Lead Opinion
ORDER
A member of the Court requested a poll on whether this case should be reheard en bane.
Judges Hall, Murnaghan, Ervin, Michael, and Motz voted for rehearing en banc. Chief Judge Wilkinson, and Judges Russell, Widener, Wilkins, Niemeyer, Hamilton, Luttig, and Williams voted against rehearing en banc.
Chief Judge Wilkinson filed an opinion concurring in the denial of rehearing en banc, in which Judges Russell, Widener, Wilkins, Niemeyer, Luttig, and Williams joined. Judge Motz filed an opinion dissenting from the denial of rehearing en banc, in which Judges Hall, Murnaghan, Ervin, and Michael joined.
The suggestion for rehearing en banc is hereby denied. Entered at the direction of Chief Judge Wilkinson for the Court.
Concurrence Opinion
concurring in the denial of rehearing en banc:
So it has come to this — my dissenting colleagues would require police officers to gamble with their lives in order to avoid civil liability. It is one thing for courts to deny qualified immunity on the basis of a violation of clearly established law. It is quite another to demand as a condition of that immunity that officers actually await the bullet.
The court’s opinion in this case sets forth my position,
If qualified immunity does not obtain here, it will not obtain anywhere. All plaintiffs need do to receive an automatic trial is simply assert, without any evidence, that “the police are lying.” The assertion that Elliott had no gun was only that — an assertion unsupported by any evidence, and I do not understand such bald assertions to substitute for material issues of fact. A skeptical look at police conduct is one thing, but the contention that the officers planted a gun on Elliott requires that courts embrace conspiracy theories of which Oliver Stone would be proud. In fact, not even appellees were so bold as to directly claim either that Elliott did not have a gun or that the gun found on him was planted by the police. Those assertions arise from insinuation embellished by imagination, and that is no replacement for material disputes of fact.
This case is not, as the dissent would have it, a contest over the officers’ credibility. Faced with the potential danger of an aggressive, intoxicated suspect, officer Leavitt handcuffed Elliott and placed him in the police car. Shortly thereafter, he and officer Cheney saw Elliott pointing a gun at them at close range with his finger on the trigger. Extensive independent evidence corroborated the officers’ account of events. A blue fiber was found caught on the trigger of the gun when it was retrieved from the scene of the incident. FBI laboratory analysis matched the blue fiber to those found on Elliott’s blue shorts, indicating that Elliott indeed had the gun concealed on his person when he was stopped. Several months before the shooting, a motorist was involved in an altercation with Elliott where Elliott jumped on the motorist’s car, smashed in a window -with his foot, verbally abused the motorist, and drew his gun. The motorist signed an affidavit in which he identified the gun recovered from Elliott’s body as the same weapon with which Elliott had threatened him in the prior incident. In addition, the medical report on Elliott’s wounds concluded that “[t]he injuries of the right fingertips and base of the thumb” were “best explained by the deceased’s having held an object at the time he sustained his injuries.” This corroborates the officers’ testimony that Elliott was pointing a gun.
The testimony of Leavitt’s supervisor, Sergeant Brown, likewise supports Leavitt and Cheney’s testimony that Elliott had the gun
Critical portions of the evidence could not have been planted. The gun, for instance, had distinguishing features, a cut off barrel and white plastic grips. These are the very features which enabled the motorist to identify the weapon as Elliott’s. Moreover, the officers could not have manufactured the wounds indicating that Elliott was holding a gun at the time he was shot. Together, this evidence substantiates the critical element of the officers’ claim, that Elliott was pointing a gun when they shot him. Appellees’ coverup theory also fails to explain the fact that the two officers reacted to the threat instantly and simultaneously, hardly the stuff of scripted conspiracy. In order to conclude that Elliott did not have a gun, one would have to ignore all this evidence and suppose that the defendant officers, Sergeant Brown, the motorist, and the medical examiner’s staff were all part of an elaborate coverup. To expand the allegations that far transforms appellees’ theory from the baseless to the absurd.
