Lead Opinion
ON APPLICATION FOR REHEARING EN BANC
The court having been polled at the request of one of the members of the court and a majority of the judges who are in regular active service not having voted in favor (Fed. R.App. P. and 5th Cir. R. 35), the Application for Rehearing En Banc is DENIED. Col-ston’s Petition for Rehearing is also DENIED. We take this opportunity, however, to expand upon our previous discussion concerning our exercise of jurisdiction over this appeal.
In Johnson v. Jones,
Johnson makes clear that an appellate court may not review a district court’s determination that the issues of fact in question are genuine. As the Court explained in Beh-rens, “determinations of evidentiary sufficiency at summary judgment are not immediately appealable merely because they happen to arise in a qualified-immunity ease; if what is at issue in the sufficiency determination is nothing more than whether the evidence could support a finding that particular conduct occurred, the question decided is not truly ‘separable’ from the plaintiffs claim, and hence there is no ‘final decision’ under Cohen and Mitchell.”
By way of illustration, take, for example, a § 1983 ease where the plaintiff alleges that the defendant police officer shot him and the defendant alleges that he merely beat the plaintiff with his baton. The district court denies the defendant’s motion for summary judgment on the ground that a genuine issue of material fact exists as to what type of weapon was involved. The defendant might argue on appeal that the district court erred in two respects. First, he might argue that the district court erroneously concluded that a genuine issue of fact exists, i.e., that the plaintiff presented insufficient evidence from which a reasonable juror could conclude that the defendant shot him rather than merely hit him with a baton. Under Johnson, the appellate court could not consider this argument on interlocutory appeal.
Second, the defendant might argue that the district court erroneously concluded that a material issue of fact exists, i.e., that regardless of whether he shot the plaintiff or hit him with a baton his actions did not constitute excessive force. Under Behrens, the appellate court could consider this argument on interlocutory appeal.
When the district court denies a motion for summary judgment and merely states that “genuine issues of material fact remain” without identifying those issues, application of the Johnson/Behrens rule becomes significantly more problematic. On interlocutory appeal, the defendant will argue that the factual issues the district court has found in dispute are immaterial. In doing so, the defendant will doubtless set forth a factual scenario that he claims is the scenario supported by the summary judgment evidence viewed in the light most favorable to the plaintiff. He will then proceed to argue that, even under this factual scenario, he is entitled to qualified immunity. Without a statement from the district court as to which particular issues of fact it found in dispute, however, it will be impossible for the appellate court to determine whether the defendant’s version of the facts viewed in the light most favorable to the plaintiff mirrors the district court’s version of the facts viewed in the light most favorable to the plaintiff. If the appellate court cannot make this determination, then it will be unable to conclude whether the defendant is properly challeng
In other words, where the district court does not identify those factual issues as to which it believes genuine disputes remain, an appellate court is permitted to go behind the district court’s determination and conduct an analysis of the summary judgment record to determine what issues of fact the district court probably considered genuine. The appellate court is permitted to do so in order to ensure that the defendant’s right to an immediate appeal on the issue of materiality is not defeated solely on account of the district court’s failure to articulate its reasons for denying summary judgment.
In this case, the district court in denying summary judgment did more than state that “genuine issues of material fact remain.” To wit, the district court stated that it found genuine issues of fact remained as to “what information Trooper Barnhart possessed immediately prior to and at the moment he fired the three shots at [Colston.]”
Notes
.. In Cohen v. Beneficial Indus. Loan Corp.,
. The district court also stated that it found that genuine issues of fact remained as to "whether Officer Barnhart had a reasonable belief of danger from the fleeing [Colston] which would justify the use of deadly force in self-defense.” The district court’s statement, however, merely recasts the ultimate determination in this case'— whether Barnhart’s behavior was objectively reasonable under the Fourth Amendment. That determination is a question of law. See United States v. Wilson,
. For instance, the district court might have concluded that there was a genuine issue of fact as to whether it would have appeared to a reasonable officer in Barnhart’s position that Colston had seriously injured the other officer on the scene, thus justifying the use of deadly force. See Tennessee v. Garner,
Dissenting Opinion
dissenting from order on application for rehearing en banc.
While the majority is correct in stating that “a majority of the judges who are in regular active service [have not] voted in favor” of rehearing en banc, Order on Reh’g, supra, at 283, it is more accurate and informative to state that the Court divided equally, eight to eight, on the motion for rehearing en banc. That tie vote is reflective of the difficulty which the judges of this Court have in reading and interpreting the decisions of the Supreme Court in Johnson v. Jones,
This case presents serious issues concerning our appellate jurisdiction in cases involving the denial of summary judgment on the grounds of qualified immunity. I express the following views in the hopes that they may help to attract the Supreme Court’s attention to the increasingly complex panorama of doctrine and dissent that has evolved as the courts of appeals have struggled to reconcile the holdings of Johnson and Behrens.
In light of the tie vote on whether to reconsider this case en banc, the panel opinion published at
I.
