PER CURIAM:
We rehear this matter en banc, see Hernandez v. United States, 771 F.3d 818 (5th Cir.2014) (per curiam) (on petitions for rehearing en banc), to resolve whether, under facts unique to this or any other circuit, the individual defen-dants in these consolidated appeals are entitled to qualified immunity. Unani-mously concluding that the plaintiffs fail to allege a violation of the Fourth Amendment, and that the Fifth Amendment right asserted by the plaintiffs was not clearly established at the time of the complained-of incident, we affirm the judgment of dismissal.
The facts and course of proceedings are accurately set forth in the panel majority opinion of Judge Prado, Hernandez v. United States, 757 F.3d 249, 255-57 (5th Cir.2014). We conclude that the panel opinion rightly affirms the dismissal of Hernandez's claims against the United States, id. at 257-59, and against Agent Mesa's supervisors, id. at 280, and we therefore REINSTATE Parts I, II, and VI of that opinion. We additionally hold that pursuant to United States v. Verdugo-Urquidez, 494 U.S. 259, 110 S.Ct. 1056, 108 L.Ed.2d 222 (1990), Hernandez, a Mexican citizen who had no "significant voluntary connection" to the United States, id. at 271, and who was on Mexican soil at the time he was shot, cannot assert a claim under the Fourth Amendment.
The remaining issue for the en banc court is properly described as whether
To decide the assertion of qualified immunity made by defendant Agent Mesa, regarding the plaintiffs' Fifth Amendment claim, the court avails itself of the latitude afforded by Pearson v. Callahan: "The judges of the ... courts of appeals should be permitted to exercise their sound discretion in deciding which of the two prongs of the qualified immunity analysis should be addressed first in light of the circumstances in the particular case at hand." 555 U.S. 223, 236, 129 S.Ct. 808, 172 L.Ed.2d 565 (2009) (overruling Saucier v. Katz, 533 U.S. 194, 201, 121 S.Ct. 2151, 150 L.Ed.2d 272 (2001)).
The prongs referred to are familiar: "First, a court must decide whether the facts ... alleged ... make out a violation of a constitutional right.... Second, if [so], the court must decide whether the right at issue was `clearly established' at the time of [the] alleged misconduct." Id. at 232, 129 S.Ct. 808. "Qualified immunity is applicable unless [both prongs are satisfied]." Id.
The panel opinion correctly describes the substantive-due-process claim as "that Agent Mesa showed callous disregard for Hernandez's Fifth Amendment rights by using excessive, deadly force when Hernandez was unarmed and presented no threat." Hernandez, 757 F.3d at 267. The question is whether, under the unique facts and circumstances presented here, that right was "clearly established."
The Supreme Court has carefully admonished that we are "not to define clearly established law at a high level of generality." Ashcroft v. al-Kidd, ___ U.S. ___, 131 S.Ct. 2074, 2084, 179 L.Ed.2d 1149 (2011). To the contrary, a right is clearly established only where "it would be clear to a reasonable officer that his conduct was unlawful in the situation he confronted." Brosseau v. Haugen, 543 U.S. 194, 199, 125 S.Ct. 596, 160 L.Ed.2d 583 (2004) (per curiam) (quoting Saucier, 533 U.S. at 202, 121 S.Ct. 2151) (internal quotation marks omitted). The question here is whether the general prohibition of excessive force applies where the person injured by a U.S. official standing on U.S. soil is an alien who had no significant voluntary connection to, and was not in, the United States when the incident occurred. No case law in 2010, when this episode occurred, reasonably warned Agent Mesa that his conduct violated the Fifth Amendment.
Although the en banc court is somewhat divided on the question of whether Agent Mesa's conduct violated the Fifth Amendment, the court, with the benefit of further consideration and en banc supplemental briefing and oral argument, is unanimous in concluding that any properly asserted right was not clearly established to the extent the law requires. The strongest authority for the plaintiffs may be Boumediene v. Bush, which addressed whether the Suspension Clause of the U.S. Constitution applied to aliens detained out-side the United States at the U.S. Naval Base in Guantanamo Bay, Cuba. 553 U.S. 723, 732-33, 128 S.Ct. 2229, 171 L.Ed.2d 41 (2008). Although the Court drew on cases from contexts other than habeas corpus, see id. at 755-64, 128 S.Ct. 2229 (discussing
"There are cases in which it is plain that a constitutional right is not clearly established but far from obvious whether in fact there is such a right." Id. at 237, 129 S.Ct. 808. Reasonable minds can differ on whether Boumediene may someday be explicitly extended as the plaintiffs urge. That is the chore of the first prong of the qualified-immunity test, which we do not address.
The alleged right at issue was not clearly established, under these facts, in 2010.
The judgment of dismissal is AFFIRMED.
EDITH H. JONES, Circuit Judge, joined by SMITH, CLEMENT, and OWEN, Circuit Judges, concurring:
The court has unfortunately taken the path of least resistance. We hold unanimously that Agent Mesa has qualified immunity from this suit for a Fifth Amendment substantive due process violation because he did not violate any clearly established rights flowing from that Amendment. Pearson v. Callahan, 555 U.S. 223, 236, 129 S.Ct. 808, 818, 172 L.Ed.2d 565 (2009). This compromise simply delays the day of reckoning until another appellate panel revisits non-citizen tort claims for excessive force resting on extraterritorial application of the United States Constitution. Ongoing incursions across our national borders and our nation's applications of force abroad ensure that other lawsuits will be pursued. We should discourage this litigation before it takes root.
