Lead Opinion
The defendants appeal from the district court’s order denying their motion for summary judgment based on the defense of qualified immunity. We exercise jurisdiction pursuant to 28 U.S.C. § 1291 and reverse.
I. Background
The following facts are undisputed. On June 10, 1996, a bail bondsman went to Plaintiff Ernest Medina’s residence to take Mr. Medina into custody for a bail bond violation. When Mr. Medina saw the bondsman, he put his right hand behind his back and said he had a gun. The bondsman subsequently retreated and called the police. As numerous officers, including Defendant Officers Cram and Bruning, began arriving at the scene, Mr. Medina refused to leave the house and began using cocaine and drinking rum. In
Mr. Medina finally emerged from the house with his left hand in a cup and his right hand wrapped in a towel concealing a staple gun, which Mr. Medina intended as a representation of a weapon. Although officers ordered Mr. Medina to stop, he continued to walk toward and into the street. The officers first used non-lethal beanbag rounds to stop Mr. Medina. When that was unsuccessful, an officer released an attack dog, which bit him and released, returning to the officer. At this time, Officer Cram was following Mr. Medina, planning to stop him by knocking him to the ground. As Officer Cram was communicating his plan to his fellow officers, the attack dog was released the second time. Mr. Medina subsequently dropped to the ground and exposed the staple gun, which officers at the scene believed to be a gun. As he did so, he turned to the left, causing Officer Cram to conclude he and other officers were in the line of fire. From a distance of approximately eight to ten feet, Officer Cram then fired a three-round burst from his automatic weapon, hitting Mr. Medina in the stomach. In addition, Officer Bruning fired two shots at the center of Mr. Medina’s body from a distance of approximately ten to twelve feet. Shortly thereafter, Mr. Medina was taken to the hospital where he survived his injuries.
Claiming Officers Cram and Bruning used excessive force in violation of his Fourth Amendment rights, Mr. Medina brought suit in district court pursuant to 42 U.S.C. § 1983. Mr. Medina also brought a § 1983 action against the City of Colorado Springs for maintaining policies that foster excessive use of force and for failing to adequately train police officers. The district court denied the officer defendants’ motions for summary judgment, concluding genuine issues of material fact remain regarding whether the officers’ actions were objectively reasonable under the circumstances.
II. Standard of Review in Qualified Immunity Cases
Although actions for damages provide an important remedy for individuals injured by governmental officials’ abuse of authority, such actions • sometimes subject officials to costly and harassing litigation and potentially inhibit officials in performing their official duties. Anderson v. Creighton,
We review the denial of a summary judgment motion raising qualified immunity questions de novo. Wilson v. Meeks,
This two-step analysis “is designed to ‘spare a defendant not only unwarranted liability, but unwarranted demands customarily imposed upon those defending a long drawn-out lawsuit.’ ” Wilson v. Layne,
This circuit previously required plaintiffs to meet a heightened pleading standard when subjective intent is at issue and the defendant raises a qualified immunity defense. See, e.g., Breidenbach v. Bolish,
Crawford-El should be read narrowly in light of the specific issue before the Court. The Court repeatedly noted that it was addressing standards of proof in the context of the merits of a constitutional claim involving improper motive, rather than in the context of a qualified immunity defense: “The court’s clear and convincing evidence requirement applies to the plaintiffs showing of improper intent (a pure issue of fact), not to the separate qualified immunity question whether the official’s alleged conduct violated clearly established law, which is an ‘essentially legal question.’ ” Crawford-El,
The dissent quotes the Court’s observation in Craioford-El that a heightened burden for constitutional claims involving improper motive “lacks any common-law pedigree,” as well as statutory support. Id. at 594-95,
The dissent therefore reads Crawfordr-El too broadly and fails to apply Supreme Court precedent emphasizing the unique nature of a qualified immunity defense. See, e.g., Mitchell,
III. Jurisdiction: Immediate Appeal from Denial of Summary Judgment in Qualified Immunity Cases
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. Mitchell v. Forsyth,
Hence, we have observed that defendants may not immediately appeal a pretrial order deciding “nothing more than whether the evidence could support a finding that particular conduct occurred.” Foote v. Spiegel,
IV. Excessive Force Claim
Claims of excessive force are analyzed under the objective reasonableness standard of the Fourth Amendment. Graham v. Connor,
We have recognized that the reasonableness inquiry in excessive force cases overlaps with the qualified immunity question, which also requires the application of a reasonableness standard in order to determine whether an officer violated a clearly established right. Kg., id.; Quezada v. County of Bernalillo,
In the absence of disputed material facts, courts often decide questions of reasonableness early in the litigation in order to resolve the “legal question” presented by a qualified immunity defense. Although the Supreme Court has noted the fact-specific nature of a reasonableness inquiry, it has continued to urge the early resolution of reasonableness questions in the context of qualified immunity. See, e.g., Anderson v. Creighton,
According to Mr. Medina, the officers’ actions after he left the house and began walking toward the street constituted reckless and deliberate conduct giving rise to the threat of force. Specifically, he argues the officers should have remained under cover rather than following him in an attempt to knock him to the ground. He apparently argues that their failure to take cover was particularly reckless in light of the attack dog’s release, which increased the risk of force. We have, however, suggested that an officer’s failure to take cover is “at issue only insofar as it [bears] upon whether the officer’s life [is] truly in danger.” Wilson I,
