Lead Opinion
KENNEDY, J., delivered the opinion of the court, in which Merritt, J., joined. GILMAN, J. (pp. 877-81), delivered a separate dissenting opinion.
OPINION
This case arises from an altercation between Jack Frantz (Frantz) and two Bradford, Ohio police officers on August 3, 1996, which led to the arrest and trial of Frantz for felony assault, disorderly conduct, and resisting arrest. After a jury acquitted Frantz of these criminal charges, he commenced an action pursuant to 42 U.S.C. § 1983 against the Village of Bradford, the Bradford Police Department, and several named defendants, including Officer Shane Duffey. Frantz’s complaint includes allegations of unreasonable seizure, arrest without probable cause, the use of excessive force, malicious prosecution, and false imprisonment.
Officer Duffey moved for summary judgment on the basis of qualified immunity. The district court denied his motion. Duf-fey then filed this limited interlocutory appeal, arguing that he is entitled to qualified immunity from Frantz’ claim of malicious prosecution. For the reasons set. forth below, we deny Duffey’s request for qualified immunity. We dismiss this appeal because we conclude that plaintiff does not have a cognizable constitutional claim for malicious prosecution, distinct from his Fourth Amendment claims still pending in the district court.
I.
Jack and Peggy Frantz were married on August 3, 1996. They held a wedding reception at the Community Club in the Village of Bradford, Ohio. As the reception was ending near midnight, Jack Frantz realized that he did not have a key to lock the Club. He walkеd across the street to a gas station with one of his male guests and his mother, Janet Frantz, in order to call the bartender to obtain the key. When they were unable to reach the bartender, the group left the gas station to return to the Club. As they crossed the street, a Bradford police cruiser turned into the Club parking lot.
According to Frantz, Officer Duffey exited the cruiser, turned to the group, and said, “I want to talk to you.” Not knowing whom Duffey was addressing, Jack Frantz
The situation quickly escalated. Coving-ton Officer Duane Williams arrived at the scene. According to Frantz, the officers used excessive force to arrest him, including when Officer Duffey struck him in the head with a flashlight as he attempted to get up from the ground.
Duffey tells a substantially different story. Duffey claims that Frantz was intoxicated and that he threatened Duffey and had to be restrained by Frantz’s male guest. Duffey further claims that Frantz forcefully resisted arrest and that it was necessary for Duffey to use the flashlight to protect himself from Frantz’s assault.
Frantz was triеd for felony assault, disorderly conduct, and resisting arrest' as a result of his encounter with Officers Duf-fey and Williams. A jury acquitted Frantz of all charges. After the criminal trial concluded, Frantz initiated a suit in federal district court against the Village of Bradford, the Bradford Police Department, and Officers Duffey and Williams. Frantz alleged violations of both federal and state law, including the deprivation of his constitutional rights under color of state law pursuant to 42 U.S.C. § 1983. The individual defendants were sued in both their personal and official capacities.
Several defendants filed motions for summary judgment, including Duffey. The district court determined that Frantz had raised genuine issues of material fact regarding his constitutional right to be free from unlawful arrest, excessive force, and malicious prosecution. Construing the facts in the light most favorable to Frantz, the district court held that Duffey was not entitled to summary judgment on the basis of qualified immunity. Duffey then filed a timely interlocutory appeal, claiming qualified immunity only from plaintiffs malicious prosecution claim.
II.
A.
We must first evaluate whether this court has jurisdiction to review appellant’s interlocutory appeal. The denial of a motion for summary judgment based on the defense of qualified immunity constitutes an immediately appealable interlocutory order within the meaning of 28 U.S.C. § 1291 “to the extent that it turns on an issue of law.” Mitchell v. Forsyth,
In Behrens v. Pelletier,
This circuit has applied the principles of Mitchell, Johnson, and Behrens in numerous cases to determine the scope of our appellate jurisdiction over interlocutory appeals from denials of summary judgment based on the defense of qualified immunity. See, e.g., Hoard v. Sizemore,
Although appellant in the present case does raise factual issues on this appeal, we conclude that questions of law exist which give this court jurisdiction. Duffey claims that the district court erred by (1) failing to conclude that Duffey had probable cause to arrest and prosecute Frantz, (2) finding that Frantz’s evidence was substantial enough tо rebut the presumption of probable cause, (3) inferring malice without evidence, and (4) failing to recognize Duffey’s testimonial immunity before the grand jury. Consequently, Duffey claims that he is entitled to qualified immunity on the malicious prosecution claim, relying on Ohio malicious prosecution law. Plaintiffs respond that the district court properly denied Duffey’s motion for summary judgment because it found genuine issues of material fact to be in dispute. The district court opinion explained that:
Whether Duffey made false statements about Frantz’s conduct depends, of course, upon whose version of events is credited ... Frantz insists that he did nothing to provoke Duffey or otherwise to warrant his arrest. Conversely, Duf-fey contends that Frantz was loud and belligerent, and that he assaulted the officer and resisted arrest. It is axiomatic, however, that the Court may not make credibility determinations or weigh conflicting evidence in the context of a motion for summary judgment.
