Gregory W. Zullo v. State of Vermont
Gregory W. Zullo v. State of Vermont
Opinion
¶ 1. In this civil rights action against the State of Vermont, plaintiff seeks declaratory relief and money damages for alleged violations of Article 11 of the Vermont Constitution arising from the stop, seizure, and search of his vehicle. The civil division of the superior court granted summary judgment to the State, concluding that although damages may be obtained in an implied private right of action directly under Article 11, in this case neither the stop, the exit order, nor the seizure and search of plaintiff's vehicle violated Article 11's constraints against governmental searches and seizures.
¶ 2. At issue in this appeal is: (1) whether Article 11 provides a self-executing right of action for damages; (2) whether the Vermont Tort Claims Act (VTCA) governs any such action and, if not, whether the common law doctrine of sovereign immunity shields the State from liability; (3) if the action is neither governed by the VTCA nor barred by sovereign immunity, whether this Court should impose any limitations on obtaining damages against the State; and (4) assuming a damage remedy exists and plaintiff can potentially overcome any other barriers to obtaining damages against the State, whether the stop, exit order, and/or seizure and search of plaintiff's vehicle violated plaintiff's rights under Article 11, thereby entitling him to seek such relief.
¶ 3. We conclude that an implied private right of action for damages is available directly under Article 11, that the VTCA does not apply to plaintiff's suit alleging a constitutional tort, and that the common law doctrine of sovereign immunity does not bar such an action against the State, but that damages may be obtained only upon a showing that a law enforcement officer acting within the scope of the officer's duties either acted with bad faith or knew or should have known that those actions violated clearly established law. We further conclude that although the exit order would not have violated Article 11 had the initial stop been lawful, both the stop and the warrantless seizure of plaintiff's *473 vehicle violated Article 11. In light of our resolution of the legal issues before us, we reverse the superior court's grant of summary judgment in favor of the State, as well as its dismissal of one of plaintiff's counts in an earlier decision, and we remand the matter for further proceedings consistent with this opinion. As explained below, the parties are not precluded from submitting renewed motions for summary judgment based on the law established in this opinion.
I. Facts and Procedural History
A. Facts
¶ 4. "Summary judgment is proper only where the material undisputed facts show that the moving party is entitled to judgment as a matter of law."
Morisseau v. Hannaford Bros.
,
¶ 5. On the afternoon of March 6, 2014, plaintiff, a twenty-one-year-old African-American 2 male, had just finished his work shift at his place of employment in the Town of Killington and was driving alone in the Town of Wallingford to see a friend. Lewis Hatch, a state trooper, was on duty in a marked state police vehicle. Trooper Hatch was in his vehicle at a *474 Wallingford gas station when plaintiff drove by. The trooper pulled out of the station and followed plaintiff through Wallingford. He activated his vehicle's emergency blue lights and stopped plaintiff shortly after three o'clock in the afternoon.
¶ 6. Because the microphone in Trooper Hatch's shirt was either not working or not turned on, his interactions with plaintiff outside the range of the recording system in the trooper's vehicle were not recorded. Following the stop, Trooper Hatch approached the passenger-side window of plaintiff's car and asked plaintiff to provide his driver's license and registration. Plaintiff did so and explained to the trooper that he was coming from his work; plaintiff declined, however, to answer the trooper's questions as to where he was going. The trooper stated in his warrant application that he smelled a faint odor of burnt marijuana as he approached plaintiff's car, but during his interaction with plaintiff he did not deploy the drug-detection dog he had in his vehicle. Trooper Hatch observed an air freshener affixed to the center air vent in plaintiff's car and a small bottle of Visine in the car's center console. In response to the trooper's questioning, plaintiff told the trooper that he had smoked marijuana three days prior to the stop. 3 Any initial suspicion Trooper Hatch had that plaintiff was driving while impaired was quickly dispelled during the trooper's questioning of plaintiff.
¶ 7. Trooper Hatch ordered plaintiff to exit his car, but did not ask plaintiff to perform any field sobriety exercises. At some point after ordering plaintiff out of his car, in response to plaintiff's inquiry, the trooper told plaintiff for the first time that he had stopped him because there was snow partially obscuring the registration sticker affixed to his car's license plate. Plaintiff consented to Trooper Hatch's request that he submit to a search of his person, which did not reveal any evidence of contraband or a crime. Trooper Hatch then read plaintiff a consent card, advising him that if he did not agree to have his car searched, the car would be towed to the state police barracks while the trooper applied for a search warrant. Plaintiff refused to consent to a search of his car. Approximately twenty minutes after the initial stop, Trooper Hatch radioed for a tow truck.
¶ 8. Trooper Hatch declined to give plaintiff a ride to his home in Rutland, but he offered to drop plaintiff off at a nearby gas station or call someone to pick him up. Plaintiff declined these offers, and he wound up walking and hitchhiking to his home eight miles away. After arriving at the Rutland police barracks, Trooper Hatch applied for a search warrant, which was issued at approximately seven o'clock in the evening. At the barracks, a certified drug detection dog alerted twice on the trunk of plaintiff's vehicle. A search was completed at seven-thirty in the evening. The search turned up a metal grinder and a small pipe with residue later identified as marijuana, but no evidence of a criminal offense. Plaintiff's vehicle was not released to plaintiff until approximately ten o'clock in the evening after he paid the required $150 towing fee.
B. Procedural History
¶ 9. In September 2014, plaintiff filed suit against the State, alleging four counts of violations of Article 11 of the Vermont Constitution: (1) an unlawful traffic stop *475 without reasonable suspicion of any traffic violation; (2) an unlawful exit order without reasonable suspicion of danger or the commission of a crime; (3) an unlawful seizure of his car without probable cause; and (4) an unlawful search of his car without probable cause. He sought a declaration that Trooper Hatch's actions were illegal, an award of damages for the violations of his rights, and an award of costs.
