Lead Opinion
Jonathan T. Garrett, a federal inmate, brought this Bivens
I
Garrett is serving a life sentence at the United States Pentitentiary Administrative Maximum Facility (“ADX”) in Florence, Colorado. He alleges denial of medical care in violation of the Eighth Amendment by a number of parties, including appellant.
Stratman, a practicing physician for more than thirty years, was the Clinical Director at ADX during the relevant time period. In his complaint, Garrett alleges that Stratman “repeatedly told the Plaintiff that treatment for his injury would be forthcoming; however, no treatment occurred.” (Id. at 141.) This, according to Garrett, amounted to deliberate indifference to his known medical needs in violation of the Eighth Amendment.
Stratman submitted an affidavit in which he attested that although he saw Garrett “on numerous occasions for various medical complaints” and “began the process to attempt to have Mr. Garrett transferred to Springfield for surgery,” he was “advised ... that the transport must be delayed until speсifically directed by the designator’s office to transport.” (Id. at 51-52.) According to Stratman, “[a]s Clinical Director at the ADX, I could merely recommend transfer to a medical center for treatment. I did not have the authority to order an immediate transfer or to have the surgery conducted locally.” (Id. at 52.) Materials submitted by Stratman on appeal state that one of his duties as clinical director was to “ensure that ... [e]very effort is made to return the inmate to the institution or to transfer him/her to a Medical Referral Center as early as the patient’s condition allows.” (Appellant’s Br. Attach. 4 at 4 (Federal Bureau of Prisons Program Statement 6000.05).) Also submitted with the summary judgment motion werе fifty-four pages of Garrett’s medical records, a large number of which were reviewed and initialed contemporaneously
Stratman moved for summary judgment, arguing that he was entitled to qualified immunity.
II
The Eighth Amendment states that the federal government shall not inflict cruel and unusual punishments. The Supreme Court has held that an inmate’s rights under the amendment may be violated by a prison official’s failure to prevent harm. Farmer v. Brennan,
To demonstrate a violation, an inmate must satisfy both objective and subjective elements. “The objective component is met if the deprivation is sufficiently serious.” Sealock,
Whether a prison official had thе requisite knowledge of a substantial risk is a question of fact subject to demonstration in the usual ways, including inference from circumstantial evidence, cf. [J. Hall, General Principles of Criminal Law 118 (3d ed.1982) ] (cautioning against “confusing a mental state with proof of its existence”), and a factfinder may conclude that a prison official knew of a substantial risk from the very fact that the risk was obvious. Cf. [1 W. LaFave & A. Scott, Substantive Criminal Law § 3.7, at 335 (1986) ] (“[I]f a risk is obvious, so that a reasonable man would realize it, we might well infer that [the defendant] did in fact realize it; but the inference cannot be conclusive, for we know that people are not always conscious of what reasonable people would be conscious of’).
Id. at 842,
Under Bivens v. Six Unknown Named Agents of Federal Bureau of Narcotics,
Supreme Court authority “makes clear” that qualified immunity “is meant to give government officials a right, not merely to avoid ‘standing trial,’ but also to avoid the burdens of ‘such pretrial matters as discovery, as inquiries of this kind can be peculiarly disruptive of effective government.’ ” Behrens,
A
Subject matter jurisdiction can not be waived. Although appellee has ignored and appears to concede it, we have a “special obligation to satisfy” ourselves of appellate jurisdiction. Bender v. Williamsport Area Sch. Dist.,
“A district court’s denial of a defendant’s summary judgment motion based on qualified immunity is an immediately appeal-able ‘collateral order’ when the issue appealed concerns whether certain facts demonstrate a violation of clearly established law.” Gross,
We now consider the appealability of a portion of a district court’s summary judgment order that, though entered in a “qualified immunity” case, determines only a question of “evidence sufficiency,” i.e., which facts a party may, or may not, be able to prove at trial. This kind of order, we conclude, is not appealable. That is, the District Court’s determination that the summary judgment record in this case raised a genuine issue of fact concerning petitioners’ involvement in the alleged beating of respondent was not a ‘final decision’ within the meaning of the relevant statute.