Because it is clear that United States constitutional rights do not extend to aliens who (a) lack any connection to the United States and (b) are injured on foreign soil, I would also resolve this appeal on the first prong of qualified immunity analysis. See id. at 236, 129 S.Ct. at 818 ("In some cases, a discussion of why the relevant facts do not violate clearly established law may make it apparent that in fact the relevant facts do not make out a constitutional violation at all.").
Additionally, substantive due process under the Fifth Amendment does not offer a fallback claim here, not least because of the expressly limited reach of the Supreme Court's decision in Boumediene v. Bush, 553 U.S. 723, 128 S.Ct. 2229, 171 L.Ed.2d 41 (2008). Judge DeMoss's dissent from the panel opinion aptly expressed incredulity about extraterritorial application of the Fifth Amendment:
Hernandez v. United States, 757 F.3d 249, 281 (5th Cir.2014) (DeMoss, J., concurring in part and dissenting in part) (internal quotation marks and citation omitted).
I also feel obliged to comment on the plaintiffs' Alien Tort Statute ("ATS") claim against the United States, which has been rejected by the panel, by the unanimous compromise en banc opinion, and indeed by every other circuit court of appeals.
The plaintiffs characterized their claims as arising under either the Fifth or the Fourth Amendment. But on these facts, they can only have a Fourth Amendment
Agent Mesa undoubtedly seized Hernandez. A seizure occurs "when there is a governmental termination of freedom of movement through means intentionally applied." Brower v. Cnty. of Inyo, 489 U.S. 593, 596-97, 109 S.Ct. 1378, 1381, 103 L.Ed.2d 628 (1989) (emphasis omitted). Law enforcement shootings are also covered by the Fourth Amendment because "there can be no question that apprehension by the use of deadly force is a seizure[.]" Tennessee v. Garner, 471 U.S. 1, 7, 105 S.Ct. 1694, 1699, 85 L.Ed.2d 1 (1985). The plaintiffs' complaint alleges that Agent Mesa intentionally shot and killed Hernandez, thus terminating his "freedom of movement through means intentionally applied." Brower, 489 U.S. at 596-97, 109 S.Ct. at 1381. Under governing law, if the plaintiffs have any claim at all, it arises from the Fourth, not the Fifth Amendment.
Although the Fourth Amendment "covers" the plaintiffs' claim, Hernandez did not automatically enjoy its protection. The Constitution does not protect all people in all places. Reid v. Covert, 354 U.S. 1, 74, 77 S.Ct. 1222, 1260, 1 L.Ed.2d 1148 (1957) (Harlan, J., concurring) ("[T]here are provisions in the Constitution which do not necessarily apply in all circumstances
Chief Justice Rehnquist wrote in Verdugo-Urquidez that the Fourth Amendment's text refers to the right of "the people" to be free from unreasonable searches. "The people," in turn, "refers to a class of persons who are part of a national community or who have otherwise developed sufficient connection with this country to be considered part of that community." Verdugo-Urquidez, 494 U.S. at 265, 110 S.Ct. at 1061. Turning to the Amendment's history, the Court explained that "[t]he driving force behind the adoption of the Amendment ... was widespread hostility among the former colonists to the issuance of writs of assistance[.]" Id. at 266, 110 S.Ct. at 1061. The Amendment's purpose, "was to protect the people of the United States against arbitrary action by their own Government[.]" Id. In other words, the Fourth Amendment "restrict[s] searches and seizures which might be conducted by the United States in domestic matters." Id. Contemporary historical understanding, the Court continued, confirmed this reading. Id. at 267, 110 S.Ct. at 1061-62. As a result, the Court held, "aliens receive constitutional protections when they have come within the territory of the United States and developed substantial connections with this country." Id. at 271, 110 S.Ct. at 1064.
Despite this seemingly clear pronouncement, critics, including the plaintiffs, claim that the substantial connections test is not — and never was — the law. Because Justice Kennedy concurred and his opinion allegedly differs from the purported majority, the skeptics argue, only four justices concurred in Chief Justice Rehnquist's opinion and it is nonbinding. Even if that were not the case, the skeptics continue, Verdugo-Urquidez's substantial connections test was replaced by the majority opinion in Boumediene. This court disagrees.
Foremost, Justice Kennedy joined the majority in full, not just in judgment. Supreme Court justices know the difference between the types of joinder. Justice Kennedy began his concurrence by stating: "Although some explanation of my views is appropriate given the difficulties of this case, I do not believe they depart in fundamental respects from the opinion of the Court, which I join." Verdugo-Urquidez, 494 U.S. at 275, 110 S.Ct. at 1066 (Kennedy, J., concurring) (emphasis added). If we take Justice Kennedy at his word — as we must — he undoubtedly joined the majority opinion, and the substantial connections test controls.
In any event, the substance of his concurrence does not undermine the substantial connections test — his opinion reinforces it. Concededly, Justice Kennedy did not rely on the Fourth Amendment's reference to "the people"; in his view, "[t]he force of the Constitution is not confined because it was brought into being by certain persons who gave their immediate assent to its terms."