Moreover, contrary to the district court’s opinion, our decision Allen v. Muskogee,
V. Expert Affidavit
In response to the defendants’ assertion of a qualified immunity defense, Mr. Medina submitted an affidavit of an expert, which he argues supports his contention that genuine issues of material fact exist in this case. The expert’s affidavit does not, however, highlight a disputed issue of fact; rather, it simply contains the ultimate conclusion that the officers’ use of force did not conform with accepted police guidelines and practices and was, therefore, excessive. We have, of course, recognized that claims based on violations of state law and police procedure are not actionable under § 1983. Romero,
Furthermore, the expert based his opinion generally on his knowledge of various documents, rather than presenting specific facts, and did not indicate whether his conclusion rests on a finding that the officers acted recklessly, as opposed to negligently. We therefore follow the well-settled principle that an expert opinion may not be sufficient to overcome summary judgment if “it is conclusory and thus fails to raise a genuine issue of material fact.” Matthiesen v. Banc One Mortgage Corp.,
Because Mr. Medina has failed to satisfy his burden in overcoming the officers’ assertion of qualified immunity, we REVERSE the district court’s order finding genuine issues of material fact and REMAND with instructions to enter judgment in favor of the officer defendants.
Notes
. I recognize, of course, that "on summary judgment, the court may make a determination as to reasonableness when, viewing the evidence in the light most favorable to [the plaintiff], the evidence compels the conclusion that [the officer’s] use of force was reasonable.” Katz v. United States,
Dissenting Opinion
dissenting
I regret that I am unable to concur in either the legal or the factual analysis set out in the majority opinion. First, the majority applies a legal framework that in my view does not survive the Supreme Court’s recent decision in Crawford-El v. Britton,
I
Legal Framework
While the majority does acknowledge that damage actions are an important remedy for those injured by the abuse of governmental authority, the majority’s analysis nonetheless values only the interest of the defendant in avoiding pretrial discovery. In Cmwford-El, however, the Court pointed out that its opinion in Harlow should not be read to eliminate the need to balance the interests of both the plaintiff and the defendant, emphasizing that “[i]n situations of abuse of office, an action for damages may offer the only realistic avenue for vindication of constitutional guarantees,” and that “social costs” to the interest of a defendant public official in avoiding discovery therefore “do not necessarily justify serious limitations upon ‘the only realistic’ remedy for the violation of constitutional rights.” Id. at 591,
Discovery involving public officials is indeed one of the evils that Harlow aimed to address, but neither that opinion nor subsequent decisions create an immunity from all discovery. Harlow sought to protect officials from the costs of “broad-reaching” discovery, and we have since recognized that limited discovery may sometimes be necessary before the district court can resolve a motion for summary judgment based on qualified immunity.
Id. at 593 n. 14,
The majority’s undue emphasis on the interest of the defendant distorts its discussion addressing appellate review of the denial of a summary judgment in the qualified immunity context. Because the majority’s approach runs contrary to the discussion in Crawford-El addressing the need to balance both interests, the majority justifies its reliance on circuit law predating Crawfordr-El by concluding that case is not implicated here. This assertion is flawed in two respects.
First, while the Court in Crawfordr-El struck down heightened pleading requirements in the context of civil rights cases alleging constitutional violations involving intent, nothing in its rationale for doing so is peculiar to that category of cases. To the contrary, the Court’s reasoning and ruling are framed in broad terms and by those terms are applicable to any requirement in a civil rights case that is outside
Second, I cannot agree with the assertion that Crawford-El is not implicated because we are dealing with the plaintiffs burden in responding to the assertion of qualified immunity rather than the plaintiffs burden to plead a constitutional claim initially. The defendant’s interests in avoiding the burdens of discovery and trial which the Supreme Court held were implicated in the pleading requirement at issue in Crawford-El are the very interests which justified the judicial creation of the doctrine of qualified immunity. In striking down the heightened pleading requirement at issue there, the Court pointed out, as I have noted, that Harlow itself does not provide precedent for the notion that the need to prevent discovery justifies placing “a thumb on the defendant’s side of the scales,” id. at 593,
As the Supreme Court’s discussion reveals, our pre-Crawford-El cases increasing the plaintiffs evidentiary showing for summary judgment purposes once the defendant raises a qualified immunity defense are as lacking in precedential grounding or statutory authority as was the heightened pleading requirement in Crawford-El. As was true with the requirement addressed by the Court there, to the extent the “heavy two-part burden” upon which the majority bases its analysis is greater than the ordinary burden upon a non-movant in a summary judgment case, it is not justified by Harlow, any federal statute, the rules of civil procedure, or the common law. Moreover, it undermines the remedial purpose of section 1983. As the Court held analogously in Crawfordr-El, there is simply no authority for treating summary judgment in the qualified immunity context any differently than we treat it in any other case.
