Opinion ID: 866546
Heading Depth: 3
Heading Rank: 2

Heading: Supervisory Defendants

Text: In Dodds v. Richardson, this court held a plaintiff may establish the individual liability of a supervisor for a constitutional violation under § 1983 by demonstrating: “(1) the defendant promulgated, created, implemented or possessed personal responsibility for the continued operation of a policy that (2) caused the complained of constitutional harm, and (3) acted with the state of mind required to establish the alleged constitutional violation.” 614 F.3d 1185, 1199 (10th Cir. 2010). The plaintiff in Dodds brought a § 1983 suit, alleging a sheriff, 7 Appellants characterize Wilson’s allegations against Montano as asserting he failed to timely file a complaint. Moreover, appellants argue, because New Mexico’s Rules of Criminal Procedure for Magistrate Courts provide that a complaint can be filed more than forty-eight hours after arrest, see N.M.R.A. 6-201, the timely filing of a criminal complaint does not ensure a prompt probable cause determination in all cases. Appellants therefore assert Wilson’s allegation that Montano failed to timely file a complaint is insufficient to show Montano’s personal involvement in the violation of Wilson’s right to a prompt probable cause determination. These arguments are unpersuasive. First, Wilson alleged not that Montano failed to timely file criminal charges, but that Montano failed to take any action whatsoever to ensure a prompt probable cause determination while Wilson was being held at the VCDC. Second, Wilson need not allege that the timely filing of a criminal complaint will always ensure a defendant receives a timely probable cause determination in every possible circumstance. It is sufficient to withstand a motion to dismiss that his allegations support an inference of causation in this case. Drawing all inferences in the light most favorable to Wilson, we can readily conclude the complaint sufficiently alleges Montano’s failure to promptly file criminal charges caused Wilson’s prolonged detention. -15- acting in his individual capacity, “violated his Fourteenth Amendment due process rights by depriving him of his protected liberty interest in posting bail.” Id. at 1189. The district court denied the sheriff’s qualified-immunity based motion for summary judgment, and the sheriff appealed. Id. at 1190. This court recognized that “Oklahoma law charged Defendant as sheriff with the responsibilities of running the county jail and accepting bail from . . . arrestees.” Id. at 1203. Thus, “Oklahoma law made Defendant responsible for the policies that operated and were enforced by his subordinates at the jail.” Id. Moreover, the sheriff admitted that he allowed the policies, which caused the deprivation of Dodds’ constitutional rights, to operate. Id. The facts showed the sheriff’s conduct in maintaining these policies at the jail caused Dodds to be deprived of his due process rights and, therefore, showed the sheriff was personally involved in the constitutional deprivation. Id. at 1204. This court also concluded: “Plaintiff’s right to be free from unjustified detention after his bail was set was clearly established such that a reasonable official in Defendant’s position [at the time] would have understood that his deliberately indifferent maintenance of the policies that prevented arrestees from posting preset bail for no legitimate reason violated the Constitution.” Id. at 1206. In so concluding, this court noted that “other cases of ours and the great weight of authority from other circuits clearly established by 2007 that officials may be held individually liable for policies they promulgate, implement, or -16- maintain that deprive persons of their federally protected rights.” Id. at 1207. We therefore held the plaintiff had “shown facts that, if proven at trial, establish Defendant violated his clearly established rights.” Id. New Mexico law sets forth the respective duties of wardens and sheriffs in ensuring detainees receive a prompt probable cause determination. New Mexico law charged Sheriff Rivera with the responsibility of running the VCDC and ensuring arrestees received a prompt probable cause determination. See, e.g., N.M. Stat. Ann. § 4-37-4(A) (“It is the duty of every county sheriff . . . to: (1) enforce the provisions of all county ordinances; [and] (2) diligently file a complaint or information alleging a violation if circumstances would indicate that action to a reasonably prudent person . . . .”); id. § 4-41-2 (“The sheriff shall be conservator of the peace within his county” and shall “cause all offenders to . . . appear at the next term of the court and answer such charges as may be preferred against them.”); id. § 29-1-1 (declaring