The rule has been restated a number of times by this Court, most recently in Gross,
A corollary of the rule sanctioning review of abstract legal questions is that when the material facts are undisputed, or when the plaintiffs allegations are taken as true, denial of summary judgment on qualified immunity resolves an abstract issue of law and is immediately appealable. See Benefield v. McDowall,
district court concluded] issues of material fact exist without making explicit factual findings, we must review the record to extract the facts the district court likely relied on in reaching its conclusion. If we determine the district court’s cоnclusion rests on findings of evidence sufficiency, we must dismiss for lack of jurisdiction.
Gross,
Prior to resolution of qualified immunity, “appellate jurisdiction is invoked when a defendant ... is faced with discovery that exceeds that narrowly tailored to the question of qualified immunity.” Lewis v. City of Fort Collins,
[qualified immunity does not shield government officials from all discovery but only from discovery which is either avoidable or overly broad. Discovery designed to flesh out the merits of a plaintiffs claim before a ruling on the immunity defense or discovery permitted in cases where the defendant is clearly entitled to immunity would certainly fall within this category. Immediate appeal would lie from these orders ....
On the other hand, a discovery order is not immediately appealable
when the defendant’s immunity claim turns at least partially on a factual question; when the district court is unable to rule on the immunity defense without further clarification of the facts; and which are narrowly tailored to uncover only those facts needed to rule on the immunity claim are neither avoidable or overly broad.
Id. at 282-83 (quoting Lion Boulos,
B
In his motion for summary judgment, Stratmаn argued that Garrett’s medical need was not “sufficiently serious” because in his judgment, the injury “should be given time to heal naturally” (Appellant’s App. at 38), that Garrett “failed to show that Defendant Stratman had the required culpable state of mind” (id. at 39), and that Garrett’s “allegations are lacking any evidence of ‘substantial harm’ caused by the alleged delay” (id. at 41). Stratman ob
The district court concluded that a genuine issue of material fact existed as to whether Stratman acted with deliberate indifference:
The fact that the surgery took place 11 months after the injury raises, at a minimum, a dispute regarding the intent of defendant Stratman. Defendant Strat-man states that he has no control over when the approval of the transfer to the Missouri facility is authorized. If this was a dispute as to a matter of a couple of weeks this Court would agree, but 11 months is different. A delay of 11 months could be deliberate indifference. Dr. Stratman could have done something to speed up the transfer process. A trier of fact can properly evaluate whether this failure to act by defendant Stratman constitutes deliberate indifference.
(Id. at 169.)
The first two issues raised on appeal — whether the district court erred in denying summary judgment on the grounds that Garrett “did not allege, or submit any evidence, that Stratman was responsible for the delay in his transfer” and that Garrett “failed to submit any evidence that the delay in surgery caused any harm” — strike us as precisely the kind of “evidence sufficiency” issues we must decline to address at this juncture. Our review of the district court’s order confirms this impression.
Stratman claims that he may immediately appeal the district court’s denial of summary judgment “because the district court cited no record evidence supporting its conclusions that (1) Garrett suffered substantial injury or, (2) there is a dispute regarding the intent of defendant Strat-man and that Dr. Stratman could have done something to speed up the transfer process.” (Appellant’s Br. at 4-5 (internal quotations omitted).) Contrary to Strat-man’s contention, the district court points to specific facts — Garrett’s shoulder injury
With respect to its conclusion regarding Stratman’s personal participation — whether he could have done something to speed up the transfer process — the district court may have relied on Stratman’s own affidavit, in which he attested that he was the Clinical Director at ADX; that he saw Garrett on “numerous occasions for various medical complaints,” including the shoulder injury; and that although he could not unilaterally order an immediate transfer, he was empowered to recommend transfer to a medical center for treatment.
Stratman attempts to secure jurisdiction by stating that “[sjince Garrett did not allege that Dr. Stratman had any authority to effectuate his transfer, or submit any evidence in that regard, under Garrett’s version of the facts, Dr. Stratman did not violate clеarly established law.” (Appellant’s Br. at 4 (quotation omitted) .) It is true that “[a] district court’s denial of a defendant’s summary judgment motion based on qualified immunity is an immediately appealable ‘collateral order’ when the issue appealed concerns whether certain facts demonstrate a violation of clearly established law.” Gross,
At no time during the district court proceedings did Stratman argue that it was not clearly established that a prison official who could recommend, but not order, a specific action could violate an inmate’s Eighth Amendment rights. The issue was not raised or addressed below, аnd we will not consider it on appeal.