For Justice Kennedy, the practical consequences of applying the Fourth Amendment extraterritorially also supports the Court's test. "The absence of local judges or magistrates available to issue warrants, the differing and perhaps unascertainable conceptions of reasonableness and privacy that prevail abroad, and the need to cooperate with foreign officials all indicate that the Fourth Amendment ... should not apply [abroad]." Verdugo-Urquidez, 494 U.S. at 278, 110 S.Ct. at 1068 (Kennedy, J., concurring). "For this reason, in addition to the other persuasive justifications stated by the Court," Justice Kennedy "agree[d] that no violation of the Fourth Amendment [] occurred[.]" Id., 110 S.Ct. at 1068. Justice Kennedy's concurrence reinforces rather than undermines Chief Justice Rehnquist's majority opinion.
After agreeing that Verdugo-Urquidez forecloses the plaintiffs' Fourth Amendment
The plaintiffs' implicit position is that Johnson was de facto overruled by Boumediene, 553 U.S. 723, 128 S.Ct. 2229, and Johnson's refusal to apply the Fifth Amendment extraterritorially was replaced by the three-part test inaugurated in Boumediene.
To be more precise, Boumediene was expressly limited to holding that the Suspension Clause, art. I, § 9, cl. 2 of the Constitution, applies to enemy combatants detained in the Guantanamo Bay, Cuba, military facility. Boumediene, 553 U.S. at 771, 128 S.Ct. at 2262. The significance of both the "Great Writ" and the United States' plenary control at Guantanamo was equally critical to the Court's holding. The Court stated: "In the system conceived by the Framers the writ had a centrality that must inform proper interpretation of the Suspension Clause," and cited Blackstone, who called it the "bulwark of our liberties." Id. at 739, 742, 128 S.Ct. at 2244, 2246 (citing 1 W. Blackstone, Commentaries *137). The Court also held that the concerns regarding separation of powers "have particular bearing upon the Suspension Clause question in the cases now before us, for the writ of habeas corpus is itself an indispensable mechanism for monitoring the separation of powers."
Boumediene fashioned a test that it claimed to derive from past decisions that considered the extraterritorial reach of other constitutional provisions. See Boumediene, 553 U.S. at 760, 128 S.Ct. at 2256 (citing In re Ross, 140 U.S. 453, 11 S.Ct. 897, 35 L.Ed. 581 (1891) (Fifth and Sixth Amendments)); id. at 762, 128 S.Ct. at 2257 (citing Johnson, 339 U.S. 763, 70 S.Ct. 936 (Fifth Amendment)); id., 128 S.Ct. at 2257 (citing Verdugo-Urquidez, 494 U.S. at 277, 110 S.Ct. at 1067 (Fourth Amendment)). The Court concluded that de jure sovereignty does not alone determine the extraterritorial reach of the Constitution; instead, "questions of extraterritoriality turn on objective factors and practical concerns, not formalism." Id. at 764, 128 S.Ct. at 2258. But the Court ultimately held its three-factor test relevant "in determining the reach of the Suspension Clause...." Id. at 766, 128 S.Ct. at 2259 (emphasis added). Moreover, the Court disclaimed any intention to overrule the holdings of Johnson or Verdugo-Urquidez. Id. at 795, 128 S.Ct. at 2275.
Given that Boumediene applied its three-factor test to a different constitutional provision than those with which we are confronted, and that it did not overrule the controlling precedents, it bears repeating: this court may not step ahead of the Supreme Court to hold Johnson (or Verdugo-Urquidez) no longer binding. Thus, this is not a case where no "clearly established law" articulates the plaintiffs' rights to extraterritorial application of the Fifth Amendment. Following Boumediene, there is no law at all supporting their position, and thus no Fifth Amendment claim exists.
Significantly, the plaintiffs cited no case holding that their Fifth Amendment extraterritoriality claim has any viability. To the contrary, in light of the Court's repeated references to the Suspension Clause, we must assume that the Court "explicitly confined its holding `only' to the extraterritorial reach of the Suspension Clause and disclaimed any intention to disturb existing law governing the extraterritorial reach of any constitutional provisions, other than the Suspension Clause." Ali v. Rumsfeld, 649 F.3d 762, 771 (D.C.Cir.2011) (internal citations and quotation marks omitted); see also Al Bahlul v. United States, 767 F.3d 1, 33 (D.C.Cir. 2014) (en banc) (Henderson, J., concurring) ("Whether Boumediene in fact portends a sea change in the extraterritorial application of the Constitution writ large, we are bound to take the Supreme Court at its word when it limits its holding to the Suspension Clause." (internal citation omitted))
For all these reasons, the plaintiffs plainly have no cognizable constitutional claim against Agent Mesa.
The plaintiffs seek damages from the United States under the ATS, urging as follows: Congress enacted the ATS to allow aliens to sue for violating "the law of nations." 28 U.S.C. § 1350. The tort alleged in this case is "extrajudicial killing," an alleged violation of jus cogens norms of customary international law.
The concurring opinion here finds this reasoning "logical," concludes that it has some force," and posits:
Post at 142, 142-43, & 141 (Haynes, J., concurring). The concurrence asserts that this question has not been addressed by the panel opinion or the en banc compromise opinion that reinstates the panel decision. The concurrence believes this issue was left "unaddressed" in Sosa and suggests the Supreme Court take it up. Post at 141, 142-43.
