Lead Opinion
Opinion by Chief Judge KOZINSKI; Partial Concurrence and Partial Dissent by Judge CALLAHAN.
We consider whether law enforcement officers who are accused of failing to investigate a crime or make an arrest due to the race of the victim and that of the perpetrator are entitled to qualified immunity.
Facts
We recite the facts as Ae Ja Park Elliott
The three officers had cause to believe Babauta had been driving under the influence of alcohol: He was teetering and slurring his words, he reeked of alcohol and had bloodshot eyes, his truck bed was littered with empty beer cans and he told Manglona that he had “blacked out” while driving. Despite these obvious signs of intoxication, the officers didn’t administer field sobriety or blood alcohol tests, or otherwise investigate whether Babauta had been driving drunk. Nor did the officers charge him with a DUI or any other crime or infraction. Manglona also falsely stated in his accident report that Babauta “had not been drinking.”
Dr. Thomas Austin, who examined Elliott and Babauta at the hospital, called DPS to complain after he learned that Babauta hadn’t been charged with a DUI. After this complaint, and perhaps some others, the Department of Public Safety (DPS) initiated an investigation, but the three officers conspired with others to obstruct the investigation and prevent prosecution of Babauta. Elliott claims the officers failed to investigate the crime or arrest Babauta because of racial animus against her as a Korean and in favor of Babauta as a Micronesian.
On a motion to dismiss, the district court found that Elliott sufficiently alleged a 42 U.S.C. § 1983 equal protection claim and a 42 U.S.C. § 1985 conspiracy and obstruction of justice claim against the officers. The district court concluded the officers weren’t entitled to qualified immunity at the motion to dismiss stage. The officers bring this interlocutory appeal.
Analysis
Unlike prosecutors, who enjoy absolute immunity, police officers are entitled only to qualified immunity in section 1983 cases. See Malley v. Briggs,
1. According to Elliott, the three police officers refused to investigate the incident because Babauta is Micronesian and Elliott is Korean. Elliott also claims that Officer Macaranas fully investigated another drunk driving accident that occurred the same evening where the victim was Micronesian but the driver wasn’t. The officers don’t dispute that Elliott has pled facts from which a trier of fact could infer racial discrimination.
Instead, the officers argue that individuals don’t have a constitutional right to have police arrest others who have victimized them. But Elliott’s equal protection claim isn’t based on some general constitutional right to have an assailant arrested. Rather, she argues Babauta was given a pass by the police because of the officers’ alleged racial bias not only in favor of Babauta as a Micronesian, but also against her as a Korean. And while the officers’ discretion in deciding whom to arrest is certainly broad, it cannot be exercised in a racially discriminatory fashion. For example, a police officer can’t investigate and arrest blacks but not whites, or Asians but not Hispanics. Police can’t discriminate on the basis of the victim’s race, either. We recognized as much in Estate
The officers concede that the Constitution protects against discriminatory withdrawal of police protection, but they claim that Elliott was not denied this right because they provided her with some police services: They called an ambulance and questioned bystanders. According to the officers, only a complete withdrawal of police protective services violates equal protection. But diminished police services, like the seat at the back of the bus, don’t satisfy the government’s obligation to provide services on a non-discriminatory basis. See Navarro v. Block,
The officers also suggest that the equal protection clause only protects against selective denial of protective services, and that investigation and arrest aren’t protective services unless there is a continuing danger to the victim. But the officers’ understanding of protective services is too limited. If police refuse to investigate or arrest people who commit crimes against a particular ethnic group, it’s safe to assume that crimes against that group will rise. Would-be criminals will act with a greater impunity if they believe they have a get out of jail free card if they commit crimes against the disfavored group. Babauta may well have been emboldened to drive drunk with empty beer cans rolling around in the back of his truck because he believed that he would suffer no ill consequences should he cause an accident.
In any event, whether investigation and arrest are protective services is immaterial. While the Supreme Court may have written in DeShaney that the government couldn’t “selectively deny its protective services” to disfavored minorities,
The dissent agrees that the discriminatory denial of investigative services may violate equal protection. Dissent at 1015. Nevertheless, our colleague questions whether Elliott has an equal protection claim based on the officers’ failure to arrest Babauta because arrest decisions are entitled to deference and because Elliott probably suffered little harm. See id. at 1011. But even the dissent recognizes that police officers aren’t entitled to defer
2. Law enforcement officials are entitled to qualified immunity even where their conduct violated a constitutional right unless that right was clearly established at the time of the violation. Saucier v. Katz,
The right to non-discriminatory administration of protective services is clearly established. See p. 1006-07 supra. Nevertheless, the officers argue that it wasn’t clearly established that investigation and arrest are protective services. But the very purpose of section 1983 was to provide a federal right of action against states that refused to enforce their laws when the victim was black. See Briscoe v. LaHue,
The officers argue that Elliott’s equal protection rights weren’t clearly established because she can’t find a case similar to hers- — -like a sobriety check and arrest case or a traffic case — where the court found an equal protection violation. But there doesn’t need to be a prior case with materially similar facts in order for a right to be clearly established. Flores,
We have recognized the absurdity of requiring equal protection plaintiffs to find a case with materially similar facts. In Flores v. Morgan Hill Unified School District, we held that public school administrators who failed to respond to gay students’ harassment complaints were not entitled to qualified immunity.
