Pliakos v. Manchester, N H , et al.
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Opinion
Pliakos v . Manchester, N H , et a l . CV-01-461-M 07/15/03 UNITED STATES DISTRICT COURT
DISTRICT OF NEW HAMPSHIRE
Faye Pliakos, Administrator of the Estate of Konstantinos Pliakos, Plaintiff
v. Civil N o . 01-461-M Opinion N o . 2003 DNH 118 City of Manchester, New Hampshire Police Chief Mark Driscoll, Sergeant Lloyd Doughty, Officers Maureen Tessier, William Jones, Marc Lachance, and David Laferriere, Defendants
O R D E R
On October 1 3 , 1999, Konstantinos Pliakos died while in the
custody of Manchester police officers. Faye Pliakos, the
administrator of his estate, brings this action against the City
of Manchester, its chief of police (in his official capacity),
and several members of its police force, seeking compensatory,
enhanced compensatory, and punitive damages. In short, plaintiff
says the individual defendants violated M r . Pliakos’s state and
federal rights when, after engaging in a violent struggle with
Pliakos incident to taking him into custody, they handcuffed him and left him on his stomach for approximately five minutes. At
some point during that period, Pliakos asphyxiated.
Plaintiff’s fourteen count complaint sets forth two federal
claims pursuant to 42 U.S.C. § 1983: one against the individual
police officers for having used excessive force to restrain
Pliakos, in violation of his federally protected civil rights
(count o n e ) ; and one against the City and its police chief (in
his official capacity) for failing to properly hire and train the
City’s police officers (count three). 1 Defendants assert that
the undisputed material facts establish that they are entitled to
judgment as a matter of law. Accordingly, they move for summary
judgment. Plaintiff objects.
Standard of Review
When ruling on a party’s motion for summary judgment, the
court must “view the entire record in the light most hospitable
to the party opposing summary judgment, indulging all reasonable
1 By order dated May 7 , 2002, the court granted defendants’ motion to dismiss count two of plaintiff’s complaint - a claim against the individual police officers for having engaged in a conspiracy to violate Pliakos’s federally protected rights.
2 inferences in that party’s favor.” Griggs-Ryan v . Smith, 904
F.2d 1 1 2 , 115 (1st Cir. 1990). Summary judgment is appropriate
when the record reveals “no genuine issue as to any material fact
and . . . the moving party is entitled to a judgment as a matter
of law.” Fed. R. Civ. P. 56(c). In this context, “a fact is
‘material’ if it potentially affects the outcome of the suit and
a dispute over it is ‘genuine’ if the parties’ positions on the
issue are supported by conflicting evidence.” International
Ass’n of Machinists & Aero. Workers v . Winship Green Nursing
Ctr., 103 F.3d 196, 199-200 (1st Cir. 1996) (citations omitted).
Nevertheless, if the non-moving party’s “evidence is merely
colorable, or is not significantly probative,” no genuine dispute
as to a material fact has been proved, and “summary judgment may
be granted.” Anderson v . Liberty Lobby, Inc., 477 U.S. 2 4 2 , 249-
50 (1986) (citations omitted). As the Court of Appeals for the
First Circuit has observed, “the evidence illustrating the
factual controversy cannot be conjectural or problematic; it must
have substance in the sense that it limns differing versions of
the truth which a factfinder must resolve at an ensuing trial.
Conclusory allegations, improbable inferences, and unsupported
3 speculation will not suffice.” Cadle C o . v . Hayes, 116 F.3d 9 5 7 ,
960 (1st Cir. 1997) (citations and internal quotation marks
omitted).
The key, then, to defeating a properly supported motion for
summary judgment is the non-movant’s ability to support his or
her claims concerning disputed material facts with evidence that
conflicts with that proffered by the moving party. See generally
Fed. R. Civ. P. 56(e). Consequently, while a reviewing court
must take into account all properly documented facts, it may
ignore bald assertions, unsupported conclusions, and mere
speculation, see Serapion v . Martinez, 119 F.3d 9 8 2 , 987 (1st
Cir. 1997), as well as those allegations “which have since been
conclusively contradicted by [the non-moving party’s] concessions
or otherwise,” Chongris v . Board of Appeals, 811 F.2d 3 6 , 37 (1st
Cir. 1987). 2
2 Here, for example, plaintiff concedes that, notwithstanding the allegations in her complaint to the contrary, Pliakos was not “hog-tied” at any time during the morning in question. See Plaintiff’s memorandum at 1 0 , n.*.
4 Background
Based upon the deposition testimony of the individual
defendants and the State Police report of investigation into the
circumstances surrounding M r . Pliakos’s death, the parties agree
on the material facts that led up to Pliakos’s arrest. They also
agree that the officers used reasonable force in subduing Pliakos
and taking him into custody. They disagree, however, as to
whether the responding officers’ conduct was “objectively
reasonable” once Pliakos was handcuffed and in the officers’
custody.
I. Events Leading to Pliakos’s Arrest.
At approximately 3:19 a.m. on October 1 3 , 1999, the
Manchester Police Department received a 911 emergency call from a
person who reported that a large, naked man was shouting
incoherently and running into traffic on Interstate Highway 293.
Approximately five minutes later, Officers Tessier and Jones were
instructed to respond. According to Manchester police dispatch
records, at 3:32:28 a.m., Tessier informed her dispatcher that
she had arrived at the scene. See Exhibit 8 to defendants’
5 memorandum, N.H. State Police Time Analysis of Manchester Police
Department Radio Dispatch Tape.
As Tessier approached Pliakos, who weighed approximately 300
pounds and was not wearing any clothing, she saw that he was
lying underneath the center guardrail which divides the
northbound and southbound lanes of Interstate 293. She
illuminated him with her flashlight and asked if he was alright.
Pliakos got to his feet and suddenly attacked her, biting her
head and gouging her eyes with his fingers. Before additional
officers arrived at the scene, Tessier managed to free herself
from Pliakos, only to be attacked by him at least two more times.
Tessier recovered from the attacks and, by using a remote door
release, she was eventually able to release a police dog from her
cruiser, which attempted to subdue Pliakos. Nevertheless,
Pliakos managed to kick and beat the dog away. Pliakos then
turned his attention back to Tessier and grabbed her. She
managed to shove him away and he fell to the ground.
At that point, Officer Jones arrived at the scene.
Meanwhile, Pliakos was able to get back to his feet and again
6 advanced toward Tessier. She directed the dog to subdue Pliakos
again, and the dog managed to bite Pliakos on the thigh.
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Pliakos v . Manchester, N H , et a l . CV-01-461-M 07/15/03 UNITED STATES DISTRICT COURT
DISTRICT OF NEW HAMPSHIRE
Faye Pliakos, Administrator of the Estate of Konstantinos Pliakos, Plaintiff
v. Civil N o . 01-461-M Opinion N o . 2003 DNH 118 City of Manchester, New Hampshire Police Chief Mark Driscoll, Sergeant Lloyd Doughty, Officers Maureen Tessier, William Jones, Marc Lachance, and David Laferriere, Defendants
O R D E R
On October 1 3 , 1999, Konstantinos Pliakos died while in the
custody of Manchester police officers. Faye Pliakos, the
administrator of his estate, brings this action against the City
of Manchester, its chief of police (in his official capacity),
and several members of its police force, seeking compensatory,
enhanced compensatory, and punitive damages. In short, plaintiff
says the individual defendants violated M r . Pliakos’s state and
federal rights when, after engaging in a violent struggle with
Pliakos incident to taking him into custody, they handcuffed him and left him on his stomach for approximately five minutes. At
some point during that period, Pliakos asphyxiated.