With due respect, the plaintiffs' theory has yet to be adopted by any circuit court of appeals and has been repeatedly rejected, and that is because it has no valid foundation in the American constitutional structure, in the ATS, or in Supreme Court precedent. To effectuate their theory would create a breathtaking expansion of federal court authority, would abrogate
Taking the Supreme Court decisions first, Sosa did not consider U.S. sovereign immunity for ATS violations because the federal government was sued only under the Federal Tort Claims Act. 542 U.S. at 698, 124 S.Ct. at 2747. The ATS claim was alleged only against Sosa, a Mexican national, individually. Id. at 698, 124 S.Ct. at 2747. No issue of American sovereign immunity from ATS claims was presented for the Court to decide or even comment on. The overarching theme of Sosa, moreover, is one of caution, not expansion of federal court authority. Inferences that Sosa might leave open an implied waiver of sovereign immunity are implausible. First, the Court in Sosa held unanimously that the ATS is a strictly jurisdictional statute. Sosa, 542 U.S. at 714, 124 S.Ct. at 2755. It does not provide a substantive basis for aliens' general assertions of customary international law violations. Purely jurisdictional statutes do not waive sovereign immunity. United States v. Testan, 424 U.S. 392, 398, 96 S.Ct. 948, 953, 47 L.Ed.2d 114 (1976). Second, Sosa rejected the view that the ATS "ought to cover all [customary international law] claims, so long as they also qualify as torts" and instead gave "domestic legal force to an extremely limited subset of [customary international law] claims ... based on its reading of the specific intent of Congress." Al-Bihani v. Obama, 619 F.3d 1, 19 (D.C.Cir.2010) (Kavanaugh, J., concurring in denial of rehearing en banc) (quoting Ernest A. Young, Sosa and the Retail Incorporation of International Law, 120 HARV. L.REV. F. 28, 29 (2007)). According to Sosa, the only claims authorized by the ATS for violations of international law norms are those with no "less definite content and acceptance among civilized nations than the historical paradigms familiar when § 1350 was enacted." 542 U.S. at 732, 124 S.Ct. at 2765. In addition, "the determination whether a norm is sufficiently definite to support a cause of action should (and, indeed, invariably must) involve an element of judgment about the practical consequences of making that cause available to litigants in the federal courts." 542 U.S. at 732-33, 124 S.Ct. at 2766 (footnotes omitted). The Court went on to deny Alvarez's claim for arbitrary arrest and detention in violation of an international treaty and the Universal Declaration of Human Rights. 542 U.S. at 738, 124 S.Ct. at 2769.
What does this cautionary opinion imply about federal sovereign immunity? As earlier noted, the Court decided in Amerada Hess that the FSIA "provides the sole basis for obtaining jurisdiction over a foreign state in federal court," 488 U.S. at 439, 109 S.Ct. at 690. The Court flatly rejected the argument that Congress, by failing explicitly to repeal the ATS when it amended the FSIA, had intended for federal courts to "continue to exercise jurisdiction over foreign states in suits alleging violations of international law outside the confines of the FSIA." 488 U.S. at 435, 109 S.Ct. at 689. That rejection would have been even more emphatic had the court considered whether the ATS waives the United States' sovereign immunity because, as then-Judge Scalia pointed out, foreign sovereign immunity rests only on international comity, while domestic sovereign immunity originates in the constitutional separation of powers. Sanchez-Espinoza v. Reagan, 770 F.2d 202, 207 n. 5 (D.C.Cir.1985). The plaintiffs here err twice in asserting the abrogation of federal sovereign immunity under the ATS.
First, my colleagues' argument in the negative — that Congress silently reserved the defense of sovereign immunity against
Second, they mistakenly confuse cases deriving from foreign official immunity, an immunity based on officials' status or conduct (and separate from the sovereign state's own immunity), with the constitutional principle involved in U.S. sovereign immunity. See, e.g., Yousuf v. Samantar, 699 F.3d 763 (4th Cir.2012). No case has ever held the United States government has forfeited its sovereign immunity from suit because of any alleged violation of international law, whether jus cogens or otherwise. Nevertheless, they would expose the United States, alone among the nations of the world, to liability in federal courts under the ATS without the protection of sovereign immunity. Contrary to the plaintiffs' assertions, the Supreme Court's circumspect readings of the ATS in Sosa and Kiobel (rejecting ATS's extraterritorial application) offer no basis for the novel proposition that the ATS impliedly forfeits federal sovereign immunity.
Neither the plaintiffs nor the concurring opinion mentions that every other circuit court asked to hold the United States potentially liable under the ATS has declined the invitation. For example, in Tobar v. United States, 639 F.3d 1191 (9th Cir. 2011), Ecuadorian nationals sued the United States under the ATS after the Coast Guard stopped, boarded, and detained their ship. The Ninth Circuit considered a number of statutes that might contain waivers of sovereign immunity, including the ATS. With respect to the ATS, the court held "[t]he Alien Tort Statute has been interpreted as a jurisdiction statute only — it has not been held to imply any waiver of sovereign immunity." Id. at 1196 (internal citations and quotation marks omitted). This determination is particularly notable because it post-dates the Supreme Court's decision in Sosa.
So too for the D.C. Circuit. In Sanchez-Espinoza v. Reagan, 770 F.2d 202 (D.C.Cir.1985), Nicaraguan citizens sued the United States for injuries incurred at the hands of the Contras. Id. at 205. The federal government asserted its sovereign immunity. Then-Judge Scalia held, in no uncertain terms, that "[t]he Alien Tort Statute itself is not a waiver of sovereign immunity." Id. at 207; see also Canadian Transp. Co. v. United States, 663 F.2d 1081, 1092 (D.C.Cir.1980).