Contrary to the dissent’s claim, see dissent at 1013, Flores isn’t limited to the unique characteristics of the school environment. Indeed, Flores found that school administrators were on notice that they had to treat gay students the same as straight students based on a case holding that state employees in general can’t irrationally discriminate on the basis of sexual orientation.
The officers admit their appeal of the district court’s refusal to dismiss Elliott’s section 1985 claim, which alleges that the defendants conspired to deny her equal protection, is tied to the success of their appeal of the section 1983 claim. The district court did not err in failing to dismiss the section 1983 and section 1985 claims.
AFFIRMED.
Notes
The district court caption refers to Elliott as "Elliot-Park,” and our caption follows the district court. Elliott explains on appeal that her correct name is "Ae Ja Park Elliott,” which is the name we use in our opinion. Elliott may request that the district court docket be corrected by motion on remand.
Concurrence Opinion
concurring and dissenting:
I agree with the first part of the majority opinion: the government may not racially discriminate in the administration of its services. See opinion at 1007. I further agree that the right to the non-discriminatory administration of protective services is clearly established. See opinion at 1007-08. Nonetheless, I write separately and dissent because I am concerned that the broad language in the majority’s opinion fails to recognize the deference courts have given, and should give, police departments in determining when and how to investigate crimes. This underlying theme informs the two specific issues I address. First, I am leery of any suggestion that a person’s right to equal protection extends to requiring an arrest of a third person; and second, I do not think that a reasonable officer in defendants’ position was on notice that refusing to give Babauta a sobriety test might constitute a violation of Elliot’s right to equal protection of the law. Of course, with the publication of this opinion Ninth Circuit law on this issue will be established.
I
The majority’s opinion fails to distinguish between investigations and arrests and thus fails to appreciate that the discretionary determination to arrest someone is particularly unsuited to judicial review. The unique nature of the prosecutorial function, which includes the decision to arrest an individual, was recognized by the Supreme Court over thirty years ago in Imbler v. Pachtman,
The prosecutor’s discretion, however, is “subject to constitutional restraints.” United States v. Armstrong,
One of these constraints, imposed by the equal protection component of the Due Process Clause of the Fifth Amendment, Bolling v. Sharpe,347 U.S. 497 , 500,74 S.Ct. 693 ,98 L.Ed. 884 ... (1954), is that the decision whether to prosecute may not be based on “an unjustifiable standard such as race, religion, or other arbitrary classification,” Oyler v. Boles,368 U.S. 448 ,82 S.Ct. 501 ,7 L.Ed.2d 446 , ... (1962). A defendant may demonstrate that the administration of a criminal law is “directed so exclusively against a particular class of persons ... with a mind so unequal and oppressive” that the system of prosecution amounts to “a practical denial” of equal protection of the law. Yick Wo v. Hopkins,118 U.S. 356 , 373,6 S.Ct. 1064 ,30 L.Ed. 220 ... (1886).
In order to dispel the presumption that a prosecutor has not violated equal protection, a criminal defendant must present “clear evidence to the contrary.” [United States u] Chemical Foundation, ... [272 U.S. 1 ] ... 14-15 [47 S.Ct. 1 ,71 L.Ed. 131 ] [(1926)].... We explained in Wayte why courts are “properly hesitant to examine the decision whether to prosecute.”470 U.S., at 608 ,105 S.Ct. 1524 , .... Judicial deference to the decisions of these executive officers rests in part on an assessment of the relative competence of prosecutors and courts. “Such factors as the strength of the case, the prosecution’s general deterrence value, the Government’s enforcement priorities, and the case’s relationship to the Government’s overall enforcement planare not readily susceptible to the kind of analysis the courts are competent to undertake.” Id. at 607, 105 S.Ct. 1524 ,.... It also stems from a concern not to unnecessarily impair the performance of a core executive constitutional function. “Examining the basis of a prosecution delays the criminal proceeding, threatens to chill law enforcement by subjecting the prosecutor’s motives and decisionmaking to outside inquiry, and may undermine prosecutorial effectiveness by revealing the Government’s enforcement policy.” Ibid.