¶ 10. In November 2014, the State filed a motion to dismiss counts two, three, and four, but not count one. In March 2015, the superior court denied the State's motion as to counts two and three, but it granted the motion as to count four concerning the alleged unlawful search. The court concluded that the alleged facts with respect to counts two and three concerning the exit order and seizure of plaintiff's car were sufficient to overcome the State's motion to dismiss. See
Samis v. Samis
,
¶ 11. As for count four, the court stated that the key question was the meaning of Vermont's then-recent law decriminalizing the possession of less than one ounce of marijuana, see 18 V.S.A. § 4230a(a), 2013 No. 194 (Adj. Sess.), § 13 (effective June 17, 2014), insofar as plaintiff alleged that the search warrant was issued even though Trooper Hatch failed to cite any evidence suggesting that plaintiff's car contained more than one ounce of marijuana. In dismissing this count, the court relied mainly on the Legislature's pronouncement that marijuana is still contraband subject to seizure and forfeiture unless lawfully used for medicinal purposes and that the decriminalization of less than one ounce of marijuana is "not intended to affect the search and seizure laws afforded to duly authorized law enforcement officers."
¶ 12. After the parties completed discovery that included taking the depositions of plaintiff and Trooper Hatch, they filed cross-motions for summary judgment. The State asserted that summary judgment should be entered on count one because the stop was lawful and because the trooper's actions were protected by qualified immunity. With respect to counts two, three, and five, the State argued that the totality of the circumstances justified the exit order and the seizure and search of plaintiff's vehicle. The State also argued that even if Trooper Hatch erred in assessing whether reasonable suspicion or probable cause existed to support the exit order and seizure of plaintiff's vehicle, either qualified immunity or sovereign immunity barred plaintiff's action. Plaintiff responded that the State waived its sovereign immunity, either through the VTCA or Article 11 itself, and that Trooper's Hatch's qualified immunity did not extend to the State. Plaintiff further argued that none of the statutes or caselaw relied upon by the State provided legal justification for Trooper Hatch to stop plaintiff, order him to exit his vehicle, or seize and search his vehicle.
¶ 13. In May 2017, the superior court granted the State's motion for summary judgment and denied plaintiff's cross-motion for summary judgment. The court concluded that: (1) the VTCA is inapplicable *476 because it concerns only common law torts and because no private analogs exist for Trooper Hatch's actions; (2) Article 11 provides an implied private right of action for damages against the State; and (3) money damages are an appropriate remedy if liability is found because there is no viable alternative remedy. The court granted the State's motion for summary judgment, however, based on its determination that Trooper Hatch's actions did not violate Article 11. The court concluded that: (1) any mistake of law by Trooper Hatch in stopping plaintiff based on a partially obscured registration sticker was objectively reasonable and thus did not rise to an actionable violation of Article 11; (2) the faint smell of burnt marijuana, in combination with the presence of the air freshener and bottle of Visine, provided Trooper Hatch with reasonable suspicion to order plaintiff to exit his car; and (3) even though the air freshener and Visine lost their probative value after Trooper Hatch's concerns about plaintiff's possible impaired driving were dispelled, the faint smell of burnt marijuana alone provided probable cause to seize plaintiff's car and obtain a warrant to search the car-notwithstanding the fact that possession of less than one ounce of marijuana was only a civil infraction at the time of the stop.
¶ 14. Plaintiff appeals, arguing that: (1) in assessing whether the stop in this case violated Article 11, which offers more protection than the Fourth Amendment, this Court should not follow the U.S. Supreme Court's recent holding that reasonable suspicion to support a traffic or investigatory stop may rest upon a police officer's reasonable mistake of law, see
Heien v. N. Carolina
, --- U.S. ----,
The State responds that: (1) the superior court was correct in holding that the VTCA does not grant jurisdiction for plaintiff's claims; (2) Article 11 does not provide jurisdiction for a private right of action against the State because the State is protected by its sovereign immunity and because alternative remedies exist; 6 (3)
*477 Trooper Hatch's stop of plaintiff's car did not violate Article 11 because it was objectively reasonable for him to believe that plaintiff was in violation of a motor vehicle law; and (4) notwithstanding the then-existing marijuana decriminalization law, reasonable suspicion supported the exit order and probable cause supported the seizure and search of plaintiff's car. In its amicus curiae brief, the Department of State's Attorneys and Sheriffs argues that this Court should follow Heien and hold that traffic stops based on an officer's objectively reasonable mistake of law satisfy the reasonable suspicion standard and thus do not violate Article 11.
II. The Vermont Tort Claims Act and Sovereign Immunity
¶ 15. We first address the State's argument that no private right of action may be implied directly under Article 11 because the State has not waived its sovereign immunity to any such action either under the VTCA or any other legislation. According to the State, Vermont courts lack jurisdiction over plaintiff's lawsuit, notwithstanding his claims of constitutional violations, because plaintiff has failed to identify a statutory waiver of sovereign immunity, which the State contends is necessary before he can sue the State for damages. 7 The State concurs with the superior court's assessment that plaintiff's constitutional tort claim does not fit within the VTCA's waiver provisions, arguing that the Act applies only to ordinary common law torts and that there are no private analogs for Trooper Hatch's actions within the scope of his duties. The State argues, however, that, absent any other legislation explicitly waiving sovereign immunity for constitutional torts, plaintiff's suit against the State is barred for lack of jurisdiction.
¶ 16. Plaintiff responds that an explicit legislative waiver of sovereign immunity is not required to obtain a damages remedy under a self-executing constitutional provision for a violation of one's constitutional rights under that provision. Plaintiff agrees with the State and the superior *478 court that his constitutional tort claim should not proceed through the VTCA because the Act does not apply to constitutional claims. He also argues, however, that even if the Act applied to his constitutional claims, it would not bar those claims because common law torts such as unlawful trespass and false imprisonment provide private analogs for his claims and because the discretionary function exception in the Act does not apply to unconstitutional or unlawful conduct.