A. Our appellate jurisdiction to review “fi-. nal decisions,” 28 U.S.C. § 1291, does not encompass collateral orders to the extent that they implicate the substantive merits of a complaint.
The original panel opinion reversed the district court’s considered judgment that fact issues precluded summary judgment on the merits; and it dismissed the case based on its appellate determination that Trooper Bryan Barnhart acted in an “objectively reasonable” fashion when he shot Lorenzo Col-ston twice in the back. Appellate jurisdiction to make this judgment was, however, lacking. A straightforward application of the authorities relevant to exercising interlocutory appellate jurisdiction reveals that we may not review the objective reasonableness of Trooper Barnhart’s conduct on appeal from the district court’s denial of his motion for summary judgment. This is so primarily because applying that standard for determining whether Colston’s Fourth Amendment rights were violated, set forth in Graham v. Connor,
1. The collateral-order doctrine governs the review of qualified-immunity appeals from denial of summary judgment.
Appellate jurisdiction over interlocutory appeals from denials of summary judgment based on qualified immunity rests on three essential legal principles, as delineated by the Supreme Court in Johnson. See Johnson,
2. The collateral-order doctrine does not apply in this case because the “objective reasonableness” of Trooper Barnhart’s conduct is not separable from the merits of the controversy.
An interlocutory appeal from the denial of summary judgment in the qualified-immunity context is simply an application of the collateral-order doctrine. This much is clear from Johnson, in which the Supreme Court found no appellate jurisdiction to review the district court’s fact-based sufficiency-of-the-evidence determination that the defendants were not entitled to summary judgment based on qualified immunity. The Johnson Court specifically distinguished its decision from the Court’s earlier treatment of the clearly-established-law prong of qualified-immunity analysis in Mitchell v. Forsyth,
Trooper Barnhart’s contention here on appeal — that his conduct was objectively reasonable and therefore Colston’s suit should be dismissed — is not reviewable precisely because it does not, as the doctrine of collateral orders requires, “resolve an important issue completely separate from the merits of the action.” Puerto Rico Aqueduct,
The requirement that the matter be separate from the merits of the action itself means that review now is less likely to force the appellate court to consider approximately the same (or a very similar) matter more than once, and also seems less likely to delay trial court proceedings (for, if the matter is truly collateral, those proceedings might continue while the appeal is pending).
Johnson,
Though the matter does not require elaborate exposition, Trooper Barnhart’s argument that his conduct was objectively reasonable plainly does not meet this standard. Rather than being a separate, distinct, collateral issue, the objective reasonableness of
The panel majority does not contend, because they could not possibly establish, that their review of the objective reasonableness of Trooper Barnhart’s arrest technique is separable from the merits of Colston’s complaint. That single factor is completely determinative of the absence of appellate jurisdiction over Trooper Barnhart’s appeal.
3. The panel majority’s approach imper-missibly engages in case-specific factual analysis to determine appealability.
As a final matter concerning the panel majority’s implicit determination that the district court’s denial of summary judgment was an appealable collateral order, I note that the panel majority’s treatment of this issue is utterly inconsistent with the yet another principle of the Cohen doctrine. Both Johnson and Behrens acknowledge that courts “decide appealability for categories of orders rather than individual orders,” Johnson,
The majority’s approach to determining the propriety of interlocutory appellate jurisdiction violates this principle in spectacular fashion. The panel admits that its approach required it to “undertake a review of the record to determine whether we had jurisdiction over Trooper Barnhart’s appeal.” Order on Reh’g, supra, at 285. But what did the panel expect to find in the record other than facts? “Appeal rights cannot depend on the facts of a particular case.” Behrens, 516 U.S. at 311,
The error of the panel opinion’s approach is evident. Neither Johnson nor Behrens contemplates a “cumbersome review of the record” for the threshold purpose of determining whether there is appellate jurisdiction. It is, rather, only a suggestion for how to proceed on determining whether the plaintiff alleged a violation of then-clearly-established law after appellate jurisdiction has already been determined.
To conclude, there is one, primary, eminently simple reason why interlocutory appeal was unavailable to Trooper Barnhart. In order for us to proceed under § 1291, there must be a final order. In the absence of a final judgment, the elements of the collateral-order doctrine must be satisfied to permit appeal under that statute. One of those elements is separability of the appealed order from the ultimate merits of the controversy, and that element is simply not present in this case. Moreover, the panel majority impermissibly tailors its jurisdictional analysis to the facts of the case. The collateral-order doctrine cannot be stretched to establish appellate jurisdiction in this ease, and the appeal should have been dismissed.
