature; 14 and it is accompanied by certified mail receipts showing it was served on the Governor and Attorney General.
Other alleged deficiencies are premised on "requirements" of Appellants' own invention-such as an alleged failure to mention specific tort theories by name, although the Virgin Islands Supreme Court has held it is "not necessary" for the notice to "provide a precise legal theory upon which recovery is sought,"
Brunn
,
*257
Appellants also nitpick what are obviously typographical errors, such as recitation of Richardson's first name as "Carl" instead of "Chris" or of L.T.'s status as "not a quadriplegic" instead of "now a quadriplegic." We will not deny jurisdiction on the basis of such quibbles when the Family's notice was "sufficiently definite to inform the officers ... of the time and cause of claimant's injuries or damages."
Brunn
,
Appellants fare no better with their contention that the District Court erred in finding that the Family filed a timely claim. The VITCA requires that a plaintiff, after filing her notice, file a "claim" within two years after the claim accrued, V.I. Code Ann. tit. 33, § 3409(c), which must include, in addition to the information required by the notice, the "items of damage of injuries claimed to have been sustained and the total sum claimed,"
This appears yet another misstatement to this Court. As our precedent makes clear, "where a complaint is timely filed under the [VITCA] with the proper parties having been served and contains all of the necessary substantive requirements ... [,] the complaint suffices as a 'claim.' "
Albert v. Abramson's Enters., Inc.
,
In short, Albert controls, and the claim filed by the Family, like the notice of intent, complied with the VITCA.
*258
17
We will therefore affirm the District Court's decision denying Appellants sovereign immunity in all respects but one: The complaint included a claim for gross negligence, but, as the Family conceded at oral argument, the VITCA provides that its waiver "shall not apply if the injury ... is caused by the gross negligence of an employee of the Government." V.I. Code Ann. tit. 33, § 3408(b). Although the District Court declined to entertain this argument because it was not raised by the Superior Court until its reply brief below, the "terms of the [Virgin Islands' waiver of sovereign immunity] are jurisdictional" and therefore "may not be waived."
Richardson
,
IV. Conclusion
For the foregoing reasons, we will affirm the order of the District Court, except as to gross negligence, and will remand for proceedings consistent with this opinion.
As this is an appeal of the denial of motions to dismiss for failure to state a claim and lack of subject matter jurisdiction, the factual allegations are taken from the operative complaint and accepted as true.
Krieger v. Bank of Am., N.A.
,
In their brief, Appellants take it upon themselves to offer additional clarity by pointing to extra detail found not in the complaint but rather in the Marshals' own affidavits and an internal incident report that the Marshal's Office filed with the Superior Court after the shooting. At this stage, however, we, like the District Court, "must consider only the complaint, exhibits attached to the complaint, matters of public record, as well as undisputedly authentic documents if the complainant's claims are based upon these documents."
Mayer v. Belichick
,
L.T. reached the age of majority after the complaint was filed, and, as the caption here reflects, he is now a party to this case in his own right.
While the complaint also named as a defendant the Government of the Virgin Islands, none of the claims was expressly directed at the Government and it is not a party to this appeal. It has, however, filed a brief in support of Appellants.
The District Court did dismiss claims for "negligent hiring and retention and negligent supervision/training contained in Counts III and IV" for failure to comply with the VITCA, JA 11, but those claims are not at issue in this appeal. We note, for the sake of clarity, that the references to "Counts III and IV" appear to be references to each of the two counts listed sequentially in the complaint as "Count III," the first of which was for negligent training and supervision and the second of which was for negligent hiring and retention. The actual Count IV of the complaint asserted vicarious liability against the Superior Court as Richardson's employer, which, of course, merely reflects the "basis to extend the liability of [Richardson's] underlying torts" reflected in the VITCA itself.
Bonelli v. Gov't of the Virgin Islands
, No. ST-13-CV-175,
Richardson's quasi-judicial and qualified immunity defenses apply to the extent he has been sued in his individual capacity, and his sovereign immunity defense applies to the extent he has been sued in his official capacity.
See
Kentucky v. Graham
,
Cf.
Martin v. Hendren
,
Although Appellants do not cite the case, both the Seventh and Ninth Circuits wrestled with the question whether
Mireles v. Waco
,
Nor is it even clear that the shooting occurred
while
Richardson was acting "at the direction of a judge." According to the complaint, the only reason Richardson went to the house that day was that Russell had "sought ... assistance ... with enforcing the court's order," JA 18-not because a judge had instructed him to do so. In any event, even assuming Richardson was acting pursuant to court order,
but see
Tatis v. Allied Interstate, LLC
,
Appellants' approach would turn immunity jurisprudence on its head, ignoring the "presumption ... that qualified rather than absolute immunity is sufficient to protect government officials in the exercise of their duties,"
Burns
,
The Eleventh Amendment provides, in relevant part, that federal courts lack jurisdiction to hear "any suit ... commenced or prosecuted against one of the United States by Citizens of another State." U.S. Const. amend. XI. "While the Amendment by its terms does not bar suits against a State by its own citizens, th[e Supreme] Court has consistently held that an unconsenting State is immune from suits brought in federal courts by her own citizens as well as by citizens of another State."
Edelman v. Jordan,
More than once we have found statute-based immunities to implicate sufficiently weighty interests to warrant application of the collateral order doctrine.
See
Oss Nokalva, Inc. v. European Space Agency
,
While the statute states that a claimant need not file a notice of intention if she files the claim itself within the ninety-day period, it is undisputed that Russell did not file a claim within ninety days, and she was therefore required to file a notice of intention.
With respect to verification, Appellants' counsel declared for the first time at oral argument that the term, as used in the VITCA, means something other than notarization. But he offered no authority for that proposition; in fact, the only case Appellants cite having anything to do with verification cuts against them, as the court there deemed the claim unverified for "lack of a notarization."
McBean v. Gov't of Virgin Islands
,
By plucking from its context
Brunn
's statement that a "failure to make any reference, let alone any meaningful reference, to the allegedly negligent actions of the Government" renders a notice insufficient, Appellants' Br. 35 (quoting
Reference
- Full Case Name
- Jamila RUSSELL; L.T. v. Superior Court Marshal Christopher RICHARDSON, in His Individual and Official Capacity; Government of the Virgin Islands; Superior Court of the Virgin Islands, Superior Court of the Virgin Islands, Superior Court Marshal Christopher Richardson, in His Individual and Official Capacity, Appellants
- Cited By
- 64 cases
- Status
- Published