Plaintiff’s fourteen count complaint sets forth two federal
claims pursuant to 42 U.S.C. § 1983: one against the individual
police officers for having used excessive force to restrain
Pliakos, in violation of his federally protected civil rights
(count o n e ) ; and one against the City and its police chief (in
his official capacity) for failing to properly hire and train the
City’s police officers (count three). 1 Defendants assert that
the undisputed material facts establish that they are entitled to
judgment as a matter of law. Accordingly, they move for summary
judgment. Plaintiff objects.
Standard of Review
When ruling on a party’s motion for summary judgment, the
court must “view the entire record in the light most hospitable
to the party opposing summary judgment, indulging all reasonable
1 By order dated May 7 , 2002, the court granted defendants’ motion to dismiss count two of plaintiff’s complaint - a claim against the individual police officers for having engaged in a conspiracy to violate Pliakos’s federally protected rights.
2 inferences in that party’s favor.” Griggs-Ryan v . Smith, 904
F.2d 1 1 2 , 115 (1st Cir. 1990). Summary judgment is appropriate
when the record reveals “no genuine issue as to any material fact
and . . . the moving party is entitled to a judgment as a matter
of law.” Fed. R. Civ. P. 56(c). In this context, “a fact is
‘material’ if it potentially affects the outcome of the suit and
a dispute over it is ‘genuine’ if the parties’ positions on the
issue are supported by conflicting evidence.” International
Ass’n of Machinists & Aero. Workers v . Winship Green Nursing
Ctr., 103 F.3d 196, 199-200 (1st Cir. 1996) (citations omitted).
Nevertheless, if the non-moving party’s “evidence is merely
colorable, or is not significantly probative,” no genuine dispute
as to a material fact has been proved, and “summary judgment may
be granted.” Anderson v . Liberty Lobby, Inc., 477 U.S. 2 4 2 , 249-
50 (1986) (citations omitted). As the Court of Appeals for the
First Circuit has observed, “the evidence illustrating the
factual controversy cannot be conjectural or problematic; it must
have substance in the sense that it limns differing versions of
the truth which a factfinder must resolve at an ensuing trial.
Conclusory allegations, improbable inferences, and unsupported
3 speculation will not suffice.” Cadle C o . v . Hayes, 116 F.3d 9 5 7 ,
960 (1st Cir. 1997) (citations and internal quotation marks
omitted).
The key, then, to defeating a properly supported motion for
summary judgment is the non-movant’s ability to support his or
her claims concerning disputed material facts with evidence that
conflicts with that proffered by the moving party. See generally
Fed. R. Civ. P. 56(e). Consequently, while a reviewing court
must take into account all properly documented facts, it may
ignore bald assertions, unsupported conclusions, and mere
speculation, see Serapion v . Martinez, 119 F.3d 9 8 2 , 987 (1st
Cir. 1997), as well as those allegations “which have since been
conclusively contradicted by [the non-moving party’s] concessions
or otherwise,” Chongris v . Board of Appeals, 811 F.2d 3 6 , 37 (1st
Cir. 1987). 2
2 Here, for example, plaintiff concedes that, notwithstanding the allegations in her complaint to the contrary, Pliakos was not “hog-tied” at any time during the morning in question. See Plaintiff’s memorandum at 1 0 , n.*.
4 Background
Based upon the deposition testimony of the individual
defendants and the State Police report of investigation into the
circumstances surrounding M r . Pliakos’s death, the parties agree
on the material facts that led up to Pliakos’s arrest. They also
agree that the officers used reasonable force in subduing Pliakos
and taking him into custody. They disagree, however, as to
whether the responding officers’ conduct was “objectively
reasonable” once Pliakos was handcuffed and in the officers’
custody.
I. Events Leading to Pliakos’s Arrest.
At approximately 3:19 a.m. on October 1 3 , 1999, the
Manchester Police Department received a 911 emergency call from a
person who reported that a large, naked man was shouting
incoherently and running into traffic on Interstate Highway 293.
Approximately five minutes later, Officers Tessier and Jones were
instructed to respond. According to Manchester police dispatch
records, at 3:32:28 a.m., Tessier informed her dispatcher that
she had arrived at the scene. See Exhibit 8 to defendants’
5 memorandum, N.H. State Police Time Analysis of Manchester Police
Department Radio Dispatch Tape.
As Tessier approached Pliakos, who weighed approximately 300
pounds and was not wearing any clothing, she saw that he was
lying underneath the center guardrail which divides the
northbound and southbound lanes of Interstate 293. She
illuminated him with her flashlight and asked if he was alright.
Pliakos got to his feet and suddenly attacked her, biting her
head and gouging her eyes with his fingers. Before additional
officers arrived at the scene, Tessier managed to free herself
from Pliakos, only to be attacked by him at least two more times.
Tessier recovered from the attacks and, by using a remote door
release, she was eventually able to release a police dog from her
cruiser, which attempted to subdue Pliakos. Nevertheless,
Pliakos managed to kick and beat the dog away. Pliakos then
turned his attention back to Tessier and grabbed her. She
managed to shove him away and he fell to the ground.
At that point, Officer Jones arrived at the scene.
Meanwhile, Pliakos was able to get back to his feet and again
6 advanced toward Tessier. She directed the dog to subdue Pliakos
again, and the dog managed to bite Pliakos on the thigh. Again,
however, Pliakos was able to knock the dog away. Tessier
repeatedly commanded Pliakos to stop, but he advanced toward her
and grabbed her. According to Tessier, she feared that her
service weapon was in jeopardy, so she struck Pliakos on the
shoulder with her flashlight, causing him to disengage. As Jones
approached the scene, Pliakos dashed toward Tessier’s cruiser
(which she had left running, with the lights o n ) . Pliakos
climbed in and got behind the wheel. Tessier jumped into the
vehicle and positioned herself between Pliakos and the steering
wheel, in an effort to prevent him from operating the vehicle and
driving off. Tessier and Pliakos struggled, while Jones
attempted to pull Pliakos from the vehicle - efforts that were
hampered by virtue of the fact that Pliakos was not wearing any
clothes. Tessier succeeded in keeping Pliakos’s hands away from
the gearshift and was finally able to remove the key from the
ignition, as Jones sprayed Pliakos on the side of his face with a
one or two-second burst of oleoresin capsicum aerosol (also known
as OC spray or cap stun). Pliakos did not respond and continued
7 to struggle, prompting Jones to spray him again, this time
directly in the face.
Pliakos then became less combative and the officers
struggled to pull him from the vehicle. Once they succeeded in
doing s o , they leaned Pliakos over a nearby highway guardrail
(with his feet remaining on the ground). Although Jones was able
to secure a handcuff to one of Pliakos’s wrists, Pliakos renewed
his struggle with the officers in an effort to free his arms. At
about that time, Officer Lachance arrived at the scene and
attempted to assist the other officers in restraining Pliakos.
During the struggle, the officers pulled Pliakos off the
guardrail and wrestled him to the ground on the side of the
highway.