B. Behrens v. Pelletier does not ereate an exception to the collateral-order doctrine’s separability requirement.
The above reasoning notwithstanding, the majority relies upon language in Behrens to
The relevant discussion in Behrens begins by identifying and reaffirming the basic distinction that Johnson draws as to the appeal-ability of a district court’s decisions on “issues of law” and the nonappealability of those decisions on “issues of fact.” See Behrens,
The confusion is created by the following passage from Behrens:
Here the District Court’s denial of petitioner’s summary-judgment motion necessarily determined that certain conduct attributed to petitioner (which was controverted) constituted a violation of clearly established law. Johnson permits petitioner to claim on appeal that all of the conduct which the District Court deemed sufficiently supported for purposes of summary judgment met the Harlow [v. Fitzgerald,457 U.S. 800 ,102 S.Ct. 2727 ,73 L.Ed.2d 396 (1982)] standard of “objective legal reasonableness.” This argument was presented by petitioner in the trial court, and there is no apparent impediment to its being raised on appeal. And while the District Court, in denying petitioner’s summary-judgment motion, did not identify the particular charged conduct that it deemed adequately supported, Johnson recognizes that under such circumstances “a court of appeals may have to undertake a cumbersome review of the record to determine what facts the district court, in the light most favorable to the nonmoving party, likely assumed.” Johnson, [515 U.S. at 319 ],115 S.Ct. at 2159 . That is the task now facing the Court of Appeals in this case.
Behrens,
1. Behrens v. Pelletier refers only to determining “objective legal reasonableness” for qualified-immunity purposes under Harlow v. Fitzgerald — not other semantically similar merits-bound inquiries. ,
The second sentence of the above-quoted paragraph is where the ambiguities and un
The majority erred when it construed Beh-rens in that manner. Such a reading is not supported by Behrens, which refers to “the Harlow standard of ‘objective legal reasonableness.’” Behrens,
a. The function of Harlow v. Fitzgerald’s “objective legal reasonableness” qualified-immunity standard makes it a proper subject for interlocutory review.
Proper application of the “objective legal reasonableness” standard established in Har-ion) does not establish whether the conduct in question violated the law per se. Harlow’s reference to “objective legal reasonableness” speaks only to a facet of whether the plaintiff alleged a violation of “clearly established statutory or constitutional rights of which a reasonable person would have known” at the time an action occurred. Harlow,
If the summary-judgment proof is sufficient to raise a genuine issue of material fact, a motion for summary judgment on the grounds of qualified immunity should be denied and the matter should be developed fully at trial.
It is possible, of course, that the injured citizen might not prevail at trial. But if the law involved at the time of the conduct was clear and if the injured citizen presents sufficient proof at summary judgment to persuade the district court that a jury verdict for the injured citizen could be sustained, then the public official must bear the risk of trial just like any other civil defendant. See generally infra Part III. The policy — embodied by the judge-made qualified-immunity doctrine — of protecting public officials from frivolous claims based upon ambiguous concepts of the law must under these circumstances yield to another public policy — dictated by Congress and embodied in 42 U.S.C. § 1983 — of protecting citizens from damage and injury caused by the conduct of public officials which violates clearly established constitutional principles. Cf. Crawford-El v. Britton, — U.S. -, -,
■li. The function of Graham v. Connor’s “objectively reasonable” substantive excessive-force standard makes it an improper subject for interlocutory review.
Instead of reading Johnson and Behrens in their proper context, the majority misreads the Behrens reference to “the Harlow standard of objective legal reasonableness” (which is closely related to the determination of whether the law was “clearly established” at any given time) to be interchangeable with the “objectively reasonable” test established in Graham. The Graham standard — the proper test for evaluating the merits of Col-ston’s claim
This confusion was aptly demonstrated in several parts of the original majority opinion. At one point, the majority asserted: “We therefore have interlocutory jurisdiction to determine the legal issue of whether Trooper Barnhart’s conduct was objectively reasonable.” Colston,
In Graham v: Connor the Supreme Court explained that the reasonableness inquiry in an excessive force case is an objective one; evaluating the officer’s conduct under the Fourth Amendment we must balance the amount of force used against the need for that force with reference to clearly established law at the time of the conduct in question.
Id. at 99 (internal citations omitted, emphasis supplied). But the problem with this quotation is that the italicized phrase requiring reference to clearly-established law does not appear anywhere in the text of Graham
2. Behrens v. Pelletier refers to “a cumbersome review of the record” for the sole purpose of establishing a universe of facts used to answer abstract legal issues related to qualified immunity — not other merits-bound purposes.
Another stumbling block in the infamous Behrens passage is the now-oft-quoted reference to circumstances, recognized by Johnson, in which “a court of appeals may have to undertake a cumbersome review of the record to determine what facts the district court, in the light most favorable to the non-moving party, likely assumed.” Behrens,
This Johnson sentence was prompted by, and was intended to respond to, the claim that if a district court simply denies the motion for summary judgment without explanation, an appellate court would be unable to determine whether the district court’s decision was based upon fact-based issues that may not be immediately appealed or abstract legal issues that may be immediately appealed. See Johnson,
Thus Johnson, by its own terms, speaks of a “cumbersome review of the record” only in circumstances in which (1) the district court denied summary judgment without indicating its reasons for doing so, (2) there is a “given set of facts,” in other words, facts which the parties have stipulated or which are undisputed, and (3) the appellate court is faced with a contention “that the district court mistakenly identified clearly established law.” None of these circumstances existed in Johnson, and none exist here in this case.