A. The Vermont Tort Claims Act
¶ 17. As noted, the superior court agreed with the State that the VTCA does not govern plaintiff's lawsuit for two interrelated reasons: the Act applies only to ordinary common law torts and only where there is a private analog-in other words, where the cause of action is comparable to one available against a private citizen. The court rejected plaintiff's arguments that his lawsuit was analogous to actions against private individuals for trespass to chattel, false imprisonment, and invasion of privacy. The court concluded that because the ultimate question-whether Trooper Hatch acted in conformance with plaintiff's constitutional rights-turned on purely governmental functions, his lawsuit could not be treated as analogous to a common law claim against a private party.
¶ 18. "[T]he primary purpose of the VTCA is to waive sovereign immunity for recognized causes of action, particularly for common law torts." See
Kennery v. State
,
¶ 19. The VTCA's private-analog waiver, which is similar to that contained in the Federal Tort Claims Act (FTCA),
8
"is primarily directed at the 'ordinary common-law torts.' "
Denis Bail Bonds, Inc. v. State
,
¶ 20. Although plaintiff cites false imprisonment and trespass to chattels as private-analog torts, he does not demonstrate that his "factual allegations satisfy the necessary elements of a recognized cause of action."
Kane v. Lamothe
,
¶ 21. Indeed, the limited federal case law under the FTCA suggests that no private analog exists here. Cf.
Casillas v. United States
, No. CV 07-395-TUC-DCB (HCE),
B. Sovereign Immunity
¶ 22. Having determined that the VTCA does not govern plaintiff's lawsuit, we consider the State's argument that Vermont courts lack jurisdiction over constitutional tort claims absent an express statutory waiver of sovereign immunity. Whether the common law doctrine of sovereign immunity stands as a bar to constitutional torts absent an explicit legislative waiver is a difficult question with which few courts have grappled. See
Shields v. Gerhart
,
¶ 23. Although it has a long history, the ancient English common law doctrine that "the King can do no wrong" is not inviolate. See
Levinsky v. Diamond
,
¶ 24. On multiple occasions, this Court has declined to address whether the doctrine of sovereign immunity bars constitutional torts against the State absent an explicit legislative waiver. See
Stevens v. Stearns
,
¶ 25. In a more recent case in which we upheld the liability of a municipality sued for damages directly under the Common Benefits Clause of the Vermont Constitution, we reiterated the preeminence of the Vermont Constitution over legislative and judge-made law. See
In re Town Highway No. 20
,
It would indeed be a fanciful gesture to say on the one hand that citizens have constitutional individual civil rights that are protected from encroachment actions by the State, while on the other hand saying that individuals whose constitutional rights have been violated by the State cannot sue because of the doctrine of sovereign immunity.
Corum v. Univ. of N.C.
,
¶ 26. The few state courts that have addressed this issue are divided over whether sovereign immunity serves as an absolute bar to constitutional torts absent an explicit legislative waiver. See T. Jefferson,
Constitutional Wrongs and Common Law Principles: The Case for the Recognition of State Constitutional Tort Actions Against State Governments
,
¶ 27. The Vermont Constitution neither declares the State immune from all *482 damages stemming from violations of its provisions nor specifies that the State retains any immunity not expressly waived by the State. Accordingly, in light of the reasoning in our prior caselaw discussed above, we conclude that the common law doctrine of sovereign immunity is not an absolute jurisdictional bar to Vermont courts considering constitutional tort actions.
¶ 28. Our conclusion that the common law doctrine of sovereign immunity cannot jurisdictionally bar suits alleging constitutional torts does not mean that the Legislature lacks authority to limit or confine such suits in any way. See
Bosh v. Cherokee Cty. Bldg. Auth.
,
¶ 29. Absent legislation providing a meaningful remedy for constitutional tort violations, in determining the scope and limits of sovereign immunity, we conclude that the judge-made doctrine does not supersede the right of the people to seek redress from the State for violations of fundamental constitutional rights. Invoking absolute sovereign immunity to prevent a remedy for significant breaches of constitutional rights would undermine the fundamental protections provided by our state constitution, which exists "to dictate certain boundaries to the government." J. Friesen, supra , § 8.08[1], at 51 (citing "strong policy argument" that invoking sovereign immunity for breaches of bill of rights aimed at curtailing government power "would make a mockery of constitutional democracy"). The theory that one cannot assert a wrong against the government that created the law upon which the asserted rights depend has no force with respect to constitutional rights, which "are created by the citizenry to govern the government." Id. at 52.
¶ 30. We recognize that plaintiff's action against the State in this case is based on vicarious rather than direct liability. We note that this is consistent with the legislative policy set forth in the VTCA. See 12 V.S.A. § 5602(a) (providing that exclusive right of action is against State for state employees' acts or omissions within scope of employment that cause injury)
11
; see also 3 V.S.A. § 1101(a) (providing in relevant part that in civil action against state employees alleging damage or deprivation of rights arising from performance of employees' official duties, State is obligated to defend action and provide legal representation on behalf of employees). More significantly, "the State is appropriately held
*483
answerable for the acts of its officers and employees because it can avoid such misconduct by adequate training and supervision and avoid its repetition by discharging or disciplining negligent or incompetent employees."
Brown v. State
,
¶ 31. In short, the common law doctrine of sovereign immunity does not act as a jurisdictional bar to plaintiff's civil damage suit against the State alleging that a state officer deprived him of the protection from government interference guaranteed by Article 11 of the Vermont Constitution.
III. Implied Private Right of Action Directly Under Article 11
¶ 32. Having determined that the VTCA is inapplicable and that the common law doctrine of sovereign immunity is not a jurisdictional bar to plaintiff's lawsuit, we turn to the question of whether plaintiff may seek damages in an implied action directly under Article 11. This is an issue of first impression for this Court. See
Stevens
,
A. Self-Executing
¶ 33. As we explained in
Shields
, a constitutional provision is self-executing if it provides sufficient direction by which the right at issue might be protected; whereas it is not self-executing if it merely states a general principle without establishing any basis on which that principle may be enforced.