These cases, indeed almost all cases concerning selective prosecution, are brought by individuals who are challenging their prosecutions by the government. Here, Elliot’s assertion is not that she was selectively prosecuted, but that her constitutional right to equal protection was violated by the officers’ failure to investigate and arrest a third party, Babauta. As the decision to arrest and prosecute an individual is entitled to substantial deference from the courts, it follows that the decision not to arrest and prosecute a person is entitled to at least the same degree of deference. This does not suggest that it would be impossible for a plaintiff to allege and show that her right to equal protection was violated by an officer’s failure to arrest a third party, but only to clarify that the decision to arrest — as opposed to the officer’s duty to investigate — is part of the prosecutorial function and is therefore entitled to greater deference.
In addition, as a practical matter, it is not clear how Elliot was harmed by the defendants’ failure to arrest Babauta. Certainly the failure to give him a sobriety test or to otherwise investigate his competency to drive may well have collateral consequences for Elliot. But had the defendants investigated Babauta’s competency to drive, it is doubtful whether Babauta’s arrest would have had any impact on Elliot. Accordingly, because the failure to arrest Babauta had little impact on Elliot and because the determination of whether to arrest an individual is entitled to enhanced deference, I question whether the failure to arrest Babauta constitutes a violation of Elliot’s right to equal protection of the law.
In sum, I agree with the essence of the majority’s opinion — that Elliot has a constitutional right not to have police services denied because of race — but would not
II
The majority’s failure to distinguish between the police officers’ duty to investigate and the decision to arrest a third party is symptomatic of its failure to consider the meaning of “protective services” when applying the second prong of the Saucier test. The second prong of the Saucier test requires an inquiry into “whether it would be clear to a reasonable officer that his conduct was unlawful in the situation he confronted.” Saucier,
The majority address the second prong of the Saucier test in broad strokes. It starts with the premise that the “right to non-discriminatory administration of protective services is clearly established” (opinion at 1008), comments that “there doesn’t need to be a prior case with materially similar facts in order for a right to be clearly established,” (opinion at 1008), asserts that “[w]e have recognized the absurdity of requiring equal protection plaintiffs to find a case with materially similar facts,” (opinion at 1009), and concludes that the “officers thus had a more than fair warning that failure to investigate and arrest Babauta because of race violated equal protection.” Opinion at 1009.
The simplicity of this approach is of little comfort or guidance to the police officers whose qualified immunity is dependant on their understanding of case law. As indicated, I agree with the majority that the Supreme Court has held that the government may not “selectively deny its protective services to certain disfavored minorities without violating the Equal Protection Clause.” DeShaney v. Winnebago County Dep’t of Soc. Servs.,
First, the defendants’ actions concerning Babauta are not clearly within a commonsense meaning of “police protection.” Here, the officers responded to the accident, inquired as to Elliot’s injuries, called for an ambulance, and saw that she was safely transported to the hospital. Also, there was no possible additional harm to Elliot from Babauta following the accident as the police ensured that he was transported to the hospital and he was subsequently released to a friend or relative who drove him home. What the defendants failed to do, and what I agree may constitute a violation of Elliot’s right to equal protection, was to investigate Babauta’s alleged intoxication.
Second, an examination of the cases cited by the majority fails to reveal any clear notice, or “fair warning,” that an officer’s treatment of one person will constitute the denial of “protective services” to another person. The opinion relies heavily on Flores v. Morgan Hill Unified Sch. Dist.,
Flores is legally distinct because in that case we held that prior court cases had placed the defendants on notice that failure to enforce the school district’s policies concerning sexual orientation violated the constitution. Id. at 1137 (citing High Tech Gays v. Defense Indus. Sec. Clearance Office,
Thus, Flores offers a standard for determining the existence of a clearly established right, but it does not answer the question of what case law, regulation, or statute placed the defendants in this case on notice that failing to give Babauta a sobriety test would violate Elliot’s constitutional right to equal protection of the law.
The other cases cited by the majority do not fill this gap. The opinion cites Estate of Macias,
Moreover, in Macias we went on to determine that the district court had erred
In addition, the reference to DeShaney,
The majority also cites Monroe v. Pape,
In addition, the majority cites the Sixth Circuit’s opinion in Smith v. Ross,
The usefulness of the quoted language is weakened when it is considered in the context of the Ross opinion. The Sixth Circuit goes on to state:
We agree with appellants that a law enforcement officer can be liable under § 1983 when by his inaction he fails to perform a statutorily imposed duty to enforce the laws equally and fairly, and thereby denies equal protection to persons legitimately exercising rights guaranteed them under state or federal law. Acts of omission are actionablein this context to the same extent as are acts of commission.