Once Pliakos was on the ground, lying on his stomach, the
officers were able to secure the other handcuff to his free
wrist. At 3:33:57 a.m. - one minute and 29 seconds after Tessier
first arrived at the scene - Sergeant Doughty advised Manchester
police dispatch that Pliakos was in custody. Up to that point,
plaintiff concedes that the conduct of the responding police
8 officers was reasonable under the circumstances and the force
used in an effort to subdue Pliakos was neither unreasonable nor
excessive.
II. Pliakos’s Subsequent Death.
Although both wrists were cuffed and he was lying on his
stomach, Pliakos continued to struggle, trying to roll over onto
his shoulder so he could stand u p . Officers Jones and Lachance
responded by holding him down on the ground - one officer leaned
against his mid-back with his knee, while the other applied
pressure to Pliakos’s shoulders.
The officers’ accounts of the events that followed differ
somewhat; in particular, each officer recalls the duration of
Pliakos’s continued resistance slightly differently. Officer
Lachance recalls that Pliakos “was struggling the whole time that
[he] had contact with [Pliakos], sometimes more strenuously than
others. . . . to the best of [Lachance’s] recollection, [he and
other officers] were struggling with him right up until the wagon
arrived and [officers] said, ‘Okay, get up.’” Exhibit 6 to
plaintiff’s memorandum, deposition of Marc Lachance at 3 5 .
9 Officer Tessier, who was no longer immediately beside Pliakos,
recalls that she saw him struggling with the officers up until
“maybe ten seconds or so” before he was told to get to his feet.
Exhibit 4 to plaintiff’s memorandum, deposition of Maureen
Tessier at 4 4 . Officer Jones recalls that about two minutes
after Pliakos was wrestled to the ground and the other handcuff
secured to his free wrist, he stopped resisting. Exhibit 5 to
plaintiff’s memorandum, deposition of William Jones at 32
(stating that approximately three minutes elapsed after Pliakos
stopped struggling and he was told to get to his feet). See also
Exhibit 8 to defendants’ memorandum, N.H. State Police Time
Analysis of Manchester Police Department Radio Dispatch Tape
(noting that 4 minutes and 57 seconds elapsed between the time
Sergeant Doughty reported that Pliakos was in custody and an
ambulance was requested). Viewing the facts in the light most
favorable to plaintiff, the court will assume that Officer Jones’
recollection of the events in question is most accurate.
According to Jones, about two minutes after Pliakos stopped
struggling and while he remained handcuffed and lying on his
stomach, Jones heard Pliakos exhale. Jones deposition at 3 2 .
10 Jones says he thought it was simply a result of Pliakos being
tired, and interpreted it as evidence of his decision to finally
stop struggling and submit to the arrest. Nevertheless, Jones
and Lachance remained immediately beside Pliakos, poised to hold
him down again if he resumed his efforts to get to his feet. Id.
at 34 (stating that he recalled that Lachance kept his knee on or
near Pliakos’s shoulder and, as to his own conduct, saying, “It
wasn’t more of holding him, it was more or less just keeping [my]
knee there [i.e., near Pliakos’s back] so that if he did attempt
to get back up again I could push him back down with the knee.”).
Meanwhile, with Pliakos in custody, Tessier left the scene
to secure both her canine partner and her cruiser, while Officers
Leighton and Chandonnet examined and treated her injuries. At
about the same time, the police “wagon” (which had been summoned
earlier) arrived to transport Pliakos. According to Officer
Jones, about one minute after he heard Pliakos exhale, Officer
Laferriere came over and instructed Pliakos to get to his feet.
Id. at 3 2 . When Pliakos did not respond to Laferriere’s command,
Laferriere and Jones attempted to lift Pliakos to his feet and
escort him to the police wagon. Pliakos remained unresponsive.
11 Accordingly, the officers rolled Pliakos onto his back and
discovered that he was not breathing and that his lips were blue.
They immediately began CPR, while an ambulance was summoned.
According to Manchester police dispatch logs, the ambulance was
summoned at 3:38:54 a.m., approximately six and one-half minutes
after Tessier arrived at the scene and discovered Pliakos hiding
under the guardrail. Plainly, then, the events in question (many
of which were quite violent) occurred during a decidedly brief
period of time.
Since Pliakos was “in custody” and restrained on his stomach
for just under five minutes, see State Police Time Analysis at 3 ,
and because Jones recalls that he was told to get to his feet
approximately three minutes after he stopped struggling, see
Jones deposition at 3 2 , he stopped struggling about two minutes
after he was taken to the ground and the second handcuff secured
to his free wrist. S o , viewing the record evidence in the light
most favorable to plaintiff, the following time line can be
constructed with regard to the nearly five minutes Pliakos was
restrained on his stomach: (1) after Pliakos was wrestled to the
ground and the second handcuff secured to his free wrist,
12 Sergeant Doughty notified Manchester dispatch that he was “in
custody”; (2) Pliakos continued to struggle with the officers for
about two minutes before he finally stopped resisting arrest; (3)
about two minutes later, Jones heard him exhale; and (4) about
one minute after that, Pliakos was told to get to his feet, at
which time the officers discovered that he was not breathing,
began CPR, and summoned an ambulance.
Manchester police officers continued their efforts to
resuscitate Pliakos until the ambulance arrived and emergency
medical technicians took over. Jones removed Pliakos’s handcuffs
and resuscitation efforts continued, as Pliakos was taken to the
ambulance. Efforts to revive him at the scene were unsuccessful
and he was pronounced dead at a local hospital later that
morning.
III. The Autopsy.
That same day, the state medical examiner performed an
autopsy on M r . Pliakos. His report included the following
conclusions:
13 Cause of death: Asphyxia [due to] compression of chest, rear handcuffing and prone position after physical struggle with multiple blunt impacts [due to] acute cocaine intoxication with agitated delirium.
Contributory Cause of Death: Bipolar affective disorder; obesity with cardiac hypertrophy [i.e., an enlarged heart].
Exhibit 1 to plaintiff’s memorandum, Final Cause of Death Report
at 1 . In the summary portion of his report, the medical examiner
gave the following opinion:
It is my opinion that Konstantinos Pliakos, a 23 year old white male, died as a result of a complex interplay of several factors over a relatively short period of time (less that five minutes in total). . . . The factors include: 1 ) acute cocaine intoxication with agitated delirium, 2 ) asphyxia, 3 ) physical exertion with multiple impacts, 4 ) prone positioning during struggle and restraint, 5 ) transient compression of the chest from the back, 6 ) rear handcuffing, 7 ) obesity with cardiac hypertrophy, and 8 ) bipolar affective disorder.
Id. at 9.
IV. The Manchester Police Training Video.
Prior to the events underlying this litigation, the
Manchester Police Department produced a training video on the
14 subject of restraint asphyxia, a rare3 phenomenon that can occur
when several factors coalesce and make it difficult for a
restrained individual to breath. In that video, the training
officer cautions that, “[p]ositional asphyxia basically is a
death as a result of the body position, which interferes with
one’s ability to breath, and it occurs when a confrontational
situation with law enforcement, or anyone for that matter, takes
place.” Exhibit 8 to plaintiff’s memorandum, Transcript of Video
Presentation on the Subject of Positional Asphyxia, at 1 . Later
in the presentation, the training officer says:
The paper goes on to give us some guidelines for caring for subdued subjects. The New York City Police Department also has some guidelines for caring [for] your subdued subject. And what the paper, the Justice Institute, recommends and NYPD recommends is that as soon as the subject is handcuffed, it’s imperative to get that person . . . off his stomach. Either turn [the subject] on the side or place him in a seated position. If a person continues to struggle, don’t sit on his back. They say you can hold his legs down, wrap his legs, wrap his legs with a strap, but please try not to sit on the person’s back. It also recommends that we do not tie the handcuffs [and] the leg ankle restraints to each other much in a hog-tie manner.