The language used in Behrens was appropriate to the circumstances involved in that
3. Thus, the panel majority fundamentally misapplied Behrens v. Pelletier in assuming appellate jurisdiction to determine the objective reasonableness of Trooper Barnhart’s actions.
In exercising appellate jurisdiction, the panel majority misconstrued Behrens in two key respects. First, Behrens’s reference to the “Harlow standard of ‘objective legal reasonableness,’ ” Behrens,
Because the “objective reasonableness” of the force applied'by Trooper Barnhart to arrest Colston is not an issue separable from-the merits of Colston’s complaint, it is not separable from the merits and is therefore not subject to interlocutory appeal. The majority erred by applying Behrens to achieve a contrary result.
The new theory proffered by the panel majority as to how this Court has appellate jurisdiction is simple — perhaps even deceptively simple. It postulates that the decision of the district court to deny summary judgment because “a genuine issue of material fact exists” involves two fundamental decisions by the district court: (1) there is sufficient conflict in the factual testimony that a jury could find that the force used by Trooper Barnhart was excessive, or, that the force used by Trooper Barnhart was reasonable; and (2) the issue of whether the force used was excessive or unreasonable is a material issue in the case. The first of these issues is obviously factual and the second issue is essentially legal in nature. Therefore, according to the majority’s expanded theory, when the district court ruled that “a genuine issue of material fact exists,” it necessarily made a “legal” ruling which, under the majority’s analysis of Johnson and Behrens, authorizes us to exercise appellate jurisdiction.
I acknowledge that this theory is simple, but in my view it is simply wrong.
The panel majority’s use of the genuineness-or-materiality distinction is simply not a useful theory of appealability. The trouble is that the analysis makes every denial of summary judgment appealable. Such an interpretation of Behrens entirely swallows the rule in Johnson, and is therefore unacceptable.
When ruling on a motion for summary judgment, a district court must consider the materiality of the factual disputes before the court. See Fed.R.Civ.P. 56(c). If the district court concludes that the only genuinely disputed facts are not material, the district court would grant summary judgment, and that would be an appealable final decision. But what happens when a motion for summary judgment is denied? According to the panel majority, Behrens established that “an appellate court is free to review a district court’s determination that the issues of fact in question are material.” Order on Reh’g, supra, at 284. If that is the case, every single denial of summary judgment is appealable because every single denial of summary judgment embodies a “determination that the issues of fact in question are material.” See Fed.R.Civ.P. 56(e). To reiterate, if the issues of fact were not material, summary judgment would have been granted, not denied.
Obviously this is not what Behrens intended. The fact of the matter is that Behrens does not say that “an appellate court is free to review a district court’s determination that the issues of fact in question are material,” a cold fact belied by the panel majority’s failure to provide a citation to Behrens or any other case to support this assertion. See Order on Reh’g, supra, at 284. Quite to the contrary of the panel majority’s view, Beh-rens does not give the courts of appeals carte blanche to investigate whether or not the fact issues that precluded a grant of summary judgment were material. What Behrens does say is that “summary judgment determinations are appealable when they resolve a dispute concerning an ‘abstract issu[e] of law’ relating to qualified immunity — typically, the issue whether the federal right allegedly infringed was ‘clearly established.’ ” Behrens,
Thus, as fully discussed supra, the panel majority’s Johnsow-swallowing interpretation of Behrens does not withstand scrutiny. No Supreme Court eases have been cited to support the primacy of the genuineness-materiality distinction. That is because there are none. The proper distinction as explained in both Johnson and Behrens is between ap-pealable legal determinations and nonap-pealable determinations of evidence sufficiency. The partial congruence that exists because genuineness relates to factual disputes while materiality relates to the legal significance of facts does not supplant the controlling dichotomy, which is between law-based decisions and fact-based decisions. Moreover, the fact that there is a dispute about materiality tells us absolutely nothing
Instead of trying to understand the nuances that differentiate Johnson and Beh-rens, the panel majority’s approach simply seeks to articulate a theory to justify jurisdiction. Their approach, as explained in the new opinion on denial of rehearing, ensures that unless the district court satisfies an undefined and therefore wholly arbitrary standard of specificity,
III.
Finally, I must register my fundamental disagreement with the panel majority’s general approach to implementing the policies which support qualified immunity. I support the application of those important and necessary policies to the extent that we maintain fidelity to the numerous Supreme Court opinions on the subject. I cannot support, however, our Court’s steady development of a reflexive habit of substituting appellate judgment for that of the district courts on interlocutory matters in the name of protecting public officials from the burdens of litigation. As the Supreme Court has made abundantly plain, qualified immunity in and of itself is a substantial concession to the needs of faithful and efficient execution of public duties. It is not, therefore, necessary or appropriate to contort ancillary legal doctrines (such as the original panel opinion’s misapplication of the collateral-order doctrine) for the purpose of terminating litigation early when, in the judgment of the district court, genuine factual issues remain that merit further consideration.
