John E. Green v. J. Kenneth Brantley, Edgar v. Lewis, Craig R. Smith, Garland P. CastleberryJohn E. Green v. J. Kenneth Brantley, Edgar v. Lewis, Craig R. Smith, Garland P. Castleberry
Lead Opinion
In this civil rights case, we decide whether we have jurisdiction to hear an interlocutory appeal from a denial of summary judgment on the ground of qualified immunity when the defendant must still face trial on another claim arising from the same occurrence. Defendants appeal the denial of summary judgment on one of two civil rights damage claims asserted against them but concede that the remaining claim must go to trial. A panel of this court refused jurisdiction, but we vacated that opinion to consider the case en banc. We now conclude that the denial of summary judgment based on qualified immunity is appealable as a collateral order under Mitchell v. Forsyth,
I. FACTS AND BACKGROUND
The facts of this case are set out more extensively in the panel’s opinion. Green v. Brantley,
Plaintiff John Green brought this Bivens action against four officials of the Federal Aviation Authority in their personal capacities after a dispute over the revocation of plaintiffs Designated Pilot Examiner’s (“DPE”) certificate. Plaintiff has alleged two constitutional violations.
Defendants moved for summary judgment on both claims, asserting qualified immunity from suit. The district court denied the motion, concluding that the DPE certificate was a “license” afforded the due process protection of the APA and that this right was clearly established in White v. Franklin,
A panel of this court ruled that it lacked appellate jurisdiction, concluding that “the facts of Mitchell and those of the present case differ in material respects.”
II. DISCUSSION
A.
The doctrine of qualified immunity affords immunity from suit to government officials performing discretionary functions as long as “their conduct does not violate clearly established statutory or constitutional rights of which a reasonable person would have known.” Harlow v. Fitzgerald,
In Mitchell v. Forsyth, the Supreme Court held that a district court’s denial of a claim of qualified immunity is among that small class of decisions that, despite the absence of a final judgment, are appealable “final decision^]” within the meaning of 28 U.S.C. § 1291. Mitchell,
The only relevant distinction between this appeal and the appeals in Mitchell and Harlow is the decision by defendant officials in this ease to assert on appeal that they are entitled to qualified immunity from suit on only one of the two claims facing them. As a result, defendants here will still face trial on the liberty/reputational interest claim whether or not we conclude they are immune from suit on the property interest claim. We think this distinction is immaterial, as the same concerns
Throughout its discussion of the doctrine of qualified immunity, the Harlow Court made no distinction between those cases that might be completely resolved through a summary judgment motion asserting qualified immunity and those cases in which only some claims were subject to dismissal on the ground of qualified immunity from suit. The Court said that the chief objective behind qualified immunity was to avoid the social costs associated with forcing public servants to defend themselves against erroneous claims. We do not read Harlow to suggest that these costs are avoided only when the official escapes trial entirely by asserting immunity from suit on all the claims facing him. Rather, the Harlow Court concluded that “public policy mandates an application of the qualified immunity standard [in a way] that would permit the defeat of insubstantial claims without resort to trial.” Id. at 813,
Harlow recognized the importance of shielding public officials from the threat of litigation arising out of their official functions. “[W]here an official’s duties legitimately require action in which clearly established rights are not implicated, the public interest may be better served by action taken ‘with independence and without fear of consequences.’ ” Id. at 819,
A defendant’s litigation burdens are lessened when a claim is dismissed, and he then defends against fewer claims. If a court grants qualified immunity on one civil rights issue and the defendant goes to trial on a separate issue, discovery can be limited to the issue for which the defendant official has no immunity. With at least some civil rights claims disposed of favorably for the defendants, the plaintiffs may voluntarily withdraw or settle the remaining claims. The duration of the trial — if there is a trial — will likely be shortened, the issues simplified, and the focus nar
Harlow recognized that for defendant officials, a pending civil rights lawsuit is a sword of Damocles. Reducing the potential for an outcome disastrous to the official by promptly dismissing claims from which he is properly immune can significantly reduce the pain and suffering that the public official and his family endures while the suit is pending. This kind of suffering can constantly grind away at the official, seriously impeding the official in the performance of his duties. Granting qualified immunity on a motion for summary judgment inherently reduces the disruption that the suit poses; for the pertinent civil rights claim, summary judgment puts an end to the distraction. Avoidance of distraction to public officials was one of the main purposes of the qualified immunity doctrine. See Harlow,
If we refused to permit government officials to appeal immediately the denial of qualified immunity when they still face some claim for personal liability damages, we would destroy the right of those officials to be free from the burdens of litigation on those claims from which they are properly immune. In a practical sense, refusing to hear appeals such as this one would effectively abolish qualified immunity for those defendants, clearly frustrating both Mitchell and Harlow by forcing government officials to litigate claims from which they are immune simply because other claims will proceed to trial regardless.