Even the dissent’s efforts to create a case for plaintiffs falter. The fact that a suspect was intoxicated makes him no less dangerous and the fact that he was handcuffed tells us nothing about whether he was armed. The dissent’s observation that the gun was unloaded does not alter the fact that Elliott had a gun, and that the officers saw the gun pointed directly at them. The officers’ subjective intent in firing twenty-two bullets is simply irrelevant to the question whether the officers’ behavior was objectively reasonable under Graham v. Connor,
Nothing in Johnson or Behrens ' sought to abolish interlocutory appeals in cases where the material facts are not in dispute. Disputed facts will exist in virtually every confrontation between citizens and law enforcement officers, but Behrens made clear that the mere existence of contested facts does not eliminate the right of officials to appeal a denial of qualified immunity. In fact, the Supreme Court stated as much in a sentence the dissent refuses to heed: “Denial of summary judgment often includes a determination that there are controverted issues of material fact, and Johnson surely does not mean that every such denial of summary judgment is nonappealable.” Behrens, — U.S. at —,
It is instructive to note just how pitifully little my dissenting colleagues would say suffices to vitiate qualified immunity and dismiss an appeal. Despite Johnson’s recognition that appellate review of a denial of qualified immunity will at times require a “detailed evidence-based review of the record,” id. at —,
This cannot be what the Supreme Court had in mind in Johnson and Behrens. I do not understand Johnson to suddenly disavow a decision, Mitchell v. Forsyth,
Other circuits have not hesitated to correct the erroneous application of immunity doctrine on the basis of given material facts. See Osolinski v. Kane,
In the instant case, every shred of relevant evidence — the FBI laboratory analysis of the fiber, the medical examination of Elliott’s wounds, the distinctive characteristics of Elliott’s gun, the affidavit of the threatened motorist, and the observations of Leavitt’s supervisor — demonstrates that the officers were confronted with an intoxicated man threatening them point blank with a gun. What would the dissent have the officers do — stand still and be shot?
The dissent makes a show of following precedent even as it ignores the teachings of Mitchell, Harlow, and their progeny, and the lessons of Graham v. Connor and Tennessee v. Garner, supra, on the objectively reasonable use of force. Under the dissent’s view, no officer will ever be secure using force in self-defense no matter how obvious, immediate, or extreme the danger faced. Indeed, the dissent would make the moment of greatest personal danger for the officer the moment of greatest hesitation. As we sit in comfort in our chambers, we should pause to ponder what the dissenters have decreed for the streets: a rule that would question every action, second-guess every judgment, and scrutinize every move made by a policeman in an instant of personal peril. It is no violation of clearly established law for an officer to act to save his own life. I should have thought that the Court in Garner/Graham made one thing clear — that those in robes should not strip those in uniform even of the right to self protection.
Judge DONALD S. RUSSELL, Judge WIDENER, Judge WILKINS, Judge NIEMEYER, Judge LUTTIG, and Judge WILLIAMS join in this opinion.
Notes
In contrast, the dissent's extensive quotation of Sergeant Brown's testimony is beside the point. Sergeant Brown never testified that Elliott did not have a gun, clearly stating at his deposition that he saw Elliott’s weapon:
Q. Did you see the gun?
A. Yes, I did.
Q. What type of gun was it?
A. It appeared to be a small caliber handgun maybe 22 or 25 caliber revolver.
Q. Now, do you have any reason to believe that that gun was not on the person of the suspect at the time of the shooting?
A. No, I do not.
The testimony quoted by the dissent indicates only that Sergeant Brown was not in position to see the weapon at the precise moment of the shooting.
Dissenting Opinion
Circuit Judge, dissenting from denial of rehearing en banc:
Because the issue presented here is an important one that will frequently confront us and because the panel’s resolution of this issue is contrary to recent and controlling Supreme Court precedent, I respectfully dissent from the court’s refusal to rehear this case en banc. Under the principles set forth
Today my colleagues in the majority ignore Johnson’s holding that “a defendant ... 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,” Johnson, — U.S. at -,
I.
On June 18, 1995, Officer Jason Leavitt stopped twenty-four year old Archie Elliott III, a drunken motorist. Archie complied with the officer’s request for his driver’s license and registration, stating he just wanted to go home. After Officer Leavitt called for backup, he administered several sobriety tests, which Archie failed. Then the officer handcuffed Archie’s hands behind his back and searched him; Archie was only wearing shorts and sneakers (no shirt or socks). Finding no weapon or other contraband, Officer Leavitt, with the help of Officer Wayne Cheney who had just arrived on the scene, seatbelted Archie in a police cruiser, with the doors locked and windows rolled up. The officers left no weapons in the cruiser.