The Supreme Court has recently revisited and reaffirmed the policy goals which under-gird the doctrine of qualified immunity. The first of these goals is “a strong public interest in protecting public officials from the costs associated with the defense of damages actions.” Crawford-El, — U.S. at - -,
The parameters of the qualified-immunity defense have been carefully laid out by the Supreme Court, and they represent the full extent to which a court accommodate the above-mentioned policy interests. See, e.g., Imbler v. Pachtman,
B. The substantial policy interest in adjudicating Colston’s claims cannot be ignored.
Despite our real concern about the policy interests protected by qualified immunity, we cannot forget that our fellow citizens also have a legitimate interest in vindicating their rights as provided by law. Congress has provided by statute that:
Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any State ... subjects, or causes to be subjected, any citizen of the United States or other person within the jurisdiction thereof to the deprivation of any rights, privileges, or immunities secured by the Constitution and laws, shall be liable to the party injured in an action at law, suit in equity, or other proper proceeding for redress....
42 U.S.C. § 1983. Qualified immunity is intended to extinguish some legitimate claims arising under § 1983 which are frivolous or ambiguous in nature, and that is a recognized and accepted consequence of applying the doctrine. But in a case where the plaintiff has alleged a violation of his then-elearly-established constitutional rights and claims serious and demonstrable damages from the official’s conduct which was not objectively reasonable, the plaintiff should be entitled to proceed to trial so long as the allegations are sufficiently supported by evidence to survive a motion for summary judgment. “[I]t is not unfair to hold liable the official who knows or should know he is acting outside the law.” Butz v. Economou,
C.The majority erred by tipping the scales of justice in Trooper Barnhart’s favor.
The primary lesson of the recently decided cáse of Crawford-El v. Britton, — U.S. -,
The Supreme Court also strained to point out that there is no reason for the courts of appeals to “deal under the table” in order to impede lawsuits against public officials. The Court has endorsed “firm application of the Federal Rules of Civil Procedure” which “may lead to the prompt disposition of insubstantial claims,” id. at-,
Perhaps most importantly, the Court reiterated that a claim which may have merit should be heard unless the plaintiff fails to survive a fair application of qualified-immunity analysis.
[Qualified immunity’s] rationale of fairness does not provide any justification for the imposition of special burdens on plaintiffs who allege misconduct that was plainly unlawful when it occurred. While there is obvious unfairness in imposing liability— indeed, even in compelling the defendant to bear the burdens of discovery and trial — for engaging in conduct that was objectively reasonable when it occurred, no such unfairness can be attributed to holding one accountable for actions that she knew, or should have known, violated the constitutional rights of the plaintiff. Harlow itself said as much: “If the law was clearly established, the immunity defense ordinarily should fail, since a reasonably competent public official should know the law governing his conduct.” Id. at 818-819,102 S.Ct. at 2738 ; see also Butz ,438 U.S. at 506 ,98 S.Ct. at 2910-11 (“[I]t is not unfair to hold liable the official who knows or should know he is acting outside the law....”).
Crawfordr-El, — U.S. at -,
If this case had proceeded as usual and gone to trial, it is possible that Colston might left the courthouse with empty pockets. He was, however, entitled under the evidence available at summary judgment to step to the bar and take his fair chances.
Colston’s claim was not insubstantial. The right which he alleges was violated — the right to be free from police brutality — is one of our civil rights which is of most vital concern to significant portions of our population. The alleged violation of his rights resulted in serious and permanent injuries. Colston has alleged facts which would support a jury finding that Trooper Barnhart improperly used deadly force to accomplish his seizure. The law, as clarified in Crawford-El, is plain; our Court should not have intervened when Trooper Barnhart’s motion for summary judgment was denied on the basis that the facts were not sufficiently established to justify summary judgment.
IV.
For the foregoing reasons, and with all due respect to my colleagues, I dissent from the panel majority’s additional opinion on rehearing, and I dissent from our Court’s denial of rehearing en banc.
. In the present case, there is no dispute over the distinct and separate legal issue of whether the law had been clearly established in this case. There is no doubt that Colston’s constitutional right under the Fourth Amendment to be free from Trooper Barnhart’s use of unreasonable and excessive force arising out of this police stop was clearly established long before the circumstances involved in this case occurred. The panel majority opinion explicitly recognizes both that this constitutional right was clearly established and that Colston appropriately alleged a violation of his constitutional rights in this § 1983 action. See Colston,
. The Supreme Court granted certiorari in Beh-rens to evaluate the Ninth Circuit’s rule that there can be only one interlocutory appeal on the issue of qualified immunity. The Court rejected that rule, holding that the mere fact that the public official in Behrens had already appealed the trial court's denial of his motion to dismiss under Fed.R.Civ.P. 12(b)(6) did not preclude a further appeal when the trial court denied his motion for summary judgment on the grounds of qualified immunity. See Behrens,
. The first sentence of this paragraph points out that by denying summary judgment the trial court implicitly ruled that if the conduct giving
. I note that after generally tracking the language of Johnson, this is where the Behrens opinion departs from previously-familiar territory. The semantic switch from discussing the typical qualified-immunity issue of "clearly established law” to a hypothetical (in Behrens) issue of "objective legal reasonableness” creates many of the problems that are now plaguing the courts of appeals.