While we agree that there are issues of fact with respect to Duffey’s part in the prosecution aside from his grand jury testimony, this case also presents the court with the pure legal question of the validity of plaintiffs underlying. claim, as a separate constitutional claim. As discussed in detail below, we find it necessary to evaluate whether plaintiffs claim, from which appellant seeks immunity, is in fact a cognizable constitutional claim. As a result of that question of law, we find that we do have jurisdiction tо review appellant’s claim, and we therefore proceed below.
B.
In evaluating whether Frantz raised sufficient evidence to establish the
The Supreme Court’s decision in Albright v. Oliver,
Since Albright, courts have struggled with malicious prosecution cases and have reached different conclusions. As the Tenth Circuit commented, “Albright muddied the waters rather than clarified them,” Taylor v. Meacham,
The First, Third, Fourth, Tenth, and Eleventh Circuits have analyzed causes of action for malicious prosecution under § 1983 based upon Fourth Amendment principles. See Britton v. Maloney,
Conversely, the Fifth, Seventh, and Ninth Circuits require that a § 1983 cause of action be based on state-law elements of malicious prosecution. See Kerr v. Lyford,
Squarely in the middle is the Second Circuit, which has reached contradictory holdings on what constitutes the cause of action. Compare Cook v. Sheldon,
Even within this circuit, we have not applied a consistent approach to post-A2-bright malicious prosecution cases. While some panels uphold the cause of action by looking to the elements of the parallel state law tort, others attempt to define the claim according to constitutional requirements. Compare White v. Rockafellow, No. 98-1242,
We unanimously reject the reasoning of courts which have relied on the state law
C.
We address the role of state law in defining a § 1983 claim for malicious prosecution, above, because so many courts have split on the question, and we unanimously reject the application of state law to define the elements of a constitutional claim. Our ultimate ruling in this case, however, obviates the need to define the elements of plaintiffs separate § 1983 claim for malicious prosecution. As detailed below, we hold that, under Albright, plaintiff in this case does not have a constitutional claim for malicious prosecution separate from his Fourth Amendment claims still pending in the district court.
In Albright, the plaintiff alleged on appeal only a due рrocess right to be free of prosecution without reasonable cause. Plaintiff originally turned himself in on the underlying criminal charges and he was booked, required to post bond, and prohibited from leaving the state without the court’s permission. Before trial, however, the circuit court dismissed the information against Albright on the ground that it failed to state a claim under Illinois law. Albright filed a civil action against Officer Oliver one day short of two years after the dismissal of the prosecution. Despite the fact that the plaintiffs surrender to the state may have constituted a seizure under the Fourth Amendment, the plaintiff alleged no Fourth Amendment violation because he had waived his Fourth Amendment claim based on that seizure, concluding that it was barred by the statute of limitations. Id. at 271,
The Supreme Court in Albright eliminated the substantive due process foundation as a basis for a § 1983 claim of malicious prosecution alleging arbitrary pretrial deprivations of liberty. The Court determined that any recovery based on a claim of malicious prosecution in a case involving an illegal seizure is limited to that which is recoverable under a Fourth Amendment illegal seizure claim and concluded that Albright did not have a separate constitutional claim for malicious prosecution. Albright’s Fourth Amendment claims having been waived, the Court affirmed the dismissal of Albright’s seрarate malicious prosecution claim.