Leavitt and Cheney testified that minutes later they looked into the cruiser and saw Archie had twisted his arms (which were still handcuffed) to the right side of his body, released the seat belt, and had a small gun in his hands pointed at the officers. Officer Cheney yelled “Gun!” and ordered Archie to drop the gun. After a few seconds, when Archie did not respond, both Cheney and Leavitt fired multiple rounds at Archie, killing him. In-all, Cheney and Leavitt fired 22 bullets at Archie; ten bullets remained in their weapons. After the shooting, Cheney opened the car door, retrieved a small gun from Archie’s hands, and placed it on the trunk of the cruiser; Archie was still handcuffed.
The above account is entirely based on the deposition testimony of Cheney and Leavitt. Officer Leavitt’s supervisor, Sergeant Brown, who arrived at the scene shortly before the killing, testified that he never saw Archie with a gun:
Q. When Officer Leavitt yelled drop it, drop it, was he directing his comments towards the suspect in the police vehicle?
A Yes, he was.
Q. Did you observe any or could you observe from where you were standing any activity on the part of the suspect in the vehicle?
A. No, I could not.
Sergeant Brown also testified he never saw the place from which Officer Cheney retrieved the small gun:
Q. Could you see from what part of the suspect person Officer Cheney retrieved the gun?
A No.
Q. Why is that?
A. Officer Cheney was directly in front of me.
Q. So you have no knowledge as to where the gun was retrieved?
A. That’s correct.1
During the ensuing investigation, it was learned that there was a fiber on the small gun that matched Archie’s shorts, that the gun was unloaded, that the gun had never been fingerprinted, that a medical examiner believed that the injury in Archie’s right hand could best be “explained by the deceased having held an object at the time that he sustained his injuries,” that an excessive force complaint had previously been lodged against Officer Leavitt, and that fifteen months after the shooting, a witness gave a statement to police officers that, five months before the shooting, Archie had threatened him with the same small gun.
Archie’s parents, Dorothy Elliott and Archie Elliott, Jr., sued Officers Leavitt and Cheney, alleging that Archie had had no gun, and that the officers had planted the gun after they had killed Archie. The officers asserted qualified immunity and moved for summary judgment. If Archie had a gun, circuit precedent entitles the officers to qualified immunity; but if Archie had no gun, not even the officers claim they would be entitled to qualified immunity. Thus, if the defendant officers’ version of the facts is accepted, the Elliotts have not alleged a violation of clearly established law, but if the Elliotts’ version is accepted, they obviously have alleged such a violation. The only issue is whether the Elliotts have produced sufficient evidence that could support a finding that events took place as they allege, e.g., .Archie had no gun. Or put differently, have the Elliotts produced sufficient evidence to demonstrate a dispute as to a material fact— whether Archie had a gun.
The district court concluded that the plaintiffs, Mr. and Mrs. Elliott, had indeed produced sufficient evidence to demonstrate a dispute as to a material fact and, for this reason, refused to grant the officers summary judgment.
II.
Whether or not we agree with the district court, its holding is not immediately appeal-able. Generally, a federal appellate court only has jurisdiction to consider final decisions. 28 U.S.C. § 1291 (1994).
Under Cohen v. Beneficial Indus. Loan Corp.,
In Mitchell v. Forsyth,
Earlier this year in Behrens v. Pelletier, — U.S. -,
[DJeterminations of evidentiary sufficiency at summary judgment are not immediately appealable merely because they happen to arise in a qualified immunity case; 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 plaintiff’s claim, and hence there is no “final decision” under Cohen and Mitchell.
Id. (quoting Johnson, — U.S. at - -,
The panel opinion states this principle and purports to find that the case at hand is immediately appealable under Behrens because “it does not involve whether ‘particular conduct occurred.’” Elliott v. Leavitt,
[A] significant issue of credibility... . [U]nder these circumstances there are enough circumstances that a judge making this as a preliminary call could say that a reasonable trier of fact could come to a conclusion that things simply did not happen as the officers say they did. And under those circumstances I don’t think that I am able at this point to grant summary judgment on the grounds of the nonexistence of a genuine issue of material fact. There are significant issues of material fact that are present in this case, given the unusual circumstances of the way it occurred.
