Lead Opinion
Opinion by Chief Judge SCHROEDER; Concurrence by Judge FERNANDEZ.
We took this case en banc in order to clarify the law of the circuit regarding excessive force that violates the Fourth Amendment’s protections against unreasonable searches and seizures, and to clarify the law of the circuit on the scope of qualified immunity for excessive force claims. The case arises out of a police seizure at gunpoint of an apparently unarmed individual suspected of having earlier used a shotgun to shoot two dogs.
The Fourth Amendment guarantees citizens the right “to be secure in their persons ... against unreasonable ... seizures.” U.S. Const, amend. IV. In Graham v. Connor,
Here we must address the interplay between the Fourth Amendment’s objective reasonableness standard for claims of excessive force and the standard for measuring the scope of a law enforcement officer’s qualified immunity, which also embodies a reasonableness standard. See Harlow v. Fitzgerald,
FACTS
The Plaintiff-Appellant is James F. Robinson, an African-American retired
When the events at issue in this case took place, Robinson was 64 years old. He lived in a farmhouse set on a five-acre parcel in a semi-rural area of Fairfield, California, where he raised livestock including cattle, ducks, turkeys, geese, and chickens. He had fenced his property and kept a shotgun to protect his livestock. One morning he saw two dogs attacking and killing his livestock. He took out his shotgun and shot both dogs, killing one and wounding the other. Robinson then went looking for the wounded dog. His search took him to the public road fronting his property, and he walked approximately 50 feet along the road carrying the shotgun.
Robinson’s neighbor Sarah Reyes, the owner of the dogs, came out of her house while Robinson was on the road looking for the wounded dog. According to Robinson, he was standing approximately 160 feet from Ms. Reyes when she yelled to him about the dogs. She was angry that he had shot her dogs, and he tried to explain that he did not know the dogs were hers. After the two had a heated conversation, Robinson returned home.
Ms. Reyes went back into her house and phoned the police. The police sent out a radio dispatch regarding a man carrying a shotgun who had just shot two dogs and “is in the middle of the street yelling at this time.” The appellee officers were among the police officers who responded to the call and parked on the public road in front of Robinson’s property.
Robinson, who was apparently at that moment inside discussing with his wife whether to call the authorities, saw six police vehicles pull up outside his home. He decided to go out and explain the incident to them. Wearing an unbuttoned shirt and a pair of jeans, he walked the 135 feet from his front door to the street. He asserts that the officers were able to see him approach, and that they observed that his demeanor was calm. He also states that the officers kept their guns holstered as he approached. Officers Cauwells and Faulkner, however, contend that Robinson appeared agitated, and that they unhol-stered their guns upon first seeing him.
As Robinson neared the street, Officer Cauwells, who had then been with the police force approximately nine months, walked forward to meet him. Robinson said, “My name is Robinson and I’m the man that was involved with the dogs.” Officer Cauwells then pointed his gun at Robinson’s head from a distance of about six feet. Officer Faulkner also took out his gun and pointed it at Robinson. Cau-wells told Robinson to put his hands over his head. As Robinson was putting his hands up, he asked the officers “What’s going on?” Without answering the question, Cauwells repeated the command as he stepped forward, and according to Robinson, thrust his gun three or four feet from Robinson’s head. As a former police officer, Robinson was aware of the immediate physical danger posed by a gun pointed at his head from point blank range; he testified that he feared for his life.
Two police officers not named in this suit handcuffed Robinson and shoved him into the back seat of their patrol car. Robinson was confined in the police car while the officers talked to Ms. Reyes and other neighbors. The interval was approximately 15-30 minutes. Both sides agree that Robinson attempted to explain the situation to the officers, but that they refused to listen to him. The officers released Robinson after they ascertained that he had not violated the law.
PROCEDURAL BACKGROUND
Robinson filed a civil action in federal court alleging both state and federal claims against the individual officers and Solano County. The district judge granted partial summary judgment with respect to all claims against Solano County and all state law claims against the individual defendants. However, the district judge declined to grant summary judgment on the § 1983 excessive force claim against the police officers. The parties then stipulated to a jury trial on the federal claim before a magistrate judge.