Although in the present case we address an appeal by the original defendant challenging the district court’s denial of qualified immunity, this case involves a scenario which is substantively identical to Albright. Appellant, like the appellant in Albright, challenges the district court’s ruling only with respect to a separate constitutional claim for malicious prosecution and resulting damages alleged by plaintiff. Plaintiff has Fourth Amendment claims for unreasonable seizure, arrest without probable cause, and false imprisonment still pending in the district court and any damages resulting from a Fourth Amendment violation, including loss or expense by reason of a resulting prosecution, may be recovered there.
The dissent relies on this circuit’s decision in Spurlock v. Satterfield,
Albright eliminated reliance on substantive due process which was the basis on which courts historically relied for malicious prosecution claims. Instead, Albright now limits a plaintiff who was subject to an illegal seizure to recovery under the Fourth Amendment. Clearly an arrest without probable cause violates the Fourth Amendment, and if a prosecution follows from such ah arrest, then it may constitute damages recoverable under the Fourth Amendment. But the Fourth Amendment does not support a separate malicious prosecution claim independent of the underlying illegal seizure. The dissent proposes three elements of a § 1983 claim for malicious prosecution under the Fourth Amendment. We fail to see the constitutional basis for these elements, however.
Contrary to the dissеnt’s characterization of our opinion, we do not read Albright “as totally eliminating the § 1983 cause of action for malicious prosecution in our circuit.” In cases in which the plaintiffs Fourth Amendment rights are not implicated, we believe Albright leaves open the question of whether substantive due process may be available to the plaintiff. See Esther M. Schonfeld, Malicious Prosecution as a Constitutional Tort: Continued Confusion and Uncertainty, 15 Touro L.Rev. 1681, 1764 (1999) (“If ... the Fourth Amendment is not implicated, then substantive due process may be available to the plaintiff.”). We cannot agree with the dissent’s statement that “§ 1983 claims for malicious prosecution must be grounded in the Fourth Amendment.” Albright holds only that in cases in which a Fourth Amendment violation has occurred, a § 1983 claim cannot be brought under notions of substantive due process. Albright appears to acknowledge that in cases of egregious behavior that do not include a seizure, a plaintiff may have a § 1983 malicious prosecution claim supported by substantive due process rights. For example, substantive due process may support a § 1983 malicious prosecution claim against a police officer who plants false evidence to implicate a suspect whose arrest was supported by probable cause, or against a state official found guilty of bribing jurors. The Court made clear, though, that because the Fourth Amendment relates to deprivations of liberty that go hand in hand with criminal prosecutions, any § 1983 claim alleging pre-trial deprivations of liberty is limited to the explicit protections of the Fourth Amendment and any damages resulting from that violation of plaintiffs Fourth Amendment rights.
III. Conclusion
In sum, we hold that plaintiff here cannot bring a separate constitutional claim for malicious prosecution under the Fourth Amendment. Thus, we deny appellant’s request for qualified immunity on the grounds that plaintiff cannot bring, as a separate claim, the claim from which appellant seeks immunity. For the same reason, we dismiss this appeal. Plaintiffs Fourth Amendment claims are still pending before the district court and must be addressed there, consistent with this opinion.
DISSENT
Notes
. Courts have acknowledged broad compensatory and even рunitive damage awards for injuries resulting from seizures which violate the Fourth Amendment. For example, the Fifth Circuit affirmed a district court’s Fourth Amendment damage award which took into account "the time spent in jail, the mental anguish suffered, the damage to reputation suffered, and the legal fees incurred to defend the criminal charges.” Hale v. Fish,
. We emphasize that the dissent is incorrect when it states that we conclude that a “cause of action for malicious prosecution” is a nonexistent claim. In fact, we hold only that in cases based on alleged Fourth Amendment violations, plaintiffs do not have a separate § 1983 claim for malicious prosecution. As discussed in more detail below, a § 1983 claim for malicious prosecution may be available in cases in which the plaintiff’s Fourth Amendment rights have not been violated.
Dissenting Opinion
dissenting.