¶ 34. Under this test, there is little doubt that Article 11 is self-executing. Indeed, search-and-seizure provisions such as Article 11 are the paradigmatic self-executing provisions. Article 11's federal counterpart, the Fourth Amendment, is the constitutional provision in which the U.S. Supreme Court first recognized a direct constitutional damage remedy. See
Bivens
,
¶ 35. Insofar as Article 11 unequivocally sets forth a single specific right of the people to be free from unwarranted searches and seizures of their persons, possessions, and property, that provision is manifestly self-executing. Cf.
Shields
,
B. Alternative Remedies
¶ 36. Our conclusion that Article 11 is self-executing means that the right set forth therein does not "need further legislative action to become operative"; however, "[i]t does not necessarily mean that monetary damages [are] the proper remedy for a violation."
¶ 37. The standard remedy for an Article 11 violation in a criminal context-the exclusionary rule-provides no relief to the instant plaintiff, who was not charged with a crime. The State argues, however, that
*485
each of the following remedies is a sufficient alternative to suing the State for damages: (1) an action against Trooper Hatch pursuant to
¶ 38. We conclude that none of the State's proffered alternative remedies would provide meaningful redress to plaintiff for the constitutional transgressions he alleges. Generally,
¶ 39. Notwithstanding these impediments, some courts have found § 1983 to be a viable alternative remedy to a direct private right of action for damages under certain provisions of their state constitutions. See
State v. Heisey
,
¶ 40. This Court has followed other courts in inferring a private right of action under various state constitutional provisions because "[w]hile certain wrongs may find redress under federal law, we recognize the inherent and independent value in the rights and protections enshrined in our own constitution."
Town Highway
,
¶ 41. The State's reliance on injunctive relief as an alternative remedy is equally unavailing. As the U.S. Supreme Court noted in
Bivens
, "damages have been regarded as the ordinary remedy for an invasion of personal interests in liberty."
¶ 42. Moreover, we find no merit to the State's argument that a viable alternative remedy exists here in the potential to reclaim property under Vermont Rule of Criminal Procedure 41 or to seek return of forfeited property under 18 V.S.A. §§ 4241 - 4248. There is no indication that plaintiff made any claim for seized or forfeited property, which would be the case in many, if not most, instances involving an unlawful search and seizure. In this case, the extent of plaintiff's property loss would have been, at most, a metal grinder and a pipe containing marijuana residue. Return of such property would hardly provide a *487 meaningful remedy for the alleged violation of his constitutional rights.
¶ 43. Nor do we find merit in the State's suggestion that an administrative complaint would be a viable alternative. If that were the case, no damages claim would ever lie against a public official. Even if a confidential internal affairs investigation resulted in some disciplinary action against a law enforcement officer, 20 V.S.A. § 1923(d) (providing that records of internal investigation shall be confidential with specific exceptions), it would offer no remedy to individuals deprived of their constitutional rights, other than the knowledge that the offending officer may or may not have been disciplined, which may or may not result in others being spared a similar deprivation of their rights.
¶ 44. The simple answer to the State's argument that plaintiff could have filed a motion to suppress had he been charged with a crime is that he was not-and apparently could not successfully have been-charged with a crime. "The interest protected by Article 11, like the Fourth Amendment, is the expectation of the ordinary citizen, who has never engaged in illegal conduct ...."
State v. Bryant
,
¶ 45. Finally, the State does not suggest, and we do not find, a viable alternative remedy in a potential common law tort action against the allegedly offending officer. Cf.
Long v. L'Esperance
,
*488 right to recover damages for alleged constitutional torts should not be dependent on availability of common law tort actions, which "are heavily influenced by overriding concerns of adjusting losses and allocating risks, matters that have little relevance when constitutional rights are at stake").
¶ 46. In sum, none of the alternative remedies proffered by the State can substitute as a viable remedy for someone subjected to an allegedly unconstitutional search or seizure, most particularly in a case like this where plaintiff was not charged with a crime. In addition to providing a compensatory remedy for particular individuals whose constitutional rights have been violated by state officials, the adjudication of constitutional torts has played a critical role in establishing specific constitutional limits on governmental power in a way that could not be provided by injunctive relief or common law actions. See J. Park, supra , at 396, 450-53. For the reasons discussed above, we conclude that a private right of action seeking money damages for violations of Article 11 is available directly under that constitutional provision absent any adequate alternative legislatively enacted remedy.
C. Limiting Principle
¶ 47. The question remains, however, whether this Court should impose any limitations on this judicially recognized constitutional damage remedy. In
Town Highway
, we stated that the caution we raised in
Shields
about creating a private damage remedy when the Legislature had not created an alternative civil remedy was "magnified in the context of recognizing a tort remedy under the broad mandate of Article 7."
¶ 48. The superior court rejected the State's argument that any establishment of a constitutional tort with respect to alleged violations of Article 11 should be limited by stringent requirements similar to those set forth in Town Highway . The court rejected this argument in a footnote, summarily stating that recognizing a private right of action under Article 11 would not result in a flood of litigation for routine law enforcement actions and that there is no need for a heightened standard of proof to secure damages because Article 11 provides its own standard-the unreasonable exercise of authority by a state actor. On appeal, plaintiff argues that the superior court correctly rejected a heightened standard for establishing a private damage remedy under Article 11 and that a qualified immunity limitation is unnecessary to prevent a chilling effect on law enforcement *489 officers when the State rather than the individual officer is subject to liability.
¶ 49. In considering whether a rigorous standard is appropriate to limit a private damage remedy directly under Article 11, we first note that the U.S. Supreme Court has applied an objective qualified immunity limitation on
Bivens
actions-the constitutional tort progenitor that itself involved a claim of an unlawful search under the Fourth Amendment. See
Butz v. Economou
,
¶ 50. State courts are divided on whether to allow the government to assert common law defenses such as qualified immunity or other limitations in civil rights suits seeking damages for breaches of state constitutional provisions. G. Gildin,
supra
, at 902-03. Compare
Clea v. Mayor & City Council of Balt.