The district court further explained that Archie was “dressed in such a way as [he was] not likely to have a weapon” and was “searched by an officer, who one would think if he’s presumed to have acted regularly, might have found the weapon and did not.”
In short, the district court held that there was a question of whether “particular conduct occurred,” i.e., the court held that there was sufficient evidence to support the El-liotts’ version of the story and deny summary judgment. This decision is precisely the type that Behrens and Johnson conclude is not an immediately appealable, final decision. Behrens and Johnson direct that an appellate court cannot hear appeals of district court decisions which involve a finding that particular conduct occurred, or might have occurred, unless the appellate court can “take, as given, the facts that the district court assumed” and rule as a matter of law. Johnson, — U.S. at -,
An examination of the panel opinion itself demonstrates this error. The panel does not apply a purely legal analysis, which Behrens and Johnson require on immediate appeal, but rather engages in impermissibly reweighing the evidence, which Johnson and Behrens reserve to the district court. For example, the panel dismisses “[t]he district court’s concern that the number of shots fired was excessive,” concluding that this concern was “misplaced” because the firing of twenty-two shots at a eoneededly drunk and handcuffed, but allegedly armed, man does “not suggest the officers shot mindlessly as much as it indicates that they sought to ensure the elimination of a deadly threat.” Elliott,
Similarly, the panel substitutes its reading of the record on the key issue in the ease— whether Archie, who had been searched by the police and was dressed only in sneakers and shorts had a gun — for that of the district court. Compare the panel’s conclusion that “the officers’ claim that [Archie] Elliott was holding a gun when they shot him is corroborated by substantial evidence,” Elliott, 99
Perhaps the clearest indication that the only issue appealed here is evidentiary sufficiency is the defendant officers’ appellate brief. There, they repeatedly assert precisely the sort of “insufficiency of the evidence” arguments that Johnson and Behrens hold are not appealable. See, e.g., Brief of Appellants at 21 (“Plaintiffs at bar offered no evidence, direct or circumstantial, to controvert the testimony of Officers Leavitt and Cheney.”); id. at 22 (“Plaintiffs at bar pointed to no evidence .... ”); id. at 23 and 24 (“Plaintiffs offered no evidence whatsoever ....”); id. at 26 and 27 (“No evidence was demonstrated _”); id. at 27 (“Plaintiffs’‘dispute’ over what the officers observed is also without evidentiary support .... ”); id. at 28 (Plaintiffs “offer rio evidence to support an inference that he did not have a weapon.”); id. at 29 (“Plaintiffs do not offer any evidence, direct or circumstantial, to suggest that Officers Leavitt and Cheney had any reason to fabricate their testimony.”); id. at 32 (“[T]here is no evidence of any pause in the firing _”); id. (“Plaintiffs have failed to demonstrate evidence of a constitutional violation.”); id. at 33 (“There are no facts to support the district court’s finding.”). Of course, who can blame the defendants for making these forbidden arguments — they were successful before the panel.
It is also worth noting that in reassessing every nook and cranny of the record below the panel fails to comply with Johnson’s requirement that an appellate court “take, as given, the facts that the district court assumed when it denied summary judgment.” Johnson, — U.S. at -,
Lastly, the panel opinion cannot be justified by the claim that the district court’s holding was “unsupported by any evidence.” Even if the panel could properly replace a district court’s sufficiency of the evidence determination with its own, there certainly was evidence in this case that Archie did not have a gun. Officer Leavitt himself testified that he searched Archie — who was clothed only in shorts and tennis shoes — and did not find one. Archie was drunk, with his hands cuffed behind his back. The gun he assert-edly planned to use was unloaded. These are significant handicaps if his goal was to shoot both officers and escape. There was also evidence that an excessive force complaint had previously been lodged against Officer Leavitt. Finally, although the panel relied on the restraint the officers exhibited in forgoing the use of ten available bullets, a jury could infer that the firing of twenty-two bullets at a handcuffed man evinces a motive other than self-defense. The very implausibility of the incident happening as claimed by the officers could support an inference that the plaintiffs’ version of the events was true. The jury wouldn’t have to, and perhaps shouldn’t, find for the Elliotts on any of these inferences, but it could.