That these plaintiffs assert a violation of a jus cogens norm does not — and should not — change the outcome of the sovereign immunity analysis. The plaintiffs argue that jus cogens norms occupy such a high place in international law that their violation abrogates sovereign immunity. Other circuits to address such an argument have rejected it. In Matar v. Dichter, 563 F.3d 9, 14 (2d Cir.2009), the Second Circuit held that jus cogens norms cannot abrogate sovereign immunity when Congress has explicitly granted such immunity in the FSIA. It then broadly asserted that "[a] claim premised on the violation of jus cogens does not withstand foreign sovereign immunity." Id. at 15; see also Princz, 26 F.3d at 1174; Siderman, 965 F.2d at 718-719; Smith v. Socialist People's Libyan Arab Jamahiriya, 101 F.3d 239, 242-44 (2d Cir.1996). The same principle should apply to the constitutionally-footed doctrine of federal sovereign immunity. Given the unanimous decisions of the other circuits, there is no justification for a federal court's unilateral abrogation of our government's sovereign immunity under the ATS.
Returning once more to Sosa, it becomes clear that the Court, as it rejected Alvarez's broad claim for a violation of "the law of nations," fully realized the potentially untoward consequences of empowering lower courts to adopt a federal common law of international law torts. Not only did the Court limit the scope of such actions, but it also explained the difficulties that would ensue had it adopted Alvarez's facially appealing claim:
542 U.S. at 738, 124 S.Ct. at 2769 (footnote omitted).
The parallels between these concerns and those attending a claim for "extrajudicial killing" are obvious. The plaintiffs' advocacy here of a broad rule clearly has implications for both domestic law enforcement and for the use of American lethal force in foreign confrontations. Such alleged violations of jus cogens could transform every use of deadly force by a federal officer against an alien into a litigable violation of a peremptory norm of international law, supplanting Bivens actions. These claims could also be asserted by aliens against state or local law enforcement officers, supplanting § 1983 actions. Finally, this alleged cause of action could be asserted directly against the United States, which contravenes federal sovereign immunity and is at odds with the FSIA immunity from suit every foreign nation enjoys in U.S. courts.
The existence of foreign sovereign immunity does not, however, eliminate the international complications of opening American courts to broad and vague claims under the ATS. As in Sosa, the plaintiffs' proffered rule "would support a cause of action in federal court for any [alleged extrajudicial killing], anywhere in the world." 542 U.S. at 736, 124 S.Ct. at 2768. Although certain jus cogens prohibitions, e.g. state-sponsored slavery or genocide, may be self-evidently within the scope of the Supreme Court's reasoning in Sosa, "[a]ny credible invocation of a principle against [extrajudicial killing] that the civilized world accepts as binding customary international law requires a factual basis beyond" mere conclusional pleadings. Sosa, 542 U.S. at 737, 124 S.Ct. at 2769. That a multiplicity of claims could aggravate relations with foreign nations and thwart the Executive and Legislative branches' discretion in conducting foreign affairs seems obvious and constitutes additional reasons, acknowledged in Sosa, for extreme caution in recognizing claims for breach of "the law of nations" actionable via the ATS. 542 U.S. at 727, 124 S.Ct. at 2763.
In sum, the plaintiffs' ATS claim against the United States is without foundation, and the concurring opinion should not be read as improvidently providing them support.
One final point is necessary in response to the plaintiffs' assertion that enforcement of United States borders will become "lawless" if aliens in the position of Hernandez lose access to American civil tort recovery. This court must, of course, assume, based only on the pleadings, that Hernandez was the victim of an unprovoked shooting. The plaintiffs' assertion of official, or officially condoned lawlessness is, however, inaccurate. This tragedy neither should, nor has, escaped review. Numerous federal agencies, including the FBI, the Department of Homeland Security's Office of the Inspector General, the Justice Department's Civil Rights Division, and the United States Attorney's Office, investigated this incident and declined to indict Agent Mesa or grant extradition to Mexico under 18 U.S.C. § 3184. There were other possible avenues for evaluation of Agent Mesa's conduct. Plaintiffs could have sought federal court review of the Attorney General's scope of employment
I respectfully concur in the en banc opinion.
JAMES L. DENNIS, Circuit Judge, concurring in part and concurring in the judgment:
I join the en banc court's opinion in its entirety except as to its reason for denying Appellants' Fourth Amendment claim, with which I agree in result. I also join the concurring opinion of Judge Prado, except to the extent that it adopts the en banc court's reason for denying this claim. In United States v. Verdugo-Urquidez, 494 U.S. 259, 110 S.Ct. 1056, 108 L.Ed.2d 222 (1990), the Supreme Court apparently ruled that the phrase "the people" in the Fourth Amendment "refers to a class of persons who are part of a national community or who have otherwise developed sufficient connection with this community to be considered part of that community." Id. at 265, 110 S.Ct. 1056. I am inclined to agree, however, with those who have suggested that the Verdugo-Urquidez view cannot be squared with the Court's later holding in Boumediene v. Bush, 553 U.S. 723, 128 S.Ct. 2229, 171 L.Ed.2d 41 (2008), that "questions of extraterritoriality turn on objective factors, and practical concerns, not formalism." Id. at 764, 128 S.Ct. 2229; see WAYNE R. LAFAVE ET AL., 2 CRIM. PROC. § 3.1(i) n. 237.1 (3d ed.2014) (citing Gerald L. Neuman, The Extraterritorial Constitution After Boumediene v. Bush, 82 S. CAL. L.REV. 259, 259, 272 (2008); Ellen S. Podgor, Welcome to the Other Side of the Railroad Tracks: A Meaningless Exclusionary Rule, 16 SW. J. INT'L L. 299, 310 (2010)); Baher Azmy, Executive Detention, Boumediene, and the New Common Law of Habeas, 95 IOWA L.REV. 445, 465 (2010); Christina Duffy Burnett, A Convenient Constitution? Extraterritoriality After Boumediene, 109 COLUM. L.REV. 973, 1044 (2009); Timothy Zick, Territoriality and the First Amendment: Free Speech at — and Beyond — Our Borders, 85 NOTRE DAME L.REV. 1543, 1614 (2010).