The jury found that the length of Robinson’s detention was reasonable, but divided four to four on the question of whether the force employed to seize Robinson was reasonable. The trial court dismissed the jury after the deadlock. The court then granted the appellees’ Rule 50 motion for judgment as a matter of law on the federal excessive force claim, holding that the officers were entitled to qualified immunity.
Robinson appealed the grant of summary judgment on the state law claims and the grant of judgment as a matter of law on the federal excessive force claim. The original three-judge panel of this court reversed. It held that the officers were not entitled to qualified immunity on the federal excessive force claim because: (1) the contours of the law governing pointing of guns were sufficiently clear to put a reasonable officer on notice that pointing a gun at Robinson’s head, under the circumstances alleged, would violate his constitutional rights; and (2) disputed issues of material fact existed regarding the force actually used by the officers and whether such force was reasonable under the circumstances. See Robinson v. Solano County,
After we ordered this case to be reheard en banc, the U.S. Supreme Court granted certiorari in Katz. Saucier v. Katz,
The Katz Case
Our circuit law, prior to the Supreme Court’s decision in Katz, focused on qualified immunity principles enunciated by the Supreme Court in Harlow v. Fitzgerald,
The Supreme Court granted certiorari and determined that our analysis was at odds with the fundamental principle that issues of qualified immunity should be determined at the earliest possible stage. See Katz,
The concern of the immunity inquiry is to acknowledge that reasonable mistakes can be made as to the legal constraints on particular police conduct. It is sometimes difficult for an officer to determine how the relevant legal doctrine, here excessive force, will apply to the factual situation the officer confronts. An officer might correctly perceive all of the relevant facts but have a mistaken understanding as to whether a particular amount of force is legal in those circumstances. If the officer’s mistake as to what the law requires is reasonable, however, the officer is entitled to the immunity defense.
Id. at 2158.
The Court therefore held that the standard of reasonableness for purposes of qualified immunity is distinct from the standard of reasonableness embodied in the Fourth Amendment. Id. at 2158-59. The Supreme Court thus overruled our cases that had treated the standard as the same, including the panel opinion in this case,
The Supreme Court in Katz was also concerned that, by jumping too quickly to the immunity question of whether a reasonable officer could have believed that his conduct violated the Fourth Amendment, the courts might inhibit the development of Fourth Amendment law. It therefore instructed courts to examine in every case, as the first inquiry in determining immunity, whether the plaintiff alleged a constitutional violation:
A court required to rule upon the qualified immunity issue must consider, then, this threshold question: Taken in the light most favorable to the party asserting the injury, do the facts alleged show the officer’s conduct violated a constitutional right? ... In the course of determining whether a constitutional right was violated on the premises alleged, a court might find it necessary to set forth principles which will become the basis for a holding that a right is clearly established. This is the process for the law’s elaboration from case to case, and it is one reason for our insisting upon turning to the existence or nonexistence of a constitutional right as the first inquiry. The law might be deprived of this explanation were a court simply to skip ahead to the question of whether the law clearly established that the officer’s conduct was unlawful in the circumstances of the case.
Katz,
Consequently, after Katz, in an excessive force case like this one, we must ask first whether the facts taken in the light most favorable to the plaintiff would establish a violation of the Fourth Amendment. Only if the answer is in the affirmative should we address the immunity issue. The immunity inquiry then focuses on whether the law was clearly established at the time. Id.
We conclude in this case that the plaintiff has alleged a violation of the Fourth Amendment, but that in light of Fuller v. Vines,
The Alleged Violation of the Fourth Amendment
Although the officers never formally arrested Robinson, they did detain him at gunpoint, handcuff him and place him in the squad car while they talked to other witnesses. The fact of a seizure is not disputed, nor is any issue raised concerning the amount of force involved in handcuffing Robinson and placing him in the squad car. That conduct did not in and of itself constitute excessive force. The only dispute is whether the officers’ use of a drawn gun pointed at Robinson’s head from close range constituted excessive force.