C
Stratman challenges the district court’s decision to permit discovery, ostensibly under Federal Rule of Civil Procedure 56(f). Rule 56(f) states:
Should it appear from the affidavits of a party opposing the motion that the party cannot for reasons stated present by affidavit facts essential to justify the party’s opposition, the court may refuse the application for judgment or may order a continuance to permit affidavits to be obtained or depositions to be taken or discovery to be had or may make such other order as is just.
On appeal, Stratman argues that the affidavit submitted by Garrett’s attorney was insufficient to establish a need for additional discovery.
We therefore look to see if Stratman’s discovery challenge meets the requirements for appeal under the collat
Ill
The appeal is DISMISSED.
Notes
. Bivens v. Six Unknown Named Agents of Fed.
. Garrett initially sued six defendants. The district court dismissed four parties, concluding that Garrett's claims against them were frivolous. A fifth defendant, George Klingner, was dismissed for lack of personal jurisdiction. In a related appeal, we affirmed that dismissal.
. Stratman initially moved to dismiss the complaint for failure to state a claim upon which relief could be granted, Fed.R.Civ.P. 12(b)(6), but because matters outside the complaint were presented to the court — i.e., affidavits and other evidence — Stratman's motion to dismiss was treated as one for summary judgment and disposed of under Fed.RXiv.P. 56.
. Implicit in this formtilation is that the official must have in fact played a role in the challenged conduct. We have recently held that a prison medical professional who serves "solely ... as a gatekeeper for other medical personnel capable of treating the condition” may violate an inmate's Eighth Amendment rights if he "delays or refused to fulfill that gatekeeper role.” Sealock,
During oral argument, Garrett's counsel conceded that a mere delay in treatment, without more, could not constitute deliberate indifference. The cases support that proposition. Although a delay in treatment is a relevant consideration, Oxendine,
. Federal courts are courts of limited jurisdiction. They possess only that power authorized by Constitution and statute, which is not to be expanded by judicial decree. It is to be presumed that a cause lies outside this limited jurisdiction, and the burden of establishing the contrary rests upon the party asserting jurisdiction.
Kokkonen v. Guardian Life Ins. Co.,
. A collateral order may be appealаble as a final decision if the order " '[1] conclusively determine[s] the disputed question, [2] re-solvéis] an important issue completely separate from the merits of the action, and [3] [is] effectively unreviewable on appeal from a final judgment’ ” Johnson v. Jones,
. See Austin v. Hamilton,
. The quintessential "purely legal determination” fit for appellate resolution after a denial of summary judgment is whether a constitutional right was clearly established at the time the facts giving rise to the case occurred. See, e.g., Cruz,
. Once jurisdiction over the abstract issue of law is established, the Court, in its discretion, may exercise pendent appellate jurisdiction to review other issues. See Wilson,
. In his recommendation, the magistrate judge stated, "A review of the record indicates that a genuine issue of material fact exists concerning whether Stratman acted with deliberate indifference toward Plaintiff by not seeking more expediation and qualified medical attention for the Plaintiff.” (Appellant’s App. at 151.)
. (Id. at 50-52 (Stratman affidavit); id. at 53-107 (Garrett's medical records, submitted with Stratman’s motion for summary judgment).)
. (Id. at 51-52 (Stratman affidavit).)
. (Id. at 53-90) (Garrett's medical records from June 14, 1995 to April 30, 1996, a large number of which were reviewed and initialed contemporaneously by Stratman); id. at 99 (consultation sheet, in which Stratman notes that the shoulder injury "causfed] pain with arm motion or cuffing in the rear”); id. at 99
. (Id. at 99.)
. (Id. at 100 (Medical/Surgical and Psychiatric Referral Request prepared by Stratman and approved by the warden).)
. (Id. at 52 (Stratman affidavit, in which he attests, "Between late August 1995 and May 9, 1996, I responded to both verbal and written inquiries from inmate Garrett about the recommended surgical repair of his left shoulder.”).)
. (Id. at 51.)
. Stratman’s objection regarding his lack of authority, quoted in total below, resounded of an unreviewable "I didn’t do it” issue.