The majority has interpreted Albright v. Oliver,
I.- ANALYSIS
A. The majority opinion’s interpretation of Albright
The majority asserts that “this case involves a scenario which is substantively identical to Albright.” See Maj. Op. at 875. I disagree. In Albright, the plaintiff appealed the dismissal of his action for malicious prosecution brought under 42
In contrast, Frantz has specifically sued for malicious prosecution under § 1983 on the basis of the Fourth Amendment, even though he relies on our circuit’s pre-AJ-bright case of McMaster v. Cabinet for Human Resources,
I agree with the conclusion in Section II.B. of the majority’s оpinion that the elements of malicious prosecution under § 1983 cannot depend on the varying state laws within our circuit. This result is consistent with the Supreme Court’s directive to “peg” a § 1983 claim for malicious prosecution on the.Fourth Amendment. See Albright,
The effect of Albright was to eliminate reliance on substantive due process under the Fourteenth Amendment as the basis for a § 1983 claim of malicious prosecution. See Albright,
Despite the considerable uncertainty about the contours of a § 1983 malicious prosecution cause of action, no other circuit has found Albright to be a bar to a malicious prosecution claim under § 1983. The only circuit that does not recognize malicious prosecution as an actionable claim under § 1983 is the Eighth. See Gordon v. Hansen,
B. The majority’s conclusion is in conflict with binding circuit precedent
Not only does the majority abolish a cause of action for malicious prosecution under § 1983 based on what I believe is an erroneous interpretation of Albright, it also disregards binding circuit precedent that commands the opposite result. Our circuit adopted Albright’s, Fourth Amendment rationale in Spurlock v. Satterfield,
Spurlock confirmed that, in the wake of Albright, our circuit continues to recognize a § 1983 cause of action for malicious prosecution under the Fourth Amendment. The majority, however, is effectively overruling Spurlock on the basis that “[ble-cause we find that the Albright holding controls our disposition of the present case and because Spurlock failed to address that holding, we cannot rely on Spurlock.” Maj. Op. at 876. But one panel of this court cannot overrule the decision of another panel, see United States v. Washington,
C. The elements of a § 1983 malicious prosecution claim
Spurlock did not elaborate on the elements of a § 1983 malicious prosecution claim. Because I believe that Spurlock is still the controlling authority in this circuit, I have set forth below an analysis of the cause of action that I believe is consistent with Albright, Spurlock, and with what I perceive to be the better-reasoned decisions of our sister circuits. Based on these precedents, I conclude that three factors lie at the core of a claim for malicious prosecution under § 1983.
The first element is the most obvious. In light of Albright’s pronouncement that § 1983 claims for malicious prosecution must be grounded in the Fourth Amendment in order to constitute a deprivation of a constitutional right, see Albright,
Second, in order to distinguish the § 1983 cause of action for malicious prosecution from that for false arrest, the complaint must allege that the unconstitutional seizure resulted from unreasonable prose-cutorial action taken to bring the plaintiff before the court independent of any initial physical seizure. The Second Circuit expressed a similar notion when it held that “to successfully pursue a § 1983 claim of malicious prosecution in violation of ... Fourth Amendment rights, [the plaintiff] must show some post-arraignment deprivation of liberty that rises to the level of a constitutional violation.” Singer v. Fulton County Sheriff,
Finally, in order for a § 1983 malicious prosecution claim to succeed, the plaintiff must prove that the criminal proceeding terminated in a manner favorable to the plaintiff. This rule derives from the common-law tort of malicious prosecution, but was recognized by the Supreme Court as an element of a § 1983 claim in Heck v. Humphrey,
In sum, the three elements that I believe are necessary to state a claim fоr malicious prosecution under § 1983 are: (1) a seizure within the meaning of the Fourth Amendment by someone not entitled to absolute prosecutorial immunity, (2) objectively unreasonable prosecutorial action taken to bring the plaintiff before the court that is independent of any initial physical seizure, and (3) termination of the criminal proceeding in favor of the plaintiff. My analysis appears consistent with
As a final point on this subject, I cannot help but note that designating the constitutional claim as one for “malicious prosecution” is both unfortunate and confusing. A better name that would perhaps grasp the essence of this cause of action under applicablе Fourth Amendment principles might be “unreasonable prosecutorial seizure.” Our circuit, however, has long since recognized malicious prosecution as a cause of action under § 1983 and has referred to it as such. See Dunn v. Tennessee,
II. CONCLUSION
The majority, in my opinion, has disregarded binding circuit precedent and the weight of authority from our sister circuits in eliminating the cause of action for malicious prosecution under § 1983. I therefore respectfully dissent.