Before concluding I must respond to some remarks in the concurrence. The first is the concurrence’s suggestion that precedent from our sister circuits somehow supports the panel opinion. This is simply not so. Out-of-circuit cases, including the cases cited by the concurrence, offer no support for the extraordinary panel opinion.
In none of the cases relied on by the concurrence did an appellate court overrule a district court’s stated factual basis for determining that particular conduct alleged by the plaintiff might have occurred. Indeed, each of the cases cited by the concurrence recognize that “[o]rders that resolve a fact-related dispute of ‘evidence sufficiency,’ i.e. which facts a party may, or may not, be able to prove at trial ... are not immediately ap-pealable and must await final judgment.” Cantu v. Rocha,
In fact, contrary to the suggestion of the concurrence, our sister circuits have uniformly followed the Behrens-Johnson rule, just as I would, and have held that an appellate court cannot review a district court’s eviden-tiary sufficiency decision. Thus, in every case in which a district , court has set forth the issues of fact that prevented it from granting a defendant summary judgment on qualified immunity grounds, our sister circuits have held they lacked jurisdiction and so dismissed the appeal. See, e.g., Jackson v. McIntosh,
In sum, rather than being consistent with out-of-circuit precedent, the panel opinion is distinctly out of sync. Indeed, the panel opinion appears to be the only circuit court opinion that has simply refused to follow the rule clearly enunciated in Behrens and Johnson.
The concurrence also mischaracterizes my views in several crucial respects. Neither I, nor any proper application of Johnson and Behrens, would allow “plaintiffs [to] assert some factual dispute — however irrelevant- to the question of qualified immunity — to ensure themselves of a trial.” Indeed, the factual disputes asserted by a plaintiff on appeal
This mischaracterization of my views by the concurrence demonstrates a fundamental flaw in its approach, it utterly disregards the critical role of district courts. It is the district court’s job to assess the facts at summary judgment. The concurrence’s suggestion that to-follow Behrens and Johnson, as I do, would allow plaintiffs to make wild-eyed assertions that appellate courts would rubber-stamp on to trial ignores the fact that district courts must, and do, weed out almost all baseless claims. Although a district court may occasionally find disputes as to material fact that the concurrence does not fancy, the Supreme Court has made clear that an appellate court lacks jurisdiction to overturn such a decision; it is the district court’s job to assess the sufficiency of evidence at summary judgment.
Finally, I must briefly respond to the charge of my colleagues joining in the concurrence that I would “require police officers to gamble with their lives in order to avoid civil liability” or “stand still and Be shot.” That rhetoric and the entire tenor of the opinion concurring in the denial of rehearing en banc unfairly and fundamentally misehar-acterizes the basis for my dissent. I dissent not because I am unsympathetic to the frequently difficult choices police officers are called upon to make or because I want to deny them qualified immunity and force them to trial. Rather, I dissent because Supreme Court precedent requires it. The Court has directed that when, as here, the only matter at issue is “whether the evidence could support a finding that particular conduct occurred” a district court’s decision denying qualified immunity is not immediately appealable. Behrens, — U.S. at -,
Officers Leavitt and Cheney may ultimately be held entitled to immunity. The district court may even have erred in denying them immunity at this juncture. But, unquestionably the basis for the district court’s denial was its assessment that “the evidence could support a finding that particular conduct [Archie had no gun] occurred.” Id. Equally clearly, the basis for the majority’s decision to reverse is its assessment that the same evidence could not “support a finding” that this “particular conduct occurred.” Id. Beh-rens and Johnson forbid an appellate court from making this reassessment on interlocutory appeal.
Fundamental to our existence as a free and democratic society is the principle that we are a nation in which no person — even a courageous police officer in the line of fire or a sympathetic appellate judge — is greater than the law. The Supreme Court has proclaimed the law here. We must follow it. When a panel refuses to do this and the case presents an important and reoccurring issue, as this case does, the en banc court should reconsider the case. I respectfully dissent from the refusal of the majority of the court to do so.
. Sergeant Brown testified he saw the small gun after the officers shot Archie; contrary to the suggestion of the concurrence, Sergeant Brown never testified to seeing the small gun at all before the officers shot Archie.
. This discussion of the facts is included only in response to the extensive invocation of the facts in the panel opinion and concurrence. Obviously, if an appellate court may not consider "determinations of evidentiary sufficiency,” Behrens, -U.S. at -,