,
¶ 51. State courts have limited constitutional tort actions in other ways as well. Most notably, in
Martinez v. City of Schenectady
,
¶ 52. We conclude that, in the absence of any applicable legislation addressing constitutional torts, restrictions similar to those imposed in
Town Highway
are appropriate and necessary in civil actions seeking damages for violations of Article 11. The principal concerns that caused us in
Town Highway
to impose limitations on obtaining damages for claimed deprivations of common benefits, in violation of Article 7, were the potential flood of litigation for every alleged constitutional violation and the potential chilling effect on citizens serving on local boards.
¶ 53. Accordingly, imposing restrictions akin to qualified immunity is appropriate. See
id.
¶ 57 (stating that imposing restrictions on constitutional torts "serves the equivalent function of the qualified immunity doctrine" and acts "as a buffer against liability in all but the most egregious of cases"); see also M. Wells,
Civil Recourse, Damages-As-Redress, and Constitutional Torts
,
¶ 54. With these considerations in mind, we hold that a plaintiff seeking damages against the State directly under Article 11 based on a law enforcement officer's alleged violation of that constitutional provision must show that: (1) the officer violated Article 11; (2) there is no meaningful alternative remedy in the context of that particular case; and (3) the officer either knew or should have known that the officer was violating clearly established law or the officer acted in bad faith. Cf.
Spackman
,
¶ 55. The third element set forth above includes a potential alternative showing of bad faith that in some instances would
*492
require the factfinder to make an objective assessment of the officer's subjective motivations. We recognize that the U.S. Supreme Court has abandoned a subjectively based malice component that would defeat a qualified immunity defense, reasoning that a judicial inquiry into subjective motivation might entail broad-ranging discovery that is inherently incompatible with immunity from suit. See
Harlow v. Fitzgerald
,
¶ 56. To the extent that the element is similar to qualified immunity, imposing such an element is appropriate not only for the reasons discussed above, but because a plaintiff's claims against the State in such circumstances will generally be derivative of a law enforcement officer's actions. Cf.
Czechorowski v. State
,
IV. The Alleged Violations
A. The Stop
¶ 57. Having rejected the State's claim of blanket immunity and established the standard for evaluating plaintiff's constitutional tort claim, we now examine each of the alleged Article 11 violations. Plaintiff first challenges Trooper Hatch's decision to stop his vehicle. The law on vehicle stops is well-settled. Like the Fourth Amendment, Article 11 "protect[s] citizens against unreasonable searches and seizures."
State v. Manning
,
¶ 58. Although seizures normally require that a law enforcement officer have probable cause to believe that the person being seized has engaged in criminal activity, the lesser standard of reasonable suspicion of either criminal activity or even a minor traffic violation can form the basis of a valid temporary stop.
State v. Tuma
,
*493
State v. Lussier
,
¶ 59. "The level of suspicion required for a lawful investigatory stop is considerably less than a preponderance of the evidence, but it must be more than an inchoate and unparticularized suspicion or hunch."
State v. Thompson
,
¶ 60. Here, the parties debate whether there actually was a motor vehicle infraction justifying the stop and, if there was not, whether this Court should adopt under Article 11 the U.S. Supreme Court's holding in Heien that a stop based on a law enforcement officer's objectively reasonable mistake of law as to whether there was a motor vehicle violation may "rise to the reasonable suspicion necessary to uphold the seizure under the Fourth Amendment." 14
*494
Heien
, --- U.S. at ----,
¶ 61. The State relies upon the then-current version of 23 V.S.A. § 511 to support Trooper Hatch's stop of plaintiff's vehicle. The statute, titled "Manner of display," is within the subchapter heading titled, "Display of Number Plates." At the time of the stop in question in this case, § 511 provided in its entirety as follows, with the key sentence highlighted:
A motor vehicle operated on a public highway shall have displayed in a conspicuous place either one or two number plates as the commissioner of motor vehicles may require. Such number plates shall be furnished by the commissioner of motor vehicles, showing the number assigned to such vehicle by the commissioner. If only one number plate is furnished, the same shall be securely attached to the rear of the vehicle. If two are furnished, one shall be securely attached to the rear and one to the front *495 of the vehicle. The number plates shall be kept entirely unobscured, the numerals and the letters thereon shall be plainly legible at all times . They shall be kept horizontal, shall be so fastened as not to swing, excepting however, there may be installed on a motor truck or truck tractor a device which would, upon contact with a substantial object, permit the rear number plate to swing toward the front of the vehicle, provided such device automatically returns the number plate to its original rigid position after contact is released, and the ground clearance of the lower edges thereof shall be established by the commissioner pursuant to the provisions of chapter 25 of Title 3. A person shall not operate a motor vehicle unless the number plates are displayed as provided in this section.
23 V.S.A. § 511 (2014) (emphasis added).
¶ 62. We enforce unambiguous statutes according to their plain language to effectuate legislative intent, without the need to resort to legislative history.
In re Porter
,
¶ 63. Our decision in
Tuma
is instructive in this regard. There, relying on § 511's requirement that number plates "be kept horizontal," a police officer stopped the defendant's vehicle based on his observation that one side of the front license plate was one to two inches below the other side. Without finding the need to examine § 511's legislative history, we upheld the trial court's grant of the defendant's motion challenging the legality of the stop, holding that "a proper reading of the statute" is "that a license plate ceases to be 'horizontal' when the angle of the license makes it difficult for a person with normal vision to read it."
Tuma
,
¶ 64. The same is true here. Even if we were to adopt the Heien concurrence allowing seizures based on a law enforcement officer's objectively reasonable mistake as to the meaning of a genuinely ambiguous statute, it would not benefit the State in this case because the statute at issue is not genuinely ambiguous, and thus the State cannot show that Trooper Hatch had an objectively reasonable basis for concluding that plaintiff had violated the statute. 17
*496
¶ 65. Our conclusion is supported by the Legislature's enactment of the 2014 Amendment to § 511, which plainly created a new statutory obligation by requiring that registration stickers be unobstructed. See
Doe v. Vt. Office of Health Access
, 2012 VT 15A, ¶ 26,
(a) .... The number plates shall be kept entirely unobscured, and the numerals and the letters thereon shall be plainly legible at all times.