The Mexican government has indicated that our adjudication of the Appellants' claims, whether under the Fourth or Fifth Amendment, in this particular case would not cause any friction with its sovereign interests. However, it appears that our judicial entanglement with extraterritorial Fourth Amendment excessive-force claims would be likely to involve impracticable and anomalous factors. For these reasons, I agree with the opinion of the court in declining to apply the Fourth Amendment to adjudicate the Appellants' claims but I do so out of concern for pragmatic and political questions rather than on a formal classification of the litigants involved.
EDWARD C. PRADO, Circuit Judge, concurring:
I agree with the en banc court's holding that the constitutional rights asserted by 15-year-old Sergio Hernández and his family were not clearly established in 2010, when Agent Mesa fired his fatal shots across the international border. However, I am compelled to write separately in response to Judge Jones's concurring opinion, which, in my view, sets
The facts in this case — though novel — are recurring, and similar lawsuits have begun percolating in the federal courts along the border.
The notion that the Fourth Amendment provides the exclusive means of relief for Hernández is rooted in a strained and incorrect reading of Graham v. Connor. The Court in Graham held 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." 490 U.S. at 395, 109 S.Ct. 1865. The Court explained that "[b]ecause the Fourth Amendment provides an explicit textual source of constitutional protection against this sort of physically intrusive governmental conduct, that Amendment, not the more generalized notion of `substantive due process,' must be the guide for analyzing these claims." Id.
Judge Jones's concurrence rightly points to these portions of the Court's opinion, but it elides key limiting phrases in each: "free citizen" and "explicit textual source." If, as the Court held in Verdugo-Urquidez, 494 U.S. at 274-75, 110 S.Ct. 1056, the Fourth Amendment does not shield aliens located abroad (viz. non-"free citizens"), then it cannot provide "an explicit textual source of constitutional protection" to persons in Hernández's position, and Graham's directive to apply the Fourth Amendment to covered excessive-force claims is simply inapt.
Indeed, as the Court explained in United States v. Lanier, 520 U.S. 259, 117 S.Ct. 1219, 137 L.Ed.2d 432 (1997), "Graham... does not hold that all constitutional claims relating to physically abusive government conduct must arise under either the Fourth or Eighth Amendments; rather, Graham simply requires that if a constitutional claim is covered by a specific constitutional provision, ... the claim must be analyzed under the standard appropriate to that specific provision, not under the rubric of substantive due process." Id. at
Hernández, a noncitizen, was fatally shot in Mexico by a U.S. government agent standing on U.S. soil. Accepting Hernández's allegations as true, as we must on a motion to dismiss, Agent Mesa made no effort to apprehend Hernández — he detained one of Hernández's companions, then fired his service weapon into Mexico, where Hernández hid behind the pillar of a bridge, and he ultimately left Hernández's body where it lay. Under Verdugo-Urquidez and Lewis, the Fourth Amendment does not "cover" this claim of excessive force. I would therefore hold that Hernández may invoke the Fifth Amendment's prohibition on constitutionally arbitrary official conduct.
Judge Jones's concurrence paints our extraterritoriality case law in broad strokes, with a palette of black and white. The state of the law, as the concurrence
In Boumediene, the Court provided its clearest and most definitive articulation of the principles governing the application of constitutional provisions abroad. Although the Court was tasked with deciding the narrow question of whether aliens designated enemy combatants and detained at Guantanamo Bay had the constitutional privilege of habeas corpus, Justice Kennedy wrote a lengthy opinion for the Court that grappled with the foundations of extraterritoriality. The Court first discussed its sparse extraterritoriality precedents and found them to undermine "the Government's argument that, at least as applied to noncitizens, the Constitution necessarily stops where de jure sovereignty ends." Boumediene, 553 U.S. at 755, 128 S.Ct. 2229 (emphasis added). Rather, the Court read beyond the bare holdings of these cases and concluded that they shared a common thread: "the idea that questions of extraterritoriality turn on objective factors and practical concerns, not formalism." Id. at 764, 128 S.Ct. 2229.