3 Plaintiff’s complaint quotes the state medical examiner’s report for the proposition that “the phenomenon of ‘restraint asphyxia’ is well described in the forensic medicine literature with nearly 120 case reported [in the past 15 years].” Complaint at para. 2 4 .
15 . . . If you observe the condition of decreased respirations or difficulty with respirations, get the subject immediate medical attention.
Id. at 3 . That video tape was shown during at least some of the
Manchester Police Department roll call meetings in the days
immediately before Pliakos’s death. Each of the officers
involved in that incident, however, denies having seen the video
until some time after the events of October 1 3 , 1999.
Discussion
I. Claims Against the Individual Police Officers.
Plaintiff asserts that the defendant police officers’
decision to leave Pliakos on his stomach, with his hands cuffed
behind him, caused him to die of positional asphyxia. Some of
the “risk factors” that can contribute to positional asphyxia
that were present in this case include: (1) obesity; (2) cardiac
hypertrophy; (3) drug intoxication; (4) participation in a
violent struggle or other excited behavior (causing the heart to
race and adrenaline levels to rise); (5) exposure to OC spray;
and (6) use of rear handcuffing while the subject is in a prone
position, on his or her stomach. See, e.g., Exhibit 8 to
plaintiff’s memorandum, Transcript of Video Presentation on the
16 Subject of Positional Asphyxia; Exhibit 9 to plaintiff’s
memorandum, affidavit of Michael Cosgrove at para. 9.
Plaintiff says that since the Manchester Police Department
had in its possession a training video on positional asphyxia and
presented that video at roll call to at least some of its
officers in the days immediately preceding the incidents involved
in this case, the individual defendants knew or should have known
that Pliakos was at high risk for positional asphyxia.
Accordingly, says plaintiff, the officers at the scene should not
have left him restrained, lying on his stomach. Instead, they
should have either: (1) rolled him onto his back or positioned
him in a seated position; or (2) if they decided that, for
legitimate security reasons, he needed to remain on his stomach
(to minimize the risk that he again attempt to get to his feet
and flee, possibly into oncoming traffic on the highway), more
carefully monitored his breathing until the transport wagon
arrived and Pliakos was removed from the ground.
While plaintiff does not challenge any of the officers’
conduct leading up to Pliakos’s arrest, she alleges that, by
17 leaving him on his stomach despite his risk of positional
asphyxia, the officers used excessive force in effectuating his
arrest and, in so doing, violated Pliakos’s clearly established
Fourth Amendment right to be free from unreasonable seizures.
Consequently, what distinguishes this case from the typical one
involving claims of excessive force is that plaintiff says the
officers’ inaction (i.e., failing to reorient Pliakos once he was
secure and/or failing to more carefully monitor his breathing)
constitutes excessive force:
An objectively reasonable officer should have been aware of the grave danger presented by continuing to restrain M r . Pliakos in the rear handcuffed, prone position. Despite the well-documented danger of restraint asphyxia, M r . Pliakos was restrained in this position for approximately five minutes - long after he was subdued. During this time, the defendant police officers could have easily adjusted Pliakos’ body position to eliminate the danger of restraint asphyxia - they failed to do s o . Alternatively, they could have closely monitored his breathing - the undisputed material facts demonstrate that they did not. Instead, Mr. Pliakos slowly suffocated to death. Therefore, notwithstanding defendants’ prior reasonable application of force, maintaining the restraint, while neglecting to monitor M r . Pliakos’ vital signs, was excessive and in violation of his fourth amendment rights.
As stated above, the plaintiff [does] not allege that the defendant officers’ efforts to subdue Pliakos
18 constituted excessive force. However, continuing to restrain him, after he was handcuffed and subdued, in a position that posed an obvious and significant threat of restraint asphyxia, was excessive.
Plaintiff’s memorandum at 9, 13 (emphasis in original).
The individual police officers, on the other hand, deny that
their conduct was in any way violative of Pliakos’s
constitutional rights and say that all force used in effecting
his arrest and maintaining custody was reasonable under the
circumstances. Moreover, those officers claim that even i f , with
the benefit of hindsight, one might reasonably conclude that
Pliakos’s Fourth Amendment rights were violated, they are still
entitled to qualified immunity, since a reasonable police officer
presented with the same circumstances would not have realized
that simply leaving Pliakos on his stomach for the brief period
of time after he stopped struggling, and failing to notice that
he had stopped breathing for approximately one minute, would
amount to the use of excessive force.
19 A. Excessive Force.
The United States Supreme Court has made clear that “all
claims that law enforcement officers have used excessive force -
deadly or not - in the course of an arrest, investigatory stop,
or other ‘seizure’ of a free citizen should be analyzed under the
Fourth Amendment and its ‘reasonableness’ standard, rather than
under a ‘substantive due process’ approach.” Graham v . Connor,
490 U.S. 386, 395 (1989) (emphasis in original). Plaintiff
implicitly acknowledges this. S o , while her complaint alleges
that defendants violated Pliakos’s “rights secured by the fourth,
eighth and fourteenth amendment to the United States
Constitution,” complaint at para. 1 , in her memorandum in
opposition to summary judgment, she correctly presses only her
Fourth Amendment claim.
The Fourth Amendment to the Constitution guarantees the
right of individuals to be free from “unreasonable searches and
seizures.” Not surprisingly, then, a police officer violates the
Fourth Amendment when he or she uses force that is not
“reasonable,” given all the attendant circumstances.
20 Determining whether the force used to effect a particular seizure is “reasonable” under the Fourth Amendment requires a careful balancing of the nature and quality of the intrusion on the individual’s Fourth Amendment interests against the countervailing governmental interests at stake. . . . Because the test of reasonableness under the Fourth Amendment is not capable of precise definition or mechanical application, however, its proper application requires careful attention to the facts and circumstances of each particular case, including the severity of the crime at issue, whether the suspect poses an immediate threat to the safety of the officers or others, and whether he is actively resisting arrest or attempting to evade arrest by flight.
Graham, 490 U.S. at 396 (citations and internal quotation marks
omitted) (emphasis supplied). The Court has, however, cautioned
that the “calculus of reasonableness must embody allowances for
the fact that police officers are often forced to make split-
second judgments - in circumstances that are tense, uncertain,
and rapidly evolving - about the amount of force that is
necessary in a particular situation. Id. at 396-97. It is also
important to note that the determination of whether an officer’s
conduct was “reasonable” is an objective one. Consequently, the
individual officer’s subjective intent and motivation are not
relevant. See Graham, 490 U.S. at 397 (“[T]he ‘reasonableness’
inquiry in an excessive force case is an objective one: the
question is whether the officers’ actions are ‘objectively
21 reasonable’ in light of the facts and circumstances confronting
them, without regard to their underlying intent or motivation.”).
See also Jarrett v . Yarmouth, __ F.3d __, 2003 WL 21012641 at *8
(1st Cir. May 6, 2003) (“[O]bjective reasonableness is the
touchstone of the excessive force inquiry.”).