...
(b) A registration validation sticker shall be unobstructed, and shall be affixed as follows:
....
(c) A person shall not operate a motor vehicle unless number plates and a validation sticker are displayed as provided in this section.
2013, No. 189 (Adj. Sess.), § 4.
¶ 66. Thus, there were three changes to § 511. First, the word "and" was inserted between the two clauses of section (a)-thereby indicating that henceforth keeping the number plates entirely unobscured is an additional requirement and not merely tied to the purpose of keeping the number plates' letters and numbers legible to allow identification of vehicles.
¶ 67. The State points to the then-current version of 23 V.S.A. § 305(c), which at the time of the stop in question provided, in relevant part, that "no plate is valid for the second and succeeding years unless the [registration] sticker is affixed to the rear plate in the manner prescribed by the Commissioner." The same act that amended § 511 amended § 305(c) to remove the words "for the second and succeeding years" and add the phrase "in section 511 of this title." 2013 No. 189 (Adj. Sess.), § 3. Nothing in the plain language of the then-current version of § 305(c) provided Trooper Hatch with a reasonably objective belief that plaintiff was in violation of a *497 motor vehicle law when he stopped plaintiff's vehicle. 18
¶ 68. Accordingly, we conclude that Trooper Hatch's stop of plaintiff's vehicle violated Article 11 because it was not supported by a reasonable and articulable suspicion that plaintiff had committed a motor vehicle violation. Although our inquiry would most likely end at this point if this were an appeal from a criminal conviction or a civil suspension violation, in which the fruits of any illegal stop would be suppressed, in this civil constitutional tort action against the State, we must examine plaintiff's other allegations that his Article 11 rights were violated during the incident in question. See
Townes v. City of New York
,
¶ 69. As the Second Circuit reasoned in
Townes
, § 1983 actions alleging constitutional torts are analogous to common law actions aimed at compensation, and thus they generally employ the principle of proximate cause to determine damages; whereas, the fruit of the poisonous tree doctrine disregards traditional causation analysis to serve the objective of deterring unlawful police conduct by creating an incentive for state actors to respect suspects' constitutional rights.
¶ 70. Because a jury could determine that one or more of the alleged Article 11 violations does not satisfy the elements for seeking damages to remedy the alleged violations, we must examine each of the alleged violations.
B. The Exit Order
¶ 71. Plaintiff also argues that his Article 11 rights were violated when Trooper Hatch ordered him to exit his car. In
Sprague
, this Court held that an exit order following a traffic stop offends Article 11 unless "the objective facts and circumstances would support a reasonable suspicion that the safety of the officer, or of others, was at risk or that a crime has been committed."
¶ 72. Here, nothing in the record suggests that Trooper Hatch feared for his safety or the safety of others-and the State makes no such argument. Thus, to pass muster under Article 11, the exit order must have been based on reasonable suspicion of criminal wrongdoing, which must arise from "specific and articulable facts" rather than an "inchoate and unparticularized suspicion or hunch." See
State v. Alexander
,
¶ 73. In this case, the superior court concluded that the faint odor of burnt marijuana, along with what appeared to be masking paraphernalia-a bottle of Visine eyedrops and an air freshener-justified the exit order based on the officer's reasonable suspicion that plaintiff *499 had additional contraband on his person or in the car. 19
¶ 74. We agree that, in and of itself, the exit order was lawful, but not on the basis relied upon by the superior court. Operating a motor vehicle while under the influence of alcohol or "any other drug" was a criminal offense at the time of the stop and remains so. 23 V.S.A. § 1201(a)(2)-(3) ; 20 see 18 V.S.A. § 4230a(c)(1) (2017) (stating that section decriminalizing adult possession of less than one ounce of marijuana "does not exempt any person from arrest or prosecution for being under the influence of marijuana while operating a vehicle of any kind and shall not be construed to repeal or modify existing laws or policies concerning the operation of vehicles of any kind while under the influence of marijuana"); see also 2017, No. 86 (Adj. Sess.), § 4 (deleting § 4230a(c)(1) but adding equivalent language in § 4230a(b)(2) ). Trooper Hatch indicated that he detected the faint odor of burnt marijuana when he approached plaintiff's car after stopping plaintiff. He also observed items that, although they have perfectly common and legal uses, he knew from his experience in law enforcement to be used to mask the effects of marijuana use. In his deposition testimony, Trooper Hatch indicated that the faint odor of burnt marijuana emanating from plaintiff's car and the redness of plaintiff's eyes 21 aroused his suspicion that plaintiff was driving while impaired, but he agreed that his suspicion of plaintiff's impaired driving dissipated during the course of his discussions with plaintiff. Although it is not entirely clear from the record when Trooper Hatch's suspicion of impairment dissipated, that may have occurred following the exit order, as the superior court suggested in its decision.
¶ 75. We conclude that the faint smell of burnt marijuana, in conjunction with the trooper's observations of items that may be used to mask the effects of smoking marijuana, provided the trooper with an
*500
articulable and reasonable basis to order plaintiff to exit his vehicle to determine whether plaintiff was driving impaired. Cf.