Moreover, absolutely nothing in the record suggests that Dr. Stratman did anything to interfere with or hinder plaintiff’s trеatment. Furthermore, Dr. Stratman cannot be held responsible for the delay in transferring plaintiff for surgery as he states in his declaration that he did not have the authority to order the transfer immediately or to order that the surgery be performed locally. In his declaration, Dr. Stratman states that the Medical Designator is responsible for determining when an inmate is transferred to Springfield, Missouri, for treatment (V 8) (See also Declaration of George Klingner, M.D., ¶ 5). In fact, the Medical Designation and Transportation Office specifically ordered the plaintiff not to be transferred until it specifically authorized it. (See Exhibit G to Defendants' Motion to Dismiss) (Neither does plaintiff suggest that Dr. Stratman should haye provided any different treatment in the interim before surgery.) Plaintiff has not offered any evidence to suggest that Dr. Stratman was involved in or had any input as to when the surgery should be performed, or when the transfer should occur. Plaintiff bears the burden of showing*956 that Dr. Stratman should have done more, and plaintiff has failed to do so.
(Id. at 160-61.)
. Although the section of Stratman’s brief entitled "This Court’s Jurisdiction," characterizes the appeal as one involving an abstract question of law (Appellant’s Br. at 4), this characterization is betrayed by the remainder of the brief, which focuses on evidence sufficiency and the discovery matter discussed below. Stratman himself summarizes the argument in this fashion: "Garrett Failed to Meet His Burden of Submitting Evidence Creating a Genuine Issue of Material Fact Regarding or. Slratman’s Defense of Qualified Immunity.” (Id. at 21.)
We decline appellant's invitation, implicit in the jurisdictional portion of his brief, that we contort his arguments to create appellate jurisdiction at this stage in the litigation.
. "[I]n response to a summary judgment motion based on qualified immunity, a plaintiff's 56(f) affidavit must demonstrate how discovery will enable them to rebut a defendant’s [evidence].” Lewis,
Dissenting Opinion
dissenting
I respectfully dissent. I have searched the record for genuine issues of material fact relevant to finding that Dr. Stratman was deliberately indifferent to Mr. Garrett’s admittedly serious medical need. I find none. Although a delay in the provision of medical care may violate the Eighth Amendment, Hunt v. Uphoff,
Mr. Garrett disagrees with Dr. Strat-man’s decision to wait seven weeks before referring him to an orthopedic specialist, but this delay is clearly a result of Dr. Stratman’s medical judgment. Mr. Garrett’s mere disagreement with his doctor regarding the early weeks of his treatment does not constitute deliberate indifference. See Olson v. Stotts,
Furthermore, less than two weeks after Dr. Sutton recommended surgery, Dr. Stratman submitted a surgical referral request. Dr. Sutton еxamined Mr. Garrett
The majority persists in pointing to an eleven-month delay between Mr. Garrett’s injury and his surgery. But this overstates the delay for which Dr. Stratman is even arguably responsible because, as discussed above, the ten to eleven weeks between Mr. Garrett’s initial visit and submission of the surgical referral request were a result of Dr. Stratman’s medical judgment and cannot be characterized as a delay. The remaining eight months between submission of the surgical referral request and the actual transfer are irrelevant because Dr. Stratman’s conduct is not the legal or proximate cause of the eight-month delay and therefore not the cause of the harm that Mr. Garrett claims resulted from the delay.
Causation is a necessary element of a § 1983 claim of deliberate indifference. Daniels v. Gilbreath,
In short, by any summary judgment standard, see e.g., Jeffries v. Kansas,
. In addition, Dr. Stratman's designation of the transfer as "Routine-Urgent” in the surgical referral request does not support even an inference that Dr. Stratman caused the eight-month delay. The fact that Dr. Stratman checked the option recommending "travel ... within two weeks and/or condition warrants direct transfer” does not support the conclusion that Dr. Stratman had authority to order such a transfer. It merely indicates Dr. Stratman used the authority he had to secure Mr. Garrett's timely transfer. Although the form does provide an emergency option, which indicates that time and mode of travel are critical, Dr. Stratman exercised his medical judgment in prioritizing the urgency of the transfer. Nowhere in the record is that judgment refuted.