B.
We have focused mainly on whether an interlocutory appeal asserting qualified immunity from suit on one of several damage claims implicates the considerations underlying the qualified immunity doctrine, and whether the entitlement to qualified immunity is “effectively lost” if the defendant official must go to trial on claims from which he is properly immune. Such an appeal also fits within the Mitchell analysis of the remaining two requirements of the collateral order doctrine by conclusively determining the disputed question and by being conceptually separable from the substantive merits of the damage claims asserted in the suit. See Cohen v. Beneficial Industrial Loan Corp.,
In the same manner as an appeal from a qualified immunity denial on all claims, an appeal from a qualified immunity denial on some but not all claims “conclusively determines the disputed question.” See Mitchell,
The same idea holds true in this case, where the denial of defendants’ qualified immunity from suit on plaintiff’s property interest claim conclusively rejected defendants’ entitlement to avoid trial on that allegation. That defendants still face trial on another damage claim does not change the fact that “nothing in the subsequent course of the proceedings in the district court ... can alter the court’s conclusion that the defendant is not immune” from suit on the property interest claim. See Id.
Here, as in Mitchell, the question of whether the defendant official is entitled to qualified immunity on a particular damage
III. CONCLUSION
The Supreme Court held in Mitchell v. Forsyth that appellate courts must entertain interlocutory appeals of qualified immunity denials to protect society from the costs associated with forcing public officials to defend themselves against “insubstantial claims” from which they are properly immune. For the same compelling reasons, government officials continue to be entitled to interlocutory appeal when a civil rights plaintiff attaches other counts to which the official is not immune, or when the official acknowledges that at least some of the plaintiffs allegations do make out violations of clearly established law. We therefore conclude that we have jurisdiction over defendants’ appeal,
Notes
. A third alleged violation — that defendants conspired to deprive plaintiff of his First Amendment rights in retaliation for testimony against the FAA in an unrelated matter — was dismissed at summary judgment, and that ruling is not before us on appeal.
. In concluding that the district court opinion in White v. Franklin clearly established plaintiffs property interest in the DPE certificate, the district court did not address circuit precedent holding that "a district court opinion, particularly from outside the circuit, cannot, in and of
. We think this conclusion is questionable; defendant's motion may have been ripe for summary judgment consideration. In a concurrence to the panel opinion in this case, Judge Kravitch noted that the existence of a factual dispute should never preclude consideration of a qualified immunity claim at summary judgment, as long as there is sufficient factual development to address the claim.
. Since the decisions in Harlow and Mitchell, at least nine different circuit courts, including our own, have allowed defendant officials to appeal immediately a district court’s denial of a claim of qualified immunity even when a trial was still necessary to resolve a remaining, official-capacity claim. See DiMartini v. Ferrin,
It is true that the official capacity claim facing the defendant official in Marx v. Gumbinner,
. Refusing to entertain appeals such as this one would also poorly serve the final judgment rule. That rule promotes judicial economy and holds down the costs of civil rights litigation by preventing the "obstruction to just claims that would come from permitting the harassment and cost of a succession of separate appeals.” Firestone Tire & Rubber Co. v. Risjord,
At the district level, plaintiffs would be able to prevent defendants from obtaining interlocutory appeal by asserting additional, frivolous claims against which defendants cannot plead immunity or which may allege facts that make out violations of clearly established law. See generally Butz v. Economou,
As for the appellate docket, a rule accepting jurisdiction of only those appeals in which all the plaintiffs claims are subject to dismissal on the ground of qualified immunity would encourage defendants to continue pursuing frivolous qualified immunity claims at the appellate level just to preserve appellate review of legitimate claims of qualified immunity. At the same time, defendants would be discouraged from acknowledging — as defendants in this case apparently have — that the plaintiff has alleged a violation of clearly established law on at least some of the claims.
. In Mitchell, the Supreme Court pointed out by way of analogy that a criminal defendant is entitled to an immediate, interlocutory appeal from the denial of a double jeopardy claim because "[t]here are simply no further steps that can be taken in the District Court to avoid the trial the defendant maintains is barred.” Mitchell,
. In his en banc brief, plaintiff drops his objections to appellate jurisdiction and asks that we address the merits of defendants’ appeal. But, appellate jurisdiction must derive from Congress' Article III grant of authority, as expressed in 28 U.S.C. § 1291. As a result, "no action of the parties can confer subject-matter jurisdiction upon a federal court. Thus, the consent of the parties is irrelevant.” Insurance Corp. of Ireland v. Compagnie des Bauxites de Guinee,
Dissenting Opinion
dissenting in which KRAVITCH, Circuit Judge, joins.