State v. Young
,
C. The Seizure and Search of Plaintiff's Vehicle
¶ 76. The subsequent seizure and search of plaintiff's vehicle, which had to be supported by probable cause rather than the less-rigorous standard of reasonable suspicion, is another matter, however. See
State v. Platt
,
¶ 77. We now examine the facts upon which Trooper Hatch relied to seize plaintiff's vehicle. Following his exit order, Trooper Hatch found no incriminating evidence resulting from the consented search of plaintiff's person. Further, as noted, any suspicions that the trooper may have had about plaintiff driving while impaired had been allayed. Nonetheless, Trooper Hatch elected to seize plaintiff's vehicle and tow it to the Rutland state police barracks based on his original detection of *501 a faint odor of burnt marijuana, the presence of the air freshener and the bottle of Visine in plaintiff's vehicle, and plaintiff's acknowledgment that he had smoked marijuana in the past few days. With the trooper's concerns about impaired driving dispelled and his attention turned to possible possession of marijuana, we agree with the superior court that the presence of the air freshener and the Visine in the vehicle, as well as plaintiff's acknowledgment of prior marijuana use by him sometime in the last few days, lost their probative value. Air fresheners and eye drops, though they can be used to mask the effects of marijuana use, are commonplace items ubiquitously used by persons who do not use marijuana, and their presence in the car did not indicate the presence of marijuana. Nor does the fact that plaintiff smoked marijuana in the past indicate the presence of marijuana in the vehicle at the time of the stop.
¶ 78. Thus, as the superior court acknowledged, we are left only with the faint odor of burnt marijuana as a justification for the vehicle's seizure and subsequent search. The court concluded that that was enough. We disagree. We have concluded "that the odor of marijuana, detected by a trained and experienced police officer, can provide a reasonable basis to believe that marijuana is present," but also "that the odor alone may not always be sufficient [to provide probable cause] to arrest an individual."
Guzman
,
¶ 79. In
Guzman
, a police officer stopped the defendant for speeding and, following the stop, "detected the distinct odor of marijuana coming from defendant's vehicle."
¶ 80. In another case in which we considered the odor of marijuana as a factor in determining whether probable cause existed,
State v. Senna
,
¶ 81. In short, our caselaw has made it clear that an odor of marijuana is a factor, but not necessarily a determinative factor, as to whether probable cause exists. See
Guzman
,
¶ 82. Given the circumstances of this case and considering our relevant caselaw examined above, we conclude that Officer *503 Hatch's seizure of plaintiff's vehicle violated plaintiff's rights under Article 11. The seizure, aimed at immobilizing plaintiff's vehicle while the officer sought a search warrant, was essentially based solely on the trooper's initial detection of the faint odor of burnt marijuana, which did not, in and of itself, create a fair probability that marijuana would be found in the vehicle. The other factors posited by the State-the presence of an air freshener and a bottle of Visine, in addition to plaintiff's statement that he had smoked marijuana in the past few days-did not add any probative evidence to establish probable cause to support the seizure.
¶ 83. In its March 2015 order dismissing plaintiff's count alleging that the information supplied by Trooper Hatch did not support the search warrant, the superior court concluded that the probable existence of any amount of marijuana supported the issuance of a warrant to search for contraband. Plaintiff briefly argues on appeal that the court failed to consider whether issuance of the search warrant was unreasonable under the circumstances of this case and that, even if a warrant could be issued for a suspected civil violation, the search could not stand because the preceding seizures were illegal. The critical difference between the seizure of plaintiff's vehicle and the issuance of the search warrant was Officer Hatch's statement in his warrant application, in addition to the other bases he alleged for seeking the warrant, that a dog certified to detect the presence of narcotics, including marijuana, had alerted twice on the trunk of plaintiff's vehicle at the police barracks. This unchallenged statement, in addition to the other indicia of drug use discussed above, established probable cause to issue the warrant. Accordingly, the issuance of the warrant does not constitute a basis for damages pursuant to plaintiff's lawsuit.
V. Summary
¶ 84. In sum, we conclude that a direct private right of action for damages based on alleged flagrant violations of Article 11 is available against the State. The common law doctrine of sovereign immunity does not preclude such an action, even though the VTCA is not applicable. A plaintiff must show either a violation of clearly established law, which the actor knew or should have known he or she was violating, or bad faith, which may take the form of discriminatory animus. In this particular case, we conclude that the stop and seizure of plaintiff's car constituted violations of Article 11. Accordingly, we reverse the superior court's summary judgment ruling in favor of the State. Because the parties heretofore have not had the opportunity to address the elements of a direct action under Article 11 as established in this opinion, we remand the matter to give them an opportunity to file renewed motions for summary judgment, if they so choose. We make no pronouncement at this juncture as to whether the facts of this case are sufficient or insufficient to survive a renewed motion for summary judgment. 23
The superior court's dismissal of plaintiff's count 4 in its March 10, 2015 decision *504 and its grant of summary judgment to the State in its May 10, 2017 decision are reversed; the matter is remanded for further proceedings consistent with this opinion .
The superior court briefly summarized the facts and stated that the material facts are undisputed. Given our resolution of the legal issues presented in this appeal, some of the facts that are disputed could conceivably impact any assessment of liability or any potential damage remedy.
Plaintiff does not make an equal protection claim, but throughout this case he has intimated that the stop, seizure, and search of his vehicle were the result of implied racial bias and racial profiling. In one of the amicus curiae briefs aligned with plaintiff, we are asked to consider, in determining whether and under what circumstances to allow a direct private right of action under Article 11, numerous studies indicating that implicit racial bias is a real and significant problem, not only nationally, but also in Vermont. See S. Seguino & N. Brooks,
Driving While Black and Brown in Vermont
(January 9, 2017), https://www.uvm.edu/giee/pdfs/SeguinoBrooks_Police Race_2017.pdf [https://perma.cc/BEA6-6F7V]; S. Seguino & N. Brooks,
Racial/Ethnic Disparities in Traffic Stops: Analysis of Vermont State Police Data, 2010-15
(June 2016), https://stephanieseguino.weebly.com/uploads/2/3/2/7/23270372/brooks_and_seguino_vsp_2010-15_final.pdf [https://perma.cc/Z6VW-D7T7]; Inst. on Race and Just., Northeastern Univ.,
Vermont State Police: An Examination of Traffic Stop Data, July 1, 2010-December 31, 2015
(May 24, 2016), http://vsp.vermont.gov/sites/vsp/files/documents/VSPPresentation 05242016.pdf [https://perma.cc/5UMM-BGJ6]; see also B. Obama, Commentary,
The President's Role in Advancing Criminal Justice Reform
,
The superior court noted that the parties disagreed as to whether plaintiff acknowledged smoking marijuana in the car in the past and that, according to Trooper Hatch, plaintiff equivocated as to how many days it had been since he smoked marijuana. We do not find that either of these disputes concern material facts.