Neither the phrase "deemed sufficiently supported” nor the phrase "objective legal reasonableness” appear anywhere in the Johnson opinion. Moreover, Harlow is cited only once in Johnson. See Johnson,
. In this regard the Supreme Court also said:
By defining the limits of qualified immunity essentially in objective terms, we provide no license to lawless conduct. The public interest in deterrence of unlawful conduct and in compensation of victims remains protected by a test that focuses on the objective legal reasonableness of an official’s acts. Where an official could be expected to know that certain conduct would violate statutory or constitutional rights, he should be made to hesitate; and a person who suffers injury caused by such conduct may have a cause of action.
Id. at 2739; see also Crawford-El v. Britton, - U.S. -, -,
. See Graham,
. This is not surprising because Graham did not involve any claim of qualified immunity at all, see Graham,
Because ’'[t]he test of reasonableness under the Fourth Amendment is not capable of precise definition or mechanical operation,” 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,
. It is also important to note that both Johnson and Colston’s complaint deal with the Fourth Amendment right to be free from unreasonable seizures. In Behrens, on the other hand, the plaintiff asserted that the conduct of the defendant violated his right to procedural due process and deprived him of substantive due process under "clearly established and Constitutionally protected property and liberty rights ... to specific employment and to pursue his profession free frdm undue governmental influence.” Behrens,
. In Behrens, Pelletier complained that Behrens, acting in his capacity as a supervisory agent for the Federal Home Loan Bank Board, had written a letter disapproving Pioneer Savings and Loan Association’s request for approval of the hiring of Pelletier as its managing officer. Id. at 302,
Thus, Behrens presented a serious question as to whether the law was "clearly settled” at the time the letter was written in 1986, such that the author of such a letter could be personally liable for the resulting discharge of respondent. Id. The trial court denied Behrens's summary judgment motion, implicitly finding that if the facts alleged by Pelletier were established, there could be a violation of clearly established law. Beh-rens appealed, arguing that the law was not clearly established. Id. The court of appeals rejected that argument, finding that it was not before the court. Id. at 304,
. The Ninth Circuit’s opinion on remand from the Supreme Court confirms that there was no basis for holding that Behrens's conduct deprived Pelletier of any clearly established liberty or property interest in specific employment at the time of writing the letter. See Pelletier v. Federal Home Loan Bank,
. I pause here to note not only that the district court stated the grounds for denying summary judgment with all due specificity for the purposes of our determining appellate jurisdiction, but also that the panel majority knew full well what factual disputes led the district court to this decision.
The district court’s Memorandum and Order stated that the court was denying Trooper Barn-hart’s motion for summary judgment because it found "that issues of material fact exist which preclude summary judgment.” The court further stated:
Among these factual disputes are what information Trooper Barnhart possessed immediately prior to and at the moment he fired the three shots at the fleeing suspect and whether Officer Barnhart had a reasonable belief of danger from the fleeing suspect which would justify the use of deadly force in self-defense.
The majority actually contends that this statement "lacked sufficient specificity to permit us to determine whether we had jurisdiction over Barnhart’s appeal." Order on Reh’g, supra, at 285.
. This very case is a beautiful example. The majority states in amazingly conclusory fashion:
[Bjecause we determined that Barnhart's version of the facts mirrored the version of the facts that we determined the district court like- ,, ly assumed, we concluded that Barnhart was properly challenging the materiality of the factual issues the district court believed in dispute and that we therefore possessed jurisdiction over this appeal.
Id. at 285. Considering the fact that the district court denied summary judgment, the majority's statement that "that Barnhart's version of the facts mirrored the version of the facts that we determined the district court likely assumed” is simply incredible.
Dissenting Opinion
join dissenting from the denial of rehearing en bane:
The central issue in this qualified immunity case is the important question of the proper scope of a court of appeals’ review of the summary judgment record in a case where a district court has failed to identify the genuine issues of material fact precluding summary judgment. The Colston majority asserts that a court of. appeals may review de novo a district court’s determination that the plaintiffs evidence creates a genuine factual dispute in order to preserve a public official’s right to an immediate appeal on the question of qualified immunity. After substituting its genuineness analysis for that of the district court, the majority concludes that Barnhart is entitled to qualified immunity because his effectively uncontested subjective account of
In contrast, I believe that the majority’s de novo review of the sufficiency of Colston’s evidence conflicts with the Supreme Court’s decision in Johnson v. Jones,
I.
In its explanation of the basis for the court’s jurisdiction over Barnhart’s interlocutory appeal, the Colston majority correctly interprets the Supreme Court’s'decisions in Jones and Behrens v. Pelletier,
. II.