Perhaps due to the fact that deaths in police custody as a
result of positional asphyxia are very rare - according to
plaintiff’s complaint, averaging fewer than 10 each year
(presumably nationwide) over the past 15 years - the court of
appeals for this circuit has yet to confront such a case. A few
other federal courts have, however, been presented with cases
involving deaths caused by positional asphyxia. In 1997, for
example, the Court of Appeals for the Seventh Circuit considered
a case involving positional asphyxia death under circumstances
very much like those involved in this case. Estate of Phillips
v . City of Milwaukee, 123 F.3d 586 (7th Cir. 1997). There, as
here, the plaintiff did not claim that the defendant officers
used excessive force at any time prior to the point at which the
subject was handcuffed. Instead, like the plaintiff in this
case, the decedent’s estate asserted that “the excessive force
22 occurred during the few minutes that [the decedent] was on the
floor in a prone position.” Id. at 591-92.
Notwithstanding the plaintiff’s concession that much of the
police officers’ conduct was objectively reasonable, the court of
appeals recognized that, because a determination of whether the
officers acted reasonably turned upon an analysis of “the
totality of the circumstances surrounding the encounter,” it was
appropriate to discuss in detail the facts prompting the officers
to be called to the scene, as well as the violent struggle that
ensued when they were confronted by the decedent. The court then
focused its attention on the officers’ decision to leave the
decedent handcuffed, in a prone position on the floor.
Mr. Phillips was placed in a prone position with his hands and legs restrained because of the need to incapacitate him and to protect the safety of the officers and other witnesses from the dangers posed by Mr. Phillips’ violent behavior. Restraining a person in a rone position is not, in and of itself, excessive force when the person restrained is resisting arrest. The medical evidence and witness testimony in this case c shows that the officers did not punch, slap, kick or otherwise deliver a blow to M r . Phillips’ body.
Here, the officers did not hog-tie, choke or transport Mr. Phillips. Nor were his medical conditions . . .
23 which were contributing factors to M r . Phillips’ death, observable to the untrained eye. None of the plaintiffs’ materials supports that restraining an individual in a prone position carries with it a substantial risk of causing death or serious bodily harm. The officers placed M r . Phillips in a face down position to restrain him from injuring himself and others. That force, it turned out, when combined with Mr. Phillips’ other health problems, resulted in M r . Phillips’ death. But the question is not whether the officers’ actions aggravated an undiscovered injury oro condition, but whether their actions were objectively reasonable under the circumstances. Placing M r . Phillips in a prone position was reasonable under the circumstances and therefore comported with the Fourth Amendment.
Id. at 593-94 (citations and internal quotation marks omitted)
(emphasis supplied). Having concluded that the officers’ conduct
was objectively reasonable, the court held that they were
entitled to judgment as a matter of law.
More recently, under circumstances far less favorable to the
defendant officers, the Court of Appeals for the Fifth Circuit
also concluded that police officers did not violate the Fourth
Amendment rights of a suspect who died of positional asphyxia
while in their custody. Wagner v . Bay City, 227 F.3d 316 (5th
Cir. 2000). There, the defendant police officers engaged the
subject in a violent struggle, during which they sprayed him with
24 cap stun a number of times. Eventually, they subdued him,
handcuffed him with his hands behind his back, and forcibly
restrained him on his stomach - one officer kept his knee on the
subject’s back while another “kept pushing [the subject’s] neck
and head to the ground with a stick.” Id. at 319 (internal
quotation marks omitted). At least one witness said that
although the subject was no longer combative, the officers
continued to treat him “aggressively.” Id. at 321. Although the
subject was no longer struggling (and because he may well have
lost consciousness), the officers carried him to a police
cruiser, where they placed him on his stomach and transported him
to the county jail. During the drive to the jail, the
transporting officer heard the subject make a couple “groans and
grunts,” but did not speak with him nor did the officer attempt
to verify that he was breathing without difficulty. Id. at 319.
Once at the jail, the subject again had to be carried by the
officers, at least one of whom reported that he was unsure
whether the subject was conscious. The subject was
carried/dragged into a cell, where he was again placed on his
stomach. At that point, one of the arresting officers noticed
25 that the subject did not appear to be breathing. The officers
removed his handcuffs, turned him over, and began CPR. He was
then transported to a local hospital, where he slipped into a
coma and eventually died. Id.
Ultimately, the court concluded that there were “no apparent
physical signs that [the subject] was substantially at risk” of
harm from the form of restraint employed, and “nothing about the
use of chemical spray or even a choke-hold was objectively-
unreasonable conduct where the suspect physically resisted
arrest.” Id. at 324. Accordingly, the court held that the
defendant police officers’ actions “were all consistent with the
idea that they merely were trying to restrain a violent
individual. Thus, those actions were objectively reasonable in
the context of this dangerous situation that [the decedent]
created, and we therefore reverse the denial of summary judgment
on the excessive force claim.” Id.
The Court of Appeals for the Eleventh Circuit reached a
similar conclusion in Cottrell v . Caldwell, 85 F.3d 1480 (11th
Cir. 1996). In that case, after a lengthy struggle with an
26 individual who was both violent and mentally ill, the defendant
police officers were finally able to restrain him. They then
placed him face down in a police cruiser, with his legs
restrained and hands cuffed behind his back. During the brief
(approximately five-minute) ride to the police station, the
decedent died of positional asphyxia. As is the case here, the
plaintiff claimed that the defendant police officers employed
excessive force by improperly restraining the decedent and then
failing to adequately monitor his breathing, in violation of the
Fourth Amendment. In support of that claim, the plaintiff
introduced expert testimony to the effect that: (1) “it was well
known by police on the day of [the decedent’s] death [that]
improper restraint of arrested persons, particularly those on
medication and/or who have engaged in strenuous activity, could
quickly cause death by asphyxiation;” and (2) “generally accepted
United States police custom and practice dictates that arrested
persons whose hands and legs have been restrained [not be left
face-down in a prone position],” and (3) “generally accepted
United States police custom and practice also dictates that, no
matter how they may be restrained, arresting officers constantly
27 monitor the health and well-being of persons in their custody.”
Id. at 1488-89.
Nevertheless, the court concluded that the defendant police
officers did not, as a matter of law, act in an objectively
unreasonable fashion and held that “the events surrounding the
arrest and the force applied make it clear that there is no
genuine issue of material fact concerning excessive force in this
case, and the defendant officers are entitled to summary judgment
as a matter of law.” Id. at 1492. See also Fernandez v . Cooper
City, 207 F. Supp. 2d 1371, 1379-80 (S.D. Fla. 2002) (officers
did not use excessive force in restraining subject who eventually
died of positional asphyxia, notwithstanding fact that, during a
struggle, they sprayed him with cap stun, retrained him in a
prone position with handcuffs behind his back, and applied
pressure to his torso to keep him in that position); Tofano v .
Reidel, 61 F. Supp. 2d 289, 300 (D.N.J. 1999) (police officers
did not use excessive force on subject who ultimately died of
positional asphyxia, despite fact that they engaged him in
violent struggle, sprayed him with cap stun, and restrained him
in a prone position on the ground); Price v . County of San Diego,
28 990 F. Supp. 1230, 1237-41 (S.D. Cal. 1998) (police officers did
not use excessive force on subject who died of positional
asphyxia, notwithstanding fact that they hog-tied him and left
him in a prone position, on hot asphalt, for several minutes
without monitoring his breathing). But see Cruz v . Laramie, 239
F.3d 1183, 1188-89 (10th Cir. 2001) (holding that the use of a
hog-tie restraint on an individual with an apparent and
discernible diminished capacity constituted excessive force).