Plaintiff does not challenge on appeal the superior court's rejection of his claim that Trooper Hatch misrepresented material facts in his application for a search warrant.
The other organizations are Migrant Justice, Vermonters for Criminal Justice Reform, The Root Social Justice Center, The Peace and Justice Center, local chapters of The National Association for the Advancement of Colored People, and Justice for All.
Because the State was content with the superior court's summary judgment ruling in its favor, it was not required to file a cross-appeal challenging the court's conclusion that Article 11 provides an implied private right of action seeking money damages for alleged unlawful searches and seizures. See
Huddleston v. Univ. of Vt.
,
The State did not make this specific argument below; rather, it argued only that the State was immune from suit because it had not waived its immunity in the VTCA. In so arguing, the State noted that this Court had not explicitly addressed the issue of whether the State is entitled to rely on sovereign immunity in defending claims brought under the Vermont Constitution. The superior court determined that Article 11 provided a private right of action for damages arising from violations by the State or its agents and that the VTCA did not apply, but it did not otherwise address the question of sovereign immunity, thereby intimating that Article 11, of its own force, impliedly waived the State's sovereign immunity. We address the State's argument on appeal because it is the primary question with respect to whether plaintiff may go forward with his lawsuit. See
My Sister's Place v. City of Burlington
,
One notable difference is that the FTCA provides that the government is liable "in the same manner and to the same extent as a private individual under
like
circumstances,"
We have pointed out that a situation involving a private analog is distinct from one in which a state employee commits a common law tort "for which the source of their employment is unconnected to the duty of care"-for example, a traffic accident on the way to a meeting.
Kennery
,
Almost forty years ago, in a case where the plaintiff made "no specific claims of unconstitutionality," this Court acknowledged "that many jurisdictions have abolished, and legal commentators have advocated abolition of, the doctrine of sovereign immunity where created by judicial decision."
Lomberg v. Crowley
,
We recognize that the VTCA does not indemnify state employees for gross negligence or willful misconduct, 12 V.S.A. § 5606(c)(1), but as explained above, the Act does not govern constitutional tort claims.
As discussed below, the relevant statute has since been amended to require that registration stickers be kept unobscured.
As noted above, in our view, making the State responsible for the actions of its employees would deter unlawful conduct by motivating the State to better train its employees and to discipline or discharge them when the training proved ineffective. See
Brown
,
Regarding the latter argument, plaintiff contends that adopting the
Heien
holding would be inconsistent with the broader protection we have established under Article 11, see
State v. Pitts
,
As noted by Justice Sotomayor's dissent in
Heien
, all but one of the federal circuit courts, and five states, had previously "held that police mistakes of law [could not be] a factor in the reasonableness inquiry." --- U.S. ----,
In
Lussier
, the defendants in separate consolidated cases challenged motor vehicle stops based on their contention that they had not violated the statutes at issue. We upheld one conviction, concluding that the State had demonstrated a reasonable and articulable basis for the stop because the defendant violated the statute, and we reversed the other conviction, concluding that the State had failed to demonstrate a reasonable and articulable basis for the stop because the defendant did not violate the statute.
Lussier
,
The majority in
Heien
did not set forth a standard for determining whether a law enforcement officer's mistaken interpretation of a law was objectively reasonable, but the concurrence emphasized that, to pass constitutional muster, the mistake would have to be one of those rare instances where the statute was "genuinely ambiguous, such that overturning the officer's judgment [would] require[ ] hard interpretive work."
Heien
, --- U.S. ----,
Relying on
Thompson
,
With respect to the exit order and the seizure and search of plaintiff's vehicle, the parties extensively debate the significance of the fact that at the time of the stop adult possession of less than one ounce of marijuana was not a crime but rather a civil violation subject only to a fine. Compare 18 V.S.A. § 4230a(a) -(b) (2017), with 2017, No. 86 (Adj. Sess.), § 4 (amending § 4230a to remove all criminal and civil penalties for adult possession of one ounce or less of marijuana). Plaintiff contends that Article 11 does not permit exit orders for suspected civil violations and that, in this case, Trooper Hatch had no objectively reasonable suspicion that plaintiff had in his possession more than one ounce of marijuana. On that basis, plaintiff seeks to distinguish
State v. Ford
, where we upheld an exit order based in part on the odor of marijuana emanating from the vehicle.
In 2014, after the instant stop occurred, the Legislature amended § 1201(a)(3) by deleting the phrase, "to a degree which renders the person incapable of driving safely," which had followed the words, "and any other drug." See 2013, No. 169 (Adj. Sess.), § 1. This fact has no impact on our analysis.
Neither Trooper Hatch in his application for a search warrant, nor the State in its statement of undisputed facts, indicated that the trooper observed redness in plaintiff's eyes following the stop.
In
Guzman
, we quoted a Massachusetts court for the proposition that most other courts considering the question of when the odor of marijuana is sufficient to support probable cause "agree that 'the odor of marijuana is sufficiently distinctive that it alone can supply probable cause to believe that marijuana is nearby.' "
Guzman
,
The State notes in its brief that plaintiff did not make an equal protection claim or allege racial discrimination in its complaint. Although plaintiff has consistently suggested throughout these proceedings that Trooper Hatch's stated reasons for his actions were driven by implicit discriminatory bias, he has made no equal protection claim under the Common Benefits Clause and cannot do so on remand. He may, however, in the context of his Article 11 claim, seek to demonstrate that he can produce evidence in which a factfinder could find bad faith in the form of discriminatory bias, which is one of the elements established in this opinion for such a claim.
Reference
- Full Case Name
- Gregory W. ZULLO v. STATE of Vermont
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- 19 cases
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- Published