The Colston majority and I part company, however, when it describes the manner in which we are to review the summary judgment record when identifying the factual disputes likely viewed as genuine by the district court. According to the majority, Behrens permits a court of appeals to “go behind” a district court’s determination that genuine issues of material fact preclude summary judgment when we are evaluating whether the unstated facts that the court “likely assumed” are material to a finding of qualified immunity. Although the Colston majority is careful not to explain what it means to “go behind” a district court’s determination and “conduct an analysis of the summary judgment record,” its opinion illustrates that a court of appeals may disregard its obligation to reconstruct the version of the facts that best explains the district court’s decision to deny the defendant’s motion for summary judgment when going behind that determination. In fact, the majority’s decision to “adopt Barnhart’s version of the facts” demonstrates that going behind a district court’s determination entails conducting a de novo review of the district court’s finding that the plaintiffs evidence was sufficient to create a genuine issue of material fact. The majority’s conception of the scope of our review of the summary judgment record in a case like Colston, however, cannot be reconciled with the Supreme Court’s decision in Jones or the collateral order doctrine.
The summary judgment record in Colston indicates that Barnhart and Colston provided plausible and conflicting accounts of the ten- or and significance of the events captured on film by the camera mounted in Barnhart’s patrol car. According to Barnhart, for example, Colston’s effort to stand up in the face of a command to get on the ground was an aggressive and threatening act. Colston, on the other hand, draws attention to the fact that he was a young black man ordered to the ground by a white police officer in connection with a traffic stop that occurred at night on an empty highway. Colston explains that he lifted his leg in preparation to flee because he was noticeably frightened by the officers and what he perceived to be their impending use of force.
The parties also offer conflicting accounts of the most critical point in the encounter: The moment when Barnhart fired two shots into Colston’s back. Barnhart contends that it was not feasible for him to warn Colston before firing these shots because he “had to immediately decide whether to shoot.” Colston v. Barnhart,
The videotape, however, clearly shows that Colston was not in the process of attacking either officer at the time he was shot twice in the back. Instead, as being shot in the back indicates, Colston was running away. Col-ston contends that his observable demeanor indicated that he was in fact fleeing at this point because he had been visibly frightened, had not placed himself in a position to strike the officers after knocking them down, and had not attempted to disarm or strike the officers while they were lying “dazed,” “limp,” and “motionless” on the ground: See Id. at 99. As for Barnhart’s- suggestion that his dazed and disoriented state contributed to his misperception that Colston was moving toward him, the record indicates that he was nonetheless able to see Colston clearly enough to get “a good target acquisition” before firing. Further, as Judge DeMoss stated in his dissent from the panel opinion, Barnhart’s account of the extent of his incapacity may be more hyperbole than fact. See id. at 103 (DeMoss, J., dissenting). Thus, to justify Barnhart’s decision to shoot Colston without warning on the basis of his possibly unreasonable assumption that Colston was advancing upon him, the majority puts forth an explanation of the shooting that Barnhart did not even raise in his motion for summary
Even if Barnhart did in fact perceive Col-ston to be heading for the patrol car, there is no evidence that Colston knew of the shotgun. In fact, we do not know whether the shotgun was loaded or how readily Colston could have retrieved it from the police cruiser. Moreover, the shotgun could not have been visible to Colston from the front of the patrol car because it was dark and the car lights were shining in his eyes. Further, Colston had proceeded only “two steps ... toward Barnhart’s patrol car” when he was shot. Id. Under these circumstances, Col-ston suggests that Barnhart, even if he was in fact concerned about Colston’s access to the shotgun, had ample time to issue a warning before firing the last two shots.
Notwithstanding these conflicting versions of the events preceding shooting, the majority states that it adopted Barnhart’s “version of the facts” because they “mirrored the version of the facts that we determined the district court likely assumed” when denying Barnhart’s motion for summary judgment. Why the district court would have adopted a version of the events not argued by Barn-hart, only to deny his motion for summary judgment, is unclear. More importantly, there can be no question that when the district court denied Barnhart’s motion for summary judgment because “genuine issues offset [exist] as to ‘what information Trooper Barnhart possessed immediately prior to and at the moment he fired the three shots at [Colston],’” it necessarily found that Col-ston’s version of the encounter conflicted with Barnhart’s and that Colston’s account was sufficiently supported by the summary judgment evidence. Thus, by ignoring Col-ston’s account of the encounter and replacing it with the version of the events preceding the shooting that is most favorable to Barn-hart’s qualified immunity claim, the majority, contrary to the Supreme Court’s instruction in Jones, in fact rejected the version of the “facts the district court, in the light most favorable to the nonmoving party, likely assumed” when denying Barnhart’s motion for summary judgment.