The case relied upon heavily by plaintiff in her brief in
opposition to summary judgment, Garrett v . Athens-Clarke County,
246 F. Supp. 2d 1262 (M.D. G a . 2003), involved facts that are
readily distinguishable from those present in this case and, for
that reason, it is not persuasive. First, the officers involved
in that case restrained the subject by using the “hobble or hog-
tie method.” Id. at 1270. Plaintiff now concedes that the
defendant officers never hog-tied Pliakos. Second, and perhaps
more significantly, the officers in Garrett restrained the
subject in a prone, hog-tie fashion after he became compliant and
stopped resisting arrest. Id. at 1269-70. In this case, while
the precise length of time that Pliakos continued to struggle
29 with the officers is unclear, no one denies that he actively
resisted arrest even after he had been handcuffed. See, e.g.,
Jones deposition at 31 (“We had him on the ground. He attempted
to get back up again, at which time I put my left knee on the
middle of his back, and Officer Lachance put his knee on his
shoulder.”). S o , unlike the scenario in Garrett, where the
subject could, conceivably, have been moved from a prone position
into a seated position, Pliakos’s recent violent struggle with
several officers (and a police dog) and his continued efforts to
resist even after having been handcuffed, presented the defendant
officers with a far more volatile, uncertain, and dangerous
situation.
Of course, as noted above, each case involving the alleged
use of excessive force is unique and must be judged on its own
facts. And, as the Supreme Court has observed, factors that must
be considered include the “severity of the crime at issue,
whether the suspect poses an immediate threat to the safety of
the officers or others, and whether he is actively resisting
arrest or attempting to evade arrest by flight.” Graham, 490
U.S. at 396 (citation omitted). In this case, each of the Graham
30 factors weighs against plaintiff’s claim that the officers used
excessive force. First, as to the “severity of the crime at
issue,” Pliakos’s initial conduct - running along the highway and
into traffic - might simply be viewed as having constituted
disturbing the peace (or some similar, relatively minor criminal
mischief). But, it quickly escalated into an unprovoked and
violent physical assault on several police officers (and a police
canine). Second, Pliakos’s conduct posed an immediate and
substantial risk to himself, drivers passing by on the dark
highway, and the responding officers. Finally, after he attacked
the officers, he violently resisted their efforts to calm him
and, eventually, take him into custody. And, he continued that
resistance (by trying to get to his feet), at least for a period
of time, after he had been handcuffed and was lying on his
stomach.
It is also significant that Pliakos was left in a prone
position for, at the very most, three minutes after he stopped
resisting, while the officers waited for the transport wagon to
arrive. See Jones deposition at 3 2 . Although the officers
failed to notice that Pliakos had stopped breathing for
31 approximately one minute before he was told to get to his feet,
they never simply walked away and left him unattended. Instead,
both Jones and Lachance remained at his side, watching to make
certain that he did not renew his efforts to get to his feet.
Of the nearly five minutes that Pliakos was restrained on
his stomach, the officers certainly did not employ excessive
force in holding him in that position during the two minutes or
so that he continued to actively resist. The only real question
here is whether the officers should have repositioned him at some
point after he stopped struggling. On that point, the court
concludes that, as a matter of law, it was not unreasonable for
the officers to keep him on his stomach for approximately three
minutes, while they waited to move him to the transport wagon.
Among other things, they could have reasonably concluded that, if
they had attempted to reorient Pliakos to a seated position, he
might well have renewed his efforts to get to his feet - efforts
which, if successful, could have resulted in Pliakos running into
highway traffic and, at a minimum, would have required the
officers to again attempt to bring him to the ground (with
greater risk of injury to him, given the fact that his hands were
32 cuffed behind his back). The officers also knew that the
transport wagon had been summoned and was en route to the scene
(in fact, the police wagon was at the scene for at least a brief
portion of the time Pliakos remained on his stomach).
Viewing the totality of the circumstances presented in this
case, while Konstantinos Pliakos’s death was certainly tragic, it
was not the product of any Fourth Amendment violation(s)
committed by one or more of the defendant police officers. In
light of the rapidly evolving and violent situation confronted by
the individual officers, and the fact that Pliakos continued to
struggle and resist arrest even after he had been restrained, and
the fact that, although the officers failed to discover Pliakos
had stopped breathing approximately one minute before he was told
to get u p , they never left him unattended, the court holds that
the officers did not, as a matter of law, use excessive force at
any time against Pliakos.
Even assuming that the defendant officers did see the
training video concerning positional asphyxia prior to the events
in question (a point each of them denies), their decision to keep
33 Pliakos on his stomach - for his (reasonably perceived) safety
and their safety as well - for those brief moments after he
stopped resisting and until he could be secured in the transport
wagon was not objectively unreasonable. Consequently, the
individual defendant police officers did not violate M r .
Pliakos’s Fourth Amendment rights by virtue of having restrained
him as they did.
B. Qualified Immunity.
Even if one could plausibly conclude that the officers did
violate Pliakos’s constitutional rights by applying excessive
force in arresting him, they would still be entitled to the
protections afforded by qualified immunity. Qualified immunity
protects “government officials performing discretionary functions
. . . from liability for civil damages insofar as their conduct
does not violate clearly established statutory or constitutional
rights.” Harlow v . Fitzgerald, 457 U.S. 8 0 0 , 818 (1982).
In determining whether defendants are entitled to qualified
immunity, the court must engage in a two-step inquiry.
34 The first prong is whether the constitutional right in question was clearly established at the time of the alleged violation. In the second prong, the court employs an “objective reasonableness” test in determining whether a reasonable, similarly situated official would understand that the challenged conduct violated the established right.
Napier v . Town of Windham, 187 F.3d 1 7 7 , 183 (1st Cir. 1999)
(citation omitted). And, when making those inquiries, “the court
should ask whether the agents acted reasonably under settled law
in the circumstances, not whether another reasonable, or more
reasonable, interpretation of the events can be constructed . . .
years after the fact.” Hunter v . Bryant, 502 U.S. 2 2 4 , 228
(1991).
At the first stage of that inquiry - determining whether the
constitutional right at issue was “clearly established” - courts
must “define the right asserted by the plaintiff at an
appropriate level of generality.” Brady v . Dill, 187 F.3d 1 0 4 ,
115 (1st Cir. 1999). To qualify as a clearly established right,
“the law must have defined the right in a quite specific manner,
and . . . the announcement of the rule establishing the right
must have been unambiguous and widespread, such that the
unlawfulness of particular conduct will be apparent ex ante to
35 reasonable public officials.” Id., at 116. See also Saucier v .
Katz, 533 U.S. 1 9 4 , 201 (2001) (“[I]f a violation could be made
out on a favorable view of the parties’ submissions, the next,
sequential step is to ask whether the right was clearly
established. This inquiry, it is vital to note, must be
undertaken in light of the specific context of the case, not as a
broad general proposition.”); Anderson v . Creighton, 483 U.S.
635, 640 (1987) (“[T]he right the official is alleged to have
violated must have been ‘clearly established’ in a more
particularized, and hence more relevant, sense: The contours of
the right must be sufficiently clear that a reasonable official
would understand that what he is doing violates that right.”).