The leading case in our circuit involving a drawn gun is Fuller v. Vines,
In Fuller we applied the Mendenhall test, as we do here, which requires that for there to be a seizure there must be “a restraint of liberty such that the person reasonably believes he is not free to leave.” Fuller,
Having concluded that there was a seizure in this case, we turn to the question of whether the seizure was unreasonable because the officers used excessive force, i.e., force that was not “objectively reasonable” in light of the facts and circumstances confronting the officer. See Graham,
In this case, it is not alleged that any of the factors justifying the use of force were present. The crime under investigation was at most a misdemeanor; the suspect was apparently unarmed and approaching the officers in a peaceful way. There were no dangerous or exigent circumstances apparent at the time of the detention, and the officers outnumbered the plaintiff.
Our discussion in Chew v. Gates,
The only circumstances in this case favoring the use of force was the fact that plaintiff had earlier been armed with a shotgun that he used to shoot the neighbor’s dogs. We conclude that Robinson’s earlier use of a weapon, that he clearly no longer carried, is insufficient to justify the intrusion on Robinson’s personal security. He therefore has alleged a claim of excessive force in violation of the Fourth Amendment under the standard of “objective reasonableness” enunciated by the Supreme Court in Graham.
Indeed, under more extreme circumstances the pointing of a gun has been held to violate even the more rigorous standard applicable before Graham, when plaintiffs were required to establish conduct so excessive that it “shocked the conscience.” In McKenzie v. Lamb,
We agree with the observations of the Third Circuit in Baker v. Monroe Township,
There is no per se rule that pointing guns at people, or handcuffing them, constitutes an arrest.... But use of guns and handcuffs must be justified by the circumstances.... Moreover, we must look at the intrusiveness of all aspects of the incident in the aggregate.In this case, adding up the use of guns and handcuffs and, indeed, the length of the detention, shows a very substantial invasion of the Bakers’ personal security-
Id. at 1193 (citing, inter alia, United States v. Del Vizo,
In cases involving investigatory or Terry stops, we have consistently applied the principle that drawing weapons and using handcuffs or other restraints is unreasonable in many situations. See, e.g., Del Vizo,
Robinson has adequately alleged a violation of his Fourth Amendment rights.
Whether the Law Was Clearly Established
To determine whether the officers are entitled to immunity from a further trial to determine liability, we must, after Katz, additionally address whether it would have been clear to the officers in 1995 that their alleged conduct was unlawful. See Katz,
The conduct occurred in 1995, and the law at that time must be our guide. Id. at 2159. As the foregoing discussion reflects, up until 1989 the standard that a plaintiff had to meet in order to succeed on an unreasonable force claim was very high. The officer’s conduct had to “shock the conscience.” After the Supreme Court lowered the standard to “objective reasonableness” in Graham, the lower federal courts struggled to apply it, particularly in connection with officers’ use of guns.
The development of the law with respect to arrests and detentions now allows us to recognize as a general principle that pointing a gun to the head of an apparently unarmed suspect during an investigation can be a violation of the Fourth Amendment, especially where the individual poses no particular danger. See Del Vizo,
State Law Claims
Robinson has alleged state law claims against both the individuals and the county for false arrest, false imprisonment, assault and battery, negligence and gross negligence. The district court granted summary judgment on all of them because it held that California grants immunity to both the individual defendants and to the county. We disagree, as did the three-judge panel. See Robinson,
As to the county, the district court applied the rule set out in Monell v. Dep’t of Soc. Servs.,
Under California law, the county’s immunity depends upon whether the police officers are immune. Most of the state law claims arise from the allegation that the individual officers used excessive force, and California denies immunity to police officers who use excessive force in arresting a suspect. See Mary M. v. City of Los Angeles,
We therefore reverse the district court’s grant of summary judgment on the state law claims against both the individual officers and Solano County.
Conclusion
We hold that Officers Cauwells and Faulkner were entitled to qualified immunity on the federal excessive force claim because the Fourth Amendment law gov
AFFIRMED IN PART, REVERSED IN PART, and REMANDED.
Concurrence Opinion
with whom RYMER and T.G. NELSON, Circuit Judges, join, concurring:
I concur in the result only. Although I agree that the officers are entitled to qualified immunity, I do so because, in my view, there was no use of excessive force.