Moreover, the process by which the majority inexplicably concluded that the district court adopted Barnhart’s version of the facts when denying his motion for summary judgment also cannot be squared with the Supreme Court’s decision in Jones or the collateral order doctrine. In Jones, the Court unequivocally held that “a defendant, entitled to invoke a qualified-immunity defense, may not appeal a district court’s summary judgment order insofar as that order determines whether or not the pretrial record sets forth a ‘genuine’ issue of fact for trial” because the collateral order doctrine precludes jurisdiction over an interlocutory appeal raising a question, such as “evidence sufficiency,” that is not “significantly different from the fact-related legal issues that likely underlie [a] plaintiffs claim on the merits.” Id.,
According to the majority, this conflict between its de novo review of the sufficiency of Colston’s evidence and the Court’s decision in Jones and collateral order doctrine is authorized by the Supreme Court’s decision in Behrens. The Behrens opinion, however,
Like the majority’s independent review of the sufficiency of Colston’s evidence, this policy argument also conflicts with the Supreme Court’s decision in Jones. In that case, the petitioner claimed that a court of appeals should be permitted to review the sufficiency of a plaintiff’s evidence on interlocutory appeal because “the need to protect officials against the burdens of further pretrial proceedings and trial justifies a relaxation of the separability requirement.” Jones,
III.
The majority’s policy rationale for its de novo review of the sufficiency of Colston’s evidence also reflects an incorrect understanding of the proper balance between the policies underlying qualified immunity and the limits on our jurisdiction over interlocutory appeals. Contrary to the majority’s suggestion, a de novo review of a district court’s genuineness determination was not necessary to ensure Barnhart’s right to an immediate appeal on the question of qualified immunity. Instead, the majority could have overcome the district court’s incomplete order denying summary judgment and fully protected Barnhart’s right to an interlocutory appeal by adopting of the version of events contained in Colston’s response to Barnhart’s motion for summary judgment or remanding the ease to the district court for a complete statement of the genuine issues of material fact. Each of these alternatives to the handling of this appeal, moreover, would have been entirely consistent with the collateral order doctrine and the language and analysis in Jones and Behrens. The majority, therefore, did not have to interpret Behrens as conflicting with the collateral order doctrine and the Court’s unanimous decision in Jones in order to properly dispose of this appeal.
To exercise its jurisdiction over an interlocutory appeal from an incomplete order denying summary judgment in a manner that is consistent with Jones and the collateral order doctrine, a court of appeals should “determine what facts the district court, in the light most favorable to the nonmoving party, likely assumed” when denying a defendant’s motion for summary
• Had the majority in Colston properly restricted its review of the summary judgment record, it would have determined that the factual dispute as to whether Colston was running away or whether he posed an immediate threat of death or serious bodily harm to the officers at the time he was shot twice in the back was material to a finding that Barnhart was entitled to qualified immunity.
In the alternative, even though a cumbersome review of the record is not necessary to identify the version of the facts supporting the district court’s decision to deny Barn-hart’s motion for summary judgment, the majority should have remanded this case to the district court for a sufficiently specific statement of the genuine issues of material fact precluding summary judgment.
Indeed, even if the majority correctly interprets Behrens to create an exception to
IV.
I respectfully dissent from the denial of rehearing en bane. The question of the proper scope of our review of the summary judgment record in an interlocutory appeal from an incomplete order denying summary judgment is one of considerable importance. Any answer we give must carefully balance the limited nature of our jurisdiction over interlocutory appeals with the policies underlying qualified immunity. For this reason alone, the majority’s decision in Colston deserves the attention of the full court. More importantly, the balance the majority has struck between these competing concerns conflicts unnecessarily with the Supreme Court’s decision in Jones. Thus, the court should have taken this case en banc and either affirmed the district court’s denial of summary judgment or remanded this case.
. See Behrens,
. See Behrens,
.As the Supreme Court has suggested, our review of the summary judgment record may become "cumbersome" if a defendant’s motion for summary judgment and the plaintiff's response do not sufficiently highlight the factual disputes in a case. See Jones,
. Cf. Jones,
. Of course, had the majority adopted these principles, it would not have reviewed the sufficiency of Colston’s evidence or inexplicably concluded that the district court likely assumed the version of the facts most favorable to Barnhart when denying his motion for summary judgment.
. This is not to say that Barnhart may not ultimately prevail on his claim that he acted with objective legal reasonableness under the circumstances. Colston’s version of the encounter, however, indicates that the determination of whether Barnhart acted with objective legal reasonableness belongs to a jury. When confronted with the testimony of both Barnhart and Colston, a jury may ultimately conclude that a reasonable officer, when standing in Barnhart's shoes, would have also shot Colston twice in the back without warning. Cf. Snyder v. Trepagnier,
. Cf. Crutcher v. Kentucky,
.A remand in this case would also promote judicial economy. As the Supreme Court has noted, "considerations of deláy, comparative expertise of trial and appellate courts, and wise use of judicial resources, argue in favor of limiting interlocutory appeals of 'qualified immunity’ matters to cases presenting more abstract issues of law.” Jones,
. In Jones, the Supreme Court stated that "a rule that occasionally requires a detailed evidence-based review of the record is still, from a practical point of view, more manageable that the rule that petitioners urge us to adopt,” i.e., allowing a court of appeals to review the sufficiency of the plaintiff's evidence on interlocutory appeal.
. In the alternative, the majority should have affirmed the district court because Colston's evidence was sufficient to create a genuine issue of material fact as to whether Barnhart should have perceived that Colston was running away at the time he was shot twice in the back.