it “the duty of every sheriff . . . to . . . diligently file a complaint or information, if the circumstances are such as to indicate to a reasonably prudent person that such action should be taken . . . .”); id. § 31-1-5(B) (“Every accused shall be brought before a court having jurisdiction to release the accused without unnecessary delay.”); id. § 33-3-1(A) (“The common jails shall be under the control of the respective sheriffs . . . .”). New Mexico law charged Warden Chavez with similar responsibilities. See, e.g., id. § 33-1-2(E) (stating “‘warden’ . . . means the administrative director of a -17- correctional facility”); id. § 33-2-15 (“The employees of the penitentiary shall perform such duties in the charge and oversight of the penitentiary, care of the property belonging thereto, and in the custody, government, employment and discipline of the convicts as shall be required of them by the corrections division [corrections department] or the warden, in conformity with law and rules and regulations prescribed for the government of the penitentiary.”); id. § 33-3-1(A) (“The common jails shall be under the control of the respective . . . jail administrators hired by the board of county commissioners or other local public body or combination thereof . . . .”). Thus, under New Mexico law both Warden Chavez and Sheriff Rivera were responsible for the policies or customs that operated and were enforced by their subordinates at the VCDC and VCSO and for any failure to adequately train their subordinates. We therefore consider the allegations against each supervisory defendant to determine whether they meet the Dodds requirements for imposing individual liability under § 1983.
The complaint alleges Warden Chavez “established a policy or custom of holding citizens without pending criminal charges until the court filed orders of release sua sponte.” Allegedly, these policies or customs were “a significant moving force behind Plaintiff’s illegal detention.” The complaint further alleges Warden Chavez’s policy of holding citizens without court orders caused the violation of Wilson’s Fourth Amendment right to a prompt probable cause -18- determination. That is, because Warden Chavez failed to require the filing of written complaints, detainees, including Wilson, were held at the VCDC without receiving prompt probable cause determinations. The complaint also alleges Warden Chavez inappropriately trained his employees, which led to the violation of Wilson’s right to a prompt probable cause determination. Indeed, the complaint alleges there were numerous occasions where the VCDC and the VCSO held individuals for days and, on some occasions, weeks, without law enforcement taking those individuals before a magistrate judge. These allegations, taken as true, sufficiently establish Warden Chavez promulgated policies which caused the constitutional harm of which Wilson complains, i.e., his prolonged detention without a probable cause hearing. See Dodds, 614 F.3d at 1195-96 (stating a causal connection is alleged by claiming a supervisor defendant “set in motion a series of events that the defendant knew or reasonably should have known would cause others to deprive plaintiff of [his] constitutional rights” (quotations omitted)). That Wilson has not alleged he had any direct contact with Warden Chavez or that Warden Chavez actually knew of Wilson’s specific circumstances is of no consequence. See id. at 1195 (“Personal involvement does not require direct participation because § 1983 states any official who ‘causes’ a citizen to be deprived of her constitutional rights can also be held liable.” (quotations and alteration omitted)). -19- Finally, the complaint alleges sufficient facts to establish Warden Chavez acted with the requisite mental state. To establish a violation of § 1983 by a defendant-supervisor, the plaintiff must establish, at minimum, a deliberate and intentional act on the part of the supervisor to violate the plaintiff’s legal rights. Porro v. Barnes, 624 F.3d 1322, 1327-28 (10th Cir. 2010). The complaint alleges Warden Chavez acted with deliberate indifference to routine constitutional violations occurring at the VCDC. This allegation is supported by Wilson’s assertions that there were numerous prior occasions in which individuals at the VCDC and VCSO were subject to prolonged warrantless detention. See supra n.3. Appellants do not challenge the district court’s conclusion that deliberate indifference is a sufficiently culpable mental state to impose supervisory liability under § 1983. The complaint’s allegations against Warden Chavez therefore state a plausible claim for relief under Dodds, and the district court did not err in denying the motion to dismiss as to Warden Chavez.