My reason is quite simple. I do not believe that an officer who points a gun while making an otherwise proper seizure of a suspect can be found to have violated the Fourth Amendment by using excessive force upon the suspect, when no force whatsoever has been applied. While Robinson would like to lure us into a realm where we must dissect and second-guess each and every instance of an officer’s pointing of a weapon at another person (or perhaps when he even threatens to do so), I believe it is a grave mistake to enter that realm. It will vastly expand, even trivialize, the concerns about the use of force to accomplish a seizure which drove the Supreme Court in Tennessee v. Garner,
The difference between a threat of force and the actual use of force upon a person can seem slight at times, but it is rarely, if ever, difficult to distinguish between the two. It is simply the ancient distinction between assault and battery. The latter requires a touching, no matter how slight; the former merely requires a threat. We can consult Blackstone
We should adhere to that hoary distinction in this area and refuse to find excessive use of force upon another when there has been gun pointing, but there has not been a touching.
In one case where we narrated the story of the overall excessive force used by officers, that involved bursting into a hotel room, handcuffing the appellants, throwing them on the floor, and actually pressing guns against their heads. See McKenzie v. Lamb,
In general, other circuits have reached similar results. Thus, in Skarrar v. Fels-ing,
Similarly, in Collins v. Nagle,
And in Edwards v. Giles,
The Seventh Circuit, on the other hand, has opined that holding a gun to the head of an unoffending person — a nine-year-old child — and threatening to pull the trigger was unreasonable, where the child was not a suspect and not violent; that constituted an excessive use of force. See McDonald v. Haskins,
Taken together, the cases do demonstrate that the courts’ explication of the law to date may not be a thing of symmetrical beauty. The courts have continued to hold out the possibility that an egregious course of conduct by police officers, which included the pointing of and threat to use a gun, might constitute use of excessive force, even without any touching. Nevertheless, the step that Robinson successfully urges upon us is a giant one. He asks us to hold that an otherwise legal seizure (detention) becomes a violation of the Fourth Amendment merely because guns were unnecessarily pointed at a suspect. At first blush, that may seem like a tiny pebble dropped into the lake of Fourth Amendment jurisprudence. It is not; what appear to be mere ripples might well become enormous waves of portentous problems. Henceforth, no officer in the Ninth Circuit can draw his gun in order to assure control of a suspect without making
Like my colleagues, I do not relish the idea of police officers unnecessarily pointing guns — personally, I find that to be unnerving. Nevertheless, I do not see it as the use of excessive force because I do not read the serious commands of our Constitution as enacting an all-purpose code of civility. When we give officers their dangerous jobs, we can expect restraint; we cannot expect sangfroid.
Thus, I respectfully concur in the result only.
Notes
. Graham v. Connor,
. Assault "is an attempt or offer to beat another, without touching him.” 3 William Blackstone, Commentaries *120. Battery "is the unlawful beating of another. The least touching of another’s person willfully, or in anger, is a battery.” Id.
. Assault is putting one in apprehension of a harmful or offensive touching. William L. Prosser, The Law of Torts 34 (2d ed.1955). Battery is unprivileged contact with the person of another. Id. at 30.
. I recognize that Robinson was ultimately touched in this case, but that is not the excessive force claim that we are asked to consider. The claim here is that the mere pointing of the gun was enough to constitute excessive force.
. The same result might well be reached if the seizure was not otherwise proper, but we need not decide that issue in this case.
. Cf. Gaut v. Sunn,
. The court distinguished an earlier case where it had found a Fourteenth Amendment substantive due process violation. Id. at 821— 22.
. In a later case, where it did find a violation arising out of a whole series of improper acts, including firing a gun at a car, the court also used a substantive due process analysis, rather than a Fourth Amendment analysis. See Petta v. Rivera,
. Holland v. Harrington,
. Ten officers armed with pistols, a rifle and a shotgun converged on the appellant to arrest him. Gumz v. Morrissette,
. I do not disagree with the majority on the state tort issue because I read the opinion as doing no more than rejecting the notion that the County and the officers are automatically immune under state law.