As the Supreme Court recently observed:
The concern of the immunity inquiry is to acknowledge that reasonable mistakes can be made as to the legal constraints on particular police conduct. It is sometimes difficult for an officer to determine how the relevant legal doctrine, here excessive force, will apply to the factual situation the officer confronts. An officer might correctly perceive all of the relevant facts but have a mistaken understanding as to whether a particular amount of force is legal in those circumstances. If the officer’s mistake as to what the law requires is reasonable, however, the officer is entitled to the immunity defense.
Saucier, 533 U.S. at 205.
36 A difficult question is presented in this case regarding the
level of specificity with which it is appropriate to define the
constitutional right plaintiff claims was violated. All can
agree that the right not to be subjected to “unreasonable” or
“excessive” force during the course of an arrest was, when
Pliakos was taken into custody, clearly established. However,
“[a] reasonable official’s awareness of the existence of an
abstract right, such as a right to be free of excessive force,
does not equate to knowledge that his conduct infringes the
right.” Smith v . Mattox, 127 F.3d 1416, 1419 (11th Cir. 1997)
(emphasis in original). If the constitutional right plaintiff
claims was infringed must necessarily be defined more precisely,
it is far less clear that such a right was “clearly established”
at the time of Pliakos’s arrest.
The record demonstrates that the force employed by the
individual defendants in subduing Pliakos was objectively
appropriate, given his violent behavior. As the Supreme Court
has observed, “the right to make an arrest or investigatory stop
necessarily carries with it the right to use some degree of
physical coercion or threat thereof to effect it.” Graham, 490
37 U.S. at 396. Except for Pliakos’s predisposition to positional
asphyxia (due t o , among other things, obesity, acute cocaine
intoxication, cardiac hypertrophy, and his violent struggle), he
likely would have suffered no lasting adverse effects from his
brief detention on his stomach. Reduced to its essence, then,
the question presented is whether Pliakos had a clearly
established right not to be restrained in the manner (and for the
duration) that he was, in light of the risk factors he presented
with regard to positional asphyxia (some of which were obvious
and others of which were unknown to the officers).
To be “clearly established,” the “contours of the right must
be sufficiently clear that a reasonable official would understand
that what he is doing violates that right.” Anderson, 483 U.S.
at 640. Consequently, “[o]ne tried and true way of determining
whether this right was clearly established at the time the
defendants acted, is to ask whether existing case law gave the
defendants fair warning that their conduct violated the
plaintiff’s constitutional rights.” Suboh v . Dist. Attorney’s
Office, 298 F.3d 8 1 , 93 (1st Cir. 2002). The case precedent
discussed above does not establish a constitutional right not to
38 be handcuffed in a prone position if one presents some of the
risk factors for positional asphyxia. In fact, many of the
courts that have confronted this relatively rare situation have
specifically concluded, under circumstances very much like those
presented in this case, that there is no such constitutional
right at all, much less a “clearly established” right. See,
e.g., Phillips, supra; Cottrell, supra. Necessarily, then, an
objectively reasonable police officer, presented with the violent
circumstances that confronted the defendants on October 1 3 , 1999,
would not have realized that restraining Pliakos in the manner
(and for the period of time) that defendants did would amount to
a violation of his clearly established Fourth Amendment right to
be free from unreasonable seizure or the use of excessive force.
Whether the defendant police officers erred, or were even
negligent, in leaving Pliakos on his stomach for approximately
three minutes after he stopped resisting and one minute after he
exhaled loudly is not a critical issue in determining whether the
officers are entitled to qualified immunity. Ultimately, the
doctrine of qualified immunity “gives ample room for mistaken
judgments by protecting all but the plainly incompetent or those
39 who knowingly violate the law.” Hunter, 502 U.S. at 229
(citation and internal quotation marks omitted). The undisputed
material facts in this case establish, as a matter of law, that
the defendant police officers were not plainly incompetent, nor
did they knowingly violate the law. It is equally clear that a
reasonable police officer, presented with the same facts and
circumstances, would not have realized that the decision to leave
Pliakos on his stomach for that brief period of time would amount
to the use of excessive force in violation of Pliakos’s Fourth
Amendment rights.
II. Municipal Liability - Failure to Train.
In count three of her complaint, plaintiff asserts a section
1983 claim against the City of Manchester and Police Chief Mark
Driscoll, in his official capacity, saying those defendants
“failed to establish guidelines for, and/or train, supervise or
educate [their] police officers . . . about correct practices and
procedures in the use of force and restraint in the apprehension
of a suspect, in specific, the danger of positional asphyxia.”
Complaint, para. 33 (emphasis supplied). Plaintiff’s claim
against the police chief in his official capacity i s , in effect,
40 a suit against the City of Manchester. See Kentucky v . Graham,
473 U.S. 159, 165-66 (1985) (“Official-capacity suits . . .
generally represent only another way of pleading an action
against an entity of which an officer is an agent. . . . [A]n
official-capacity suit i s , in all respects other than name, to be
treated as a suit against the entity. It is not a suit against
the official personally, for the real party in interest is the
entity.”) (citations and internal quotation marks omitted)
(emphasis in original).
Because the individual defendants did not violate Pliakos’s
constitutionally protected right to be free from unreasonable
seizures, plaintiff’s section 1983 claim against the City (and
the police chief, in his official capacity) necessarily fails.
See Los Angeles v . Heller, 475 U.S. 796, 799 (1986) (holding that
“[i]f a person has suffered no constitutional injury at the hands
of the individual police officer,” that person has no claim under
section 1983 against the officer’s municipal employer).
Moreover, even if Pliakos’s constitutional rights had been
violated, both the City and Chief Driscoll would still be
entitled to summary judgment.
41 Municipalities cannot be held liable for the constitutional
injuries caused by their employees on a theory of respondeat
superior. See Monell v . Dept. of Social Servs., 436 U.S. 6 5 8 ,
694-95 (1978). Instead, “a municipality can be found liable
under § 1983 only where the municipality itself causes the
constitutional violation at issue.” Canton v . Harris, 489 U.S.
378, 385 (1989) (emphasis in original). And, where the basis for
a plaintiff’s claim against a municipality is its alleged failure
to properly train its police officers, the Court has held that
the “inadequacy of police training may serve as the basis for
§ 1983 liability only where the failure to train amounts to
deliberate indifference to the rights of persons with whom the
police come into contact.” Id. at 388 (emphasis supplied). So,
as the court of appeals for this circuit has observed, “[a]
municipality or its supervisory personnel can be held liable for
the constitutional misconduct of its employees only on the basis
of an ‘affirmative link’ between their acts and those of the
offending employee. In order to establish municipal liability,
the plaintiff must show that the acts or omissions of the
municipality’s policymakers evidence ‘deliberate indifference’ to
42 the rights of its inhabitants.” Gaudreault v . Salem, 923 F.2d
203, 209 (1st Cir. 1990) (citations omitted).
The most common means by which a plaintiff may demonstrate a
municipality’s “deliberate indifference” is by: (1) identifying a
pattern of constitutional violations that has put the
municipality on notice that its training is deficient; and (2)
showing that, notwithstanding such notice, the municipality
continued to adhere to the same training regimen. See Board of
the County Comm’rs v . Brown, 520 U.S. 3 9 7 , 407 (1997) (“If a
program does not prevent constitutional violations, municipal
decisionmakers may eventually be put on notice that a new program
is called for. Their continued adherence to an approach that
they know or should know has failed to prevent tortious conduct
by employees may establish the conscious disregard for the
consequences of their action - the ‘deliberate indifference’ -
necessary to trigger municipal liability.”). Here, however,
nothing in the record suggests that the City of Manchester or its
police department was aware of any incidents of positional
asphyxia stemming from Manchester police officers having
restrained subjects in a prone position.