This holding may have been limited to the Suspension Clause, but the Court's reasoning was decidedly not so constricted. Justice Kennedy's opinion drew from the analysis of numerous rights in numerous contexts other than habeas, id. at 755-64, 128 S.Ct. 2229, framing its review of the case law as a survey of the Court's discussions of "the Constitution's extraterritorial application," id. at 755, 128 S.Ct. 2229 (emphasis added). More importantly, when the Court rejected the Government's proffered reading of Eisentrager — the case that Judge Jones's concurrence cites as facially foreclosing Hernández's Fifth Amendment claim
In sum, were we to reach the constitutional merits, I would hold, as the vacated panel majority's opinion did, Hernández, 757 F.3d at 272, that a noncitizen situated immediately beyond our nation's borders may invoke the protection of the Fifth Amendment against the arbitrary use of lethal small-arms force by a U.S. government official standing on U.S. soil. To hold otherwise would enshrine an unsustainably strict, territorial approach to constitutional rights — one the Supreme Court rejected in Boumediene.
Contrary to Judge Jones's concurrence, I believe that the "path of least resistance" presents a prudent course for the en banc court. The depth of our disagreement about the meaning of Boumediene, Verdugo-Urquidez, and Eisentrager is compelling evidence that the law was not clearly established at the time of the tragic events giving rise to this suit. But to affirmatively find no constitutional violation on these facts — which are without parallel in our precedents — requires a troublingly uncomplicated reading of the governing law. Just as Graham cannot be understood without Lanier and Lewis, Verdugo-Urquidez and Eisentrager cannot be understood without Boumediene. Reading these cases in context and with due regard for the novel facts presented here, it is evident that Agent Mesa's fatal cross-border shooting of Sergio Hernández cannot be painted in the simple black and white prevalent in Judge Jones's concurrence. It requires a shade of gray that only a careful engagement with our precedents and the record in this case can produce.
Were we in a position to reach the constitutional merits, I would hold that Agent Mesa's actions violated Hernández's Fifth Amendment right to be free from constitutionally arbitrary government conduct. But until the Supreme Court intervenes to clarify the reach of Boumediene and apply Justice Kennedy's functional test to these distinct facts, I remain satisfied that the en banc court has wisely resolved this appeal on clearly-established-law grounds.
I respectfully concur in the en banc opinion.
CATHARINA HAYNES, Circuit Judge, joined by SOUTHWICK and HIGGINSON, Circuit Judges, concurring:
I concur in the judgment of the court.
As the panel majority opinion notes, Sosa holds that federal courts can recognize a "limited" number of international common law torts that fall within the rubric of the ATS. See Sosa, 542 U.S. at 712, 124 S.Ct. 2739. Left unaddressed is the question of whether any such common law torts would make the sovereign immunity of the United States unavailable. Put another way, if the United States has sovereign immunity as the Special Concurrence asserts, then I agree that it must be expressly waived in order for a lawsuit such as this one to be viable. But if there is a category of torts (violations of the law of nations, for example) that change the ordinary rules of sovereign immunity because these acts cannot be authorized by the sovereign, then a country either would lack any such immunity to waive or would not be permitted to substitute for one of its officers.
The Fourth Circuit recently discussed this possibility, noting in the context of foreign official immunity:
Yousuf v. Samantar, 699 F.3d 763, 775-76 (4th Cir.2012) (citing Siderman de Blake v. Republic of Argentina,
In turn, jus cogens norms are a form of customary international law, a term often used instead of the phrase "law of nations." See generally Gwynne L. Skinner, Roadblocks to Remedies: Recently Developed Barriers to Relief for Aliens Injured by U.S. Officials, Contrary to the Founders' Intent, 47 U. RICH. L.REV. 555, 565 (2013) ("The ATS gives federal courts jurisdiction over tort claims brought by aliens for violations of the law of nations, a term now seen as synonymous with customary international law."); Ernest A. Young, Sorting Out the Debate over Customary International Law, 42 VA. J. INT'L L. 365, 448 (2002) ("[M]ost courts [interpreting the ATS] seem to have limited the scope of actionable customary international law to fundamental or jus cogens norms...."); Justin D. Cummins, Invigorating Labor: A Human Rights Approach in the United States, 19 EMORY INT'L L.REV. 1, 5 n. 12 (2005) ("Jus cogens `is now widely accepted ... as a principle of customary law (albeit of higher status).'" (quoting RESTATEMENT (THIRD) OF FOREIGN RELATIONS § 102 n. 6)); cf. Siderman, 965 F.2d at 715 (noting that jus cogens differs from customary international law in that "customary international law derives solely from the consent of states, [while] the fundamental, and universal norms constituting jus cogens [derive from customary laws considered binding on all nations and] transcend such consent, as exemplified by the theories underlying the judgments of the Nuremberg tribunals following World War II"); Sanchez-Espinoza v. Reagan, 770 F.2d 202, 206-07 (D.C.Cir.1985) (Scalia, Circuit J.) (describing "the law of nations [as] so-called customary international law, arising from the customs and usages of civilized nations" (citation and internal quotation marks omitted)).