Id. at 36-37 (emphasis added). Thus, even assuming that the police in the Northern Mariana Islands may be held to be on notice of a 1973 Sixth Circuit opinion, it is doubtful that they would have gleaned much guidance from the opinion. It is difficult to conclude that the defendants’ failure to test Babauta for alcohol denied “equal protection to[Elliot for] legitimately exercising rights guaranteed [her] under state or federal law.” Id. at 36-37.
Finally, the majority cites Flores v. Pierce,
The allegations in Benigni v. City of Hemet,
We recognized that Benigni could maintain an equal protection claim.
In sum, although I agree that case law holding that it is unconstitutional for officers to discriminate based on race now extends to an alleged failure to provide police services, including the investigation of an automobile accident, this position was not so clearly established as to defeat defendants’ claim of qualified immunity. Indeed, all the language in the relevant cases
Ill
A unique feature of the second prong of the Saucier test is precisely that it applies only when a plaintiffs constitutional right has been violated.
In Saucier, the Supreme- Court explained: “if a violation could be made out on a favorable view of the parties’ submissions, the next sequential step is to ask whether the right was clearly established,” and commented that “it is vital to note” that this inquiry “must be undertaken in light of the specific context of the case, not as a broad general proposition.”
the right the official is alleged to have violated must have been “clearly established” in a more particularized, and hence more relevant, sense: The contours of the right must be sufficiently clear that a reasonable official would understand that what he is doing violates that right.... The relevant, dis-positive inquiry in determining whether a right is clearly established is whether it would be clear to a reasonable officer that his conduct was unlawful in the situation he confronted.
Id. at 202,
This is the inquiry that the majority opinion fails to undertake “in light of the specific context of the case, not as a broad general proposition.” Id. at 201,
But in Saucier, the Court held that despite clearly established law that the use of excessive force was unconstitutional, this was not sufficient to place the defendant officer on notice that his shoving a person into the van constituted excessive force. Indeed, the Supreme Court concluded that despite the clearly established law on the use of excessive force, under the specific circumstances in that case, the defendant was entitled to qualified immunity.
Furthermore, we have held that the plaintiff has the burden of establishing the second prong of Saucier. Kennedy,
. Chief Judge Kozinski has acknowledged the deference owed to the decision whether or not to prosecute. In his dissent from the denial of rehearing en banc in United States v. Mussari,
The majority's complaint is that they did not give Mussari a pass for violating federal law. But whom to prosecute and whom to leave alone is the heart and soul of prosecutorial discretion, a decision committed to the Executive Branch and "particularly ill-suited to judicial review.” Wayte v. United States,470 U.S. 598 , 607,105 S.Ct. 1524 ,84 L.Ed.2d 547 , ... (1985).
He further commented:
Reexamining prosecutorial decisions "entails systemic costs,” such as delaying justice, chilling law enforcement, and "undermining] prosecutorial effectiveness by revealing the Government’s enforcement policy.” Id. By injecting themselves into a process in which judges have no legitimate role to play, the majority has compromised the neutrality of the court and taken us into the treacherous waters of politics.
Id. at 1143.
. Furthermore, I do not read the opinion as suggesting that courts should not continue to give considerable deference to the decisions of police departments on how they conduct investigations and perform their functions. While we hold that the "government may not racially discriminate in the administration of any of its services” (opinion at 1007), the burden remains on a plaintiff to show that an alleged denial of services was due to racial animus and not some other reason.
. Because this appeal arises from a motion to dismiss on the basis of qualified immunity, we accept Elliot's allegation of racial discrimination as true. On remand, she will have the burden of showing that the officers’ failure to investigate was racially motivated, and the
. Monroe held that allegedly illegal actions of city police officers respecting unreasonable search and seizure constituted actions taken “under color of' a state statute for the purposes of 42 U.S.C. § 1983, but that the municipal corporation was not a person within the meaning of the statute.
. We noted that " [elements of an intentional discrimination claim are present in this case because the evidence tends to show the discriminatory effect of greater law enforcement activity at the Silver Fox than at other bars, and the discriminatory intent of singling out Benigni based on his Italian ancestry.”
. The Supreme Court has held that in some instances a court may find qualified immunity without making a constitutional ruling under the first prong of the Saucier test. Pearson v. Callahan, - U.S. -,
. The Court commented that "[a] reasonable officer in petitioner’s position could have believed that hurrying respondent away from the scene, where the Vice President was speaking and respondent had just approached the fence designed to separate the public from the speakers, was within the bounds of appropriate police responses.” Saucier,