The allegations in the complaint as to Sheriff Rivera are similar to those against Warden Chavez. The complaint alleges Sheriff Rivera “established a policy or custom of allowing officers to arrest people and wait before filing charges;” that “[i]n some circumstances this policy or custom resulted in the arrest and detention of citizens with charges never being filed;” that Sheriff Rivera was deliberately indifferent to the ongoing constitutional violations which -20- occurred under his supervision and due to his failure to adequately train his employees; that the “routine warrantless arrest and incarceration of citizens without charges being filed amounted to a policy or custom of VCSO which was set forth by [Sheriff] Rivera,” and that such policy was “a significant moving force behind [Wilson’s] illegal detention.” As with Warden Chavez, these allegations, if proven, are sufficient to establish Sheriff Rivera’s individual liability for Wilson’s unconstitutional detention under Dodds, and the district court did not err in denying the motion to dismiss as to Sheriff Rivera. D. Additional Arguments 1. Magistrate Court Rules Notwithstanding the numerous New Mexico statutes which spell out in detail the duties of the arresting officers, warden, and sheriff as they relate to providing citizens with a prompt post-arrest probable cause determination, appellants cite to several provisions of New Mexico’s Rules for Magistrate Courts in an attempt to argue it is unclear who has the responsibility for ensuring an arrestee ensures a prompt probable cause determination. See N.M.R.A. 6-201(D) (“If the court is not open at the time the copy of the complaint is given to the defendant, and the defendant remains in custody, the complaint shall be filed the next business day of the court.”); N.M.R.A. 6-203(A) (“The probable cause determination shall be made by a magistrate, metropolitan or district court judge promptly, but in any event within forty-eight (48) hours after custody commences -21- and no later than the first appearance of the defendant whichever occurs earlier.”) Appellants take the position that, because these provisions do not explicitly assign responsibility for ensuring a prompt probable cause determination is made to one particular party (e.g. the sheriff, warden, arresting officer, or court), it cannot be clearly established that any of them violated Wilson’s constitutional rights. This argument is unavailing. The rules cited by appellants are not inconsistent with the numerous New Mexico statutes, discussed supra Part III.C, which delineate the duties of the arresting officers, sheriff, and warden to ensure an arrestee receives a timely post-arrest probable cause determination. Thus, they do not undermine the conclusion that officials in the positions of Montano, Warden Chavez, or Sheriff Rivera would have known their actions violated Wilson’s constitutional rights. See Anderson, 483 U.S. at 640. 8 8 Similarly unavailing is appellants’ reliance on a memo from the New Mexico Administrative Office of the Courts discussing the requirements of Rule 6-203 and the importance of the magistrate courts establishing procedures to ensure arrestees receive a timely probable cause determination. The memo’s silence on the duties of parties other than the magistrate courts is wholly unremarkable, as the memo was promulgated by the administrative arm of the New Mexico judiciary and concerns the rules of procedure for New Mexico courts. Moreover, nothing in the memo, or the rule it interprets, suggests a magistrate’s independent obligation to make a probable cause determination within forty-eight hours of arrest somehow relieves other parties of their respective duties to ensure such a determination is possible. -22- 2. N.M. Stat. Ann. § 33-3-12(B) Finally, appellants argue it would have been impossible to provide Wilson with the relief he sought due to operation of N.M. Stat. Ann. § 33-3-12(B), which provides: “Any jailer who deliberately and knowingly releases a prisoner without an order of release . . . except upon expiration of the prisoner’s term of commitment, is guilty of a misdemeanor and shall be removed from office.” Before the district court, appellants argued the existence of § 33-3-12(B) amounted to an extraordinary circumstance which “so prevented [them] from knowing that [their] actions were unconstitutional that [they] should not be imputed with knowledge of a clearly established right.” Shero, 510 F.3d at 1204. Before this court, appellants argue simply that § 33-3-12(B) contributes to a lack of clarity under New Mexico law as to which party is responsible for ensuring a prompt probable cause determination. In either case, this argument is unpersuasive. Wilson does not argue appellants had an obligation to release him. Rather, he argues they had a duty to provide him with a prompt probable cause determination. Those appellants with a duty to ensure Wilson received a prompt probable cause determination could have done so without releasing him in contravention of § 33-3-12. Thus, § 33-3-12 does not constitute an “extraordinary circumstance” which excuses appellants’ violation of Wilson’s constitutional rights, nor does it undermine the conclusion that those rights were clearly established. -23-