43 Alternatively, absent evidence that a municipal defendant
had notice of the need to alter a policy or training program, a
plaintiff may, “in a narrow range of circumstances,” Brown, 520
U.S. at 409, prove a failure-to-train claim by showing that:
in light of the duties assigned to specific officers or employees the need for more or different training is so obvious, and the inadequacy so likely to result in the violation of constitutional rights, that the policymakers of the city can reasonably be said to have been deliberately indifferent to the need. In that event, the failure to provide proper training may fairly be said to represent a policy for which the city is responsible, and for which the city may be held liable if it actually causes injury.
Harris, 489 U.S. at 390. As an example, the Court posited the
following:
[C]ity policymakers know to a moral certainty that their police officers will be required to arrest fleeing felons. The city has armed its officers with firearms, in part to allow them to accomplish this task. Thus, the need to train officers in the constitutional limitations on the use of deadly force can be said to be “so obvious,” that failure to do so could properly be characterized as “deliberate indifference” to constitutional rights.
Id. at 390 n.10 (citation omitted).
44 In this case, however, the Manchester Police Department
plainly recognized the need to train its officers with regard to
the rare but real risks associated with positional asphyxia.
Accordingly, one of its training officers gave a lecture on that
very subject. And, that lecture was preserved on video tape so
it could be shown again, either to new officers or as a refresher
to those who had already seen i t .
The record also reveals that the Manchester Police
Department showed that video tape at a number of roll call
meetings of its officers in the days immediately prior to the
events at issue in this case. That the department failed to
ensure that the individual defendants in this case saw the video
prior to their confrontation with Pliakos (assuming they did not
see it) does not, standing alone, serve to demonstrate that it
was “deliberately indifferent” to the rights of citizens with
whom the police have contact; at most, that failure might be
viewed as negligent. But, as the Supreme Court has repeatedly
made clear, a section 1983 claim against a municipality cannot be
based upon a mere showing of negligence. See, e.g., Brown, 520
45 U.S. at 407 (“A showing of simple or even heightened negligence
will not suffice.”).
In short, the record is devoid of any evidence even remotely
suggestive of “deliberate indifference” on the part of the City
of Manchester. In fact, just the opposite is the case. The fact
that the Manchester Police Department produced a training video
discussing the risk factors associated with positional asphyxia
suggests that it was engaged in a reasonable effort to keep its
officers informed of the latest information available concerning
safe methods by which subjects might be restrained. That the
individual defendants in this case may not have seen the training
video until after the events at issue here, or that they saw but
did not benefit from i t , does not, without more, amount to
“deliberate indifference” on the part of the municipality.
III. Plaintiff’s State Law Claims.
In counts four through twelve of her complaint, plaintiff
advances several state common law and constitutional claims, over
which she asks the court to exercise supplemental jurisdiction.
Complaint at para. 4 . See also 28 U.S.C. § 1367. Section 1367
46 provides that the court may decline to exercise supplemental
jurisdiction over a plaintiff’s state law claim w h e n :
(1) the claim raises a novel or complex issue of State law,
(2) the claim substantially predominates over the claim or claims over which the district court has original jurisdiction,
(3) the district court has dismissed all claims over which it has original jurisdiction, or
(4) in exceptional circumstances, there are other compelling reasons for declining jurisdiction.
28 U.S.C. § 1367(c). To assist district courts, the Court of
Appeals for the First Circuit has identified the following
additional factors that should be considered when determining
whether to exercise supplemental jurisdiction over state law
claims: (1) the interests of fairness; (2) judicial economy; (3)
convenience; and (4) comity. See Camelio v . American Fed’n., 137
F.3d 666, 672 (1st Cir. 1998). With regard to principles of
fairness and comity, the Supreme Court has observed:
Needless decisions of state law should be avoided both as a matter of comity and to promote justice between the parties, by procuring for them a surer-footed reading of applicable law. Certainly, if the federal claims are dismissed before trial, even though not
47 insubstantial in a jurisdictional sense, the state claims should be dismissed as well.
United Mine Workers v . Gibbs, 383 U.S. 715, 726 (1966) (footnote
Given that this case is “at an early stage in the
litigation,” Camelio, 137 F.3d at 6 7 2 , and in the interests of
both comity and fairness to the parties, the court declines to
exercise supplemental jurisdiction over the state law claims in
counts four through twelve of plaintiff’s complaint.
Conclusion
That Konstantinos Pliakos died during the early morning
hours of October 1 3 , 1999, while in the custody of Manchester
police officers, is undeniably a tragedy and, no doubt, a
devastating loss to his family and friends. Indeed, one cannot
doubt that the police officers who were present at the scene are
traumatized as well, and wish the result had been different.
What is presently before the court, however, is a very limited
question of law: whether a properly instructed trier of fact
could conclude on this record that the defendant police officers
48 acted in an objectively unreasonable manner when, after finally
securing M r . Pliakos in handcuffs, they left him on his stomach -
with two officers at his side - for approximately three minutes
after he stopped struggling (and approximately one minute after
Officer Jones heard him exhale) before attempting to get him to
his feet. Given the undisputed material facts of record, a
reasonable trier of fact must conclude that the officers’ conduct
was not, under the circumstances, objectively unreasonable.
Of course, cases of this sort are necessarily sui generis
and the court’s holding does not imply that under different
circumstances involving death or injury to a subject restrained
on his or her stomach while handcuffed from behind, the outcome
would necessarily be the same. Each case must be resolved on its
own unique set of facts. But, under those presented in this
case, the means by which the defendant police officers restrained
Pliakos (and the duration of that restraint) did not constitute
excessive force. Consequently, they did not violate Pliakos’s
Fourth Amendment rights. Moreover, even if one concluded that
the officers’ conduct did amount to a constitutional violation,
they would still be entitled to qualified immunity.
49 Similarly, the City of Manchester and Police Chief Driscoll,
in his official capacity, are entitled to judgment as a matter of
law. Because the defendant officers did not violate Pliakos’s
Fourth Amendment rights, plaintiff’s section 1983 claim against
the City necessarily fails. And, even if the officers had
violated Pliakos’s constitutional rights (but are, nevertheless,
shielded from liability by qualified immunity), the record
establishes that the City did not maintain a police officer
hiring and/or training program that was “deliberately
indifferent” to the constitutional rights of individuals with
whom police officers are likely to have contact.
Defendants’ motion for summary judgment (document n o . 12) is
granted as to the two remaining federal claims in plaintiff’s
complaint (counts one and three). The court declines to exercise
its supplemental jurisdiction over plaintiff’s state
constitutional and common law claims. Those claims are
dismissed, without prejudice to refiling in state court.
The Clerk of Court shall enter judgment in accordance with
this order and close the case.
50 SO ORDERED.
Steven J. McAuliffe United States District Judge
July 1 5 , 2003
cc: Lawrence A . Vogelman, Esq. Donald A . Gardner, Esq.
Related
Cite This Page — Counsel Stack
2003 DNH 118, Counsel Stack Legal Research, https://law.counselstack.com/opinion/pliakos-v-manchester-n-h-et-al-nhd-2003.