Although not all jus cogens norms may fall within the category of international common law torts that federal courts can recognize under Sosa, it seems logical that cognizable jus cogens norms may preclude a sovereign immunity defense. Cf. Thomas H. Lee, The Safe-Conduct Theory of the Alien Tort Statute, 106 COLUM. L.REV. 830, 879-82, 890-95, 901-08 (2006) (analyzing history, Sosa, and legislative documents from the founding era to postulate about which international common law torts are cognizable under the ATS); Sarah H. Cleveland, The Kiobel Presumption and Extraterritoriality, 52 COLUM. J. TRANSNAT'L L. 8, 17-19 (2013) (similar, but arguing for a more expansive view of which torts are cognizable, especially in the extraterritorial context); cf. also The Paquete Habana, 175 U.S. 677, 700-01, 20 S.Ct. 290, 44 L.Ed. 320 (1900) ("International law is part of our law, and must be ascertained and administered by the courts of justice of appropriate jurisdiction...."); Estate of Amergi ex rel. Amergi
Sosa also did not address sovereign immunity vis-à-vis the ATS. In that case, the Court only considered the claims of a foreign national named Alvarez-Machain that he was kidnapped by another foreign national, Sosa, at the behest of the U.S. Drug Enforcement Administration ("DEA"). 542 U.S. at 698-99, 124 S.Ct. 2739. The Court ultimately held that the alleged international norm in question was insufficient to support a claim under the common law underlying the ATS. Id. at 712, 124 S.Ct. 2739. Sosa's language, however, hints at the idea that the ATS contemplated something broader than merely giving jurisdiction for an action Congress authorizes: "[T]here is every reason to suppose that the First Congress did not pass the ATS as a jurisdictional convenience to be placed on the shelf for use by a future Congress...." Id. at 719, 124 S.Ct. 2739.
Unlike Sosa, here the United States was substituted for Mesa under the Westfall Act. Plaintiffs could have sought (but did not seek) federal-court review of the Attorney General's scope-of-employment certification under the Westfall Act. See Gutierrez de Martinez v. Lamagno, 515 U.S. 417, 420, 115 S.Ct. 2227, 132 L.Ed.2d 375 (1995); see also Osborn v. Haley, 549 U.S. 225, 127 S.Ct. 881, 166 L.Ed.2d 819 (2007). Indeed, given Plaintiffs' argument that jus cogens violations are not legitimate official acts, Plaintiffs may have had a strong basis for raising such a challenge.
I conclude that Plaintiffs' argument on sovereign immunity and the ATS has some force. But in this area of great delicacy involving international diplomacy and United States sovereign immunity, I believe it is best to leave this issue to the Supreme Court or at least to a court more appropriately positioned to address these intricate issues. See Sosa, 542 U.S. at 725, 124 S.Ct. 2739 ("[T]here are good reasons for a restrained conception of the discretion a federal court should exercise in considering a new cause of action of this kind."); id. at 728, 124 S.Ct. 2739 (similar); see also id. at 750, 124 S.Ct. 2739 (Scalia, J., concurring in part and concurring in the judgment) (decrying the notion that lower federal courts will be determining "perceived international norms"). Accordingly, I concur in the judgment of the en banc court.
JAMES E. GRAVES, JR., Circuit Judge, concurring in part:
I agree with the majority that the Fifth Amendment right was not clearly established
The cases the concurrence cites are not to the contrary. Cf. Lewis, 523 U.S. at 843-44, 118 S.Ct. 1708 (holding that the passenger of a vehicle being pursued by police was not "seized" during a fatal collision and therefore could assert a substantive due process claim under the Fourteenth Amendment); Albright v. Oliver, 510 U.S. 266, 273-74, 114 S.Ct. 807, 127 L.Ed.2d 114 (1994) (declining to recognize a substantive due process right to be free from criminal prosecution without probable cause because the Fourth Amendment was drafted to address pretrial deprivations of liberty); Brower v. Cnty. of Inyo, 489 U.S. 593, 596-99, 109 S.Ct. 1378, 103 L.Ed.2d 628 (1989) (determining that the fatal use of a roadblock to terminate a suspect's flight constituted a seizure and observing that "a Fourth Amendment seizure does not occur whenever there is a governmentally caused termination of an individual's freedom of movement (the innocent passerby), nor even whenever there is a governmentally caused and governmentally desired termination of an individual's freedom of movement (the fleeing felon), but only when there is a governmental termination of freedom of movement through means intentionally applied"); Tennessee v. Garner, 471 U.S. 1, 3, 7, 105 S.Ct. 1694, 85 L.Ed.2d 1 (1985) (analyzing the apprehension of a fleeing suspect through the use of deadly force as a seizure).
The significance of this opinion, which evinces Justice Kennedy's dedication to applying a functional approach to extraterritoriality even in a U.S.-Mexico cross-border law-enforcement context, cannot be understated. And it hardly bears repeating here that Justice Kennedy cast the deciding vote in both Verdugo-Urquidez and Boumediene.
Furthermore, while Judge Jones's concurrence is quick to emphasize Boumediene's limited holding, it is conspicuously silent as to the significance of Eisentrager's equally narrow ruling. See Eisentrager, 339 U.S. at 785, 70 S.Ct. 936 ("We hold that the Constitution does not confer a right of personal security or an immunity from military trial and punishment upon an alien enemy engaged in the hostile service of a government at war with the United States."). In any event, my point is not that Boumediene overruled Eisentrager, but that the 2008 case offers us the Court's authoritative reading of the 1950 case — one that eschews a formalistic approach to extraterritoriality. It is this interpretation of Eisentrager — according to which the case must be understood as consistent with the functional approach endorsed in Boumediene — that must guide our analysis.
Judge Jones's concurrence disputes the characterization of the border region as "lawless," citing the governmental investigations into Hernández's fatal shooting. But the fact that the United States "declined to indict Agent Mesa or grant extradition to Mexico" speaks not to the promise of accountability but to the practical obstacles associated with the criminal and political processes that exist to regulate official conduct.