The majority’s rendition of the facts and procedural posture of this case does not clearly express the narrowness of the issue now before this Court and the inconse-quence of its resolution to the subsequent litigation of this case. The plaintiff brought a Bivens action against four government officials, essentially alleging two constitutional claims.
In the first of the two claims (“the property interest claim”), the plaintiff alleged deprivation of a property right in his Designated Pilot Examiner’s certificate without due process of law in violation of the Fifth Amendment and the Administrative Procedure Act. In the second claim (“the liberty interest claim”), he alleged deprivation of “two distinct liberty interests.” Green v. Brantley,
The defendants’ decision to appeal only the denial of qualified immunity as to the property interest claim is of great significance to the jurisdictional issue now before this Court. Because of the defendants’ failure to appeal the district court’s denial of qualified immunity in regard to the plaintiff’s liberty interests, this claim remains before the district court ready for trial on the merits. This procedural posture is of importance because under Paul v. Davis,
Consequently, even if a panel of this Court reverses the district court’s denial of qualified immunity as to the property interest claim, that reversal would have practically no effect on the course of the subsequent litigation. If the “burdens of litigation” were lessened for the defendants, it would be only imperceptibly so. It is difficult to imagine that discovery would be any more limited, that the duration of trial would be any shorter, that attorneys’ fees would be reduced, that the embarrassment of the legal process would be decreased, or that the distraction from official duties would be any less intense. More importantly, the defendants would remain potentially liable in money damages.
Though the majority opinion will ultimately be of little consequence to the defendants in this case, it collides head on with the fundamental precepts of our federal appellate system, resulting in one further dent in the final judgment rule. There is no doubt that “ ‘the final judgment rule is the dominant rule in federal appellate practice.’ ” DiBella v. United States,
The purposes behind this longstanding requirement of finality are manifold. First, the very structure of our judicial system requires that the appellate court give deference to the trial court in matters concerning ongoing litigation. The trial judge is “the individual initially called upon to decide the many questions of law and fact that occur in the course of a trial.” Firestone Tire & Rubber Co. v. Risjord,
The policies behind the final judgment rule are in fact so strong that, contrary to the implications of the majority opinion, the Supreme Court has consistently “declined to find the costs associated with unnecessary litigation to be enough to warrant allowing the immediate appeal” of the district court’s pretrial orders and rulings. Lauro Lines S.R.L. v. Chasser,
Nevertheless, the Supreme Court has created an exception to the rule known as the “collateral order doctrine” for an exceedingly small class of cases. Midland,
The Supreme Court applied this test in Mitchell v. Forsyth and found a denial of qualified immunity to be appealable under the collateral order exception. Mitchell,
Because of the peculiar procedural posture of the instant case, however, trial will proceed whatever the disposition of the appeal. This fact distinguishes the instant case from Mitchell. The consideration of whether the “entitlement not to stand trial” may be preserved through immediate appeal is of utmost importance in deciding whether the trial judge’s ruling in this case falls within the collateral order exception. Before Mitchell and since, the Court has emphasized the importance of this consideration. See Lauro Lines,
Nothing is gained by the majority’s disposition of this case, but much is lost. The final judgment rule is the foundation of federal appellate procedure. To open the door of the appellate courts so casually to
. As the majority points out, the plaintiff also brought a third claim alleging a First Amendment violation. The district court granted summary judgment on this claim in favor of the defendants, and the plaintiff did not appeal the disposition of that claim. This third claim therefore was not addressed by the panel and is not before the en banc court. See Green v. Brantley,
. As Judge Kravitch’s concurrence to the original panel opinion points out, the district court also concluded in regard to the plaintiffs claim of a deprivation of a liberty interest in his professional reputation that "an issue of fact exists for the jury as to whether the defendants released information that damaged the plaintiffs reputation prior to his termination." Green,
. The majority has downplayed the significant difference between Marx v. Gumbinner,
All of the cases cited in footnote 4 of the majority opinion likewise address this distinction between claims for monetary damages and claims for injunctive relief. These cases therefore lend no support to the majority’s position.
. Cohen stated that the case must "fall in that small class which finally determine claims of right separable from, and collateral to, rights asserted in the action, too important to be denied review and too independent of the cause itself to require that appellate consideration be deferred until the whole case is adjudicated.” Cohen,