The Court did state that once a defendant makes a properly supported motion for summary judgment on qualified immunity grounds, the plaintiff must identify affirmative evidence from which a jury could find that the plaintiff has carried his burden of proof. See id. at 600,
II
Reasonableness As a Matter of Law
“Whether an official protected by qualified immunity may be held personally liable for an allegedly unlawful official action generally turns on the ‘objective legal reasonableness’ of the action.” Anderson v. Creighton,
The majority characterizes the objective reasonableness inquiry as a legal issue notwithstanding Tenth Circuit jurisprudence recognizing the matter as primarily a fact issue to be decided by the jury. In Quezada v. County of Bernalillo,
[I]n excessive force claims asserted under the Fourth Amendment, the qualified immunity question is usually answered in the Fourth Amendment inquiry. This is because, in the excessive force context, the Fourth Amendment inquiry asks directly whether the police officer reasonably could have believed that the force was necessary under the circumstances.
Dixon v. Richer,
Courts in other circuits have also expressed concern over “to what extent
Reasonableness under the Fourth Amendment resembles tort law in its attention to how a specific, concrete circumstance should affect an officer’s judgment. This sensitivity to context suggests that regardless of whether objective reasonableness invokes a different and heightened standard from negligence, reasonableness under the Fourth Amendment should frequently remain a question for the jury. To put the matter more directly, since we lack a clearly defined rule for declaring when conduct is reasonable in a specific context, we rely on the consensus required by a jury decision to help ensure that the ultimate legal judgment of “reasonableness” is itself reasonable and widely shared.
Id. at 289-90; see also Katz v. United States,
Likewise in McNair v. Coffey,
“[t]o say that a public official is not exposed to damages even when all legal issues were authoritatively resolved before the conduct occurred would be to make a substantial change in the scope of liability under 42 U.S.C. § 1983. [The defendant’s] argument for immunity in factually (as opposed to legally) close cases is fundamentally a request to increase the plaintiffs burden of proof— to insist that the plaintiff show a violation not by a preponderance of the evidence (where the plaintiff can win a close case) but by clear and convincing evidence (where all close cases go to the defendant), perhaps even proof beyond a reasonable doubt. Only then, the argument goes, can we be sure that the public official should have recognized the culpability of his conduct. Yet a § 1983 case is not a criminal prosecution, and the preponderance standard applies to civil claims of all sorts. It should not be changed covertly, through an immunity defense that imposes a heightened standard of proof.”
Id. at 355 (citations omitted) (emphasis added). Significantly, the court in McNair also stated:
Let us never forget that immunity in § 1983 cases is a judicial invention. Congress provided for liability in absolute terms. Public officials who violate the Constitution or laws must pay; immunity is anti-textual. The justification for immunity is that the scope of liability has grown like topsy since 1871, when § 1983 was enacted, and that to carry out what Congress must have meant a court may depart from what Congress said. That’s a treacherous path for any*1138 judge to take, though history may provide a map ... [However,] a general doctrine of official immunity, independent of legal uncertainty, is not only anti-textual but also anti-historical in fourth amendment cases.
Id. at 356.
Ill
Summary Judgment on this Record
Finally, I cannot join the result reached by the majority. It is undisputed that the law governing excessive force cases was clearly established at the time of the incident here. The majority holds that defendant police officers acted objectively reasonably as a matter of law when they commanded that plaintiff leave his house knowing he was suicidal and had been drinking. Importantly, plaintiff made clear on the telephone to Officer Bruning that he wanted to commit suicide, Aplt. App. at 151, and that he wanted the officers to shoot him, id. at 153.
To support the existence of fact issues related to the conduct of the officers, plaintiff offered the affidavit of an exceptionally well-qualified police expert to counter the assertion that the conduct here was objectively reasonable. Because in my judgment that affidavit clearly raises fact questions going to whether it was reasonable for the officers to conduct themselves as they did, I quote substantial portions from it:
1. I am a police practices and tactics expert which includes crowd control, use of force, cleoresin capsicum (pepper spray), batons, arrest techniques, and policies and procedures ....
2. I am a former sworn police officer, deputy sheriff, and Staff Executive. As the Staff Executive for a medium-sized Massachusetts police department, I headed the Administrative Bureau in addition to directing Planning and Research. My responsibilities included the writing and implementing of policies and procedures, review of use-of-force*1139 complaints, discipline recommendations, plus other administrative duties.
3. Educationally, I was awarded an Associate Degree in Police Science and a Certifícate in Corrections from the Northern Virginia Community College; a Bachelor of Science Degree from the University of Baltimore; a Master of Science Degree in Public Relations from Boston University; a Master Degree in Business Administration from Babson College; a Ph.D. in Applied Management and Decision Sciences from Walden University, in addition to post-graduate study.
4. Vocationally, I am the Vice Chairman of the Defensive Tactics Institute, Inc. (DTI) which is a private criminal justice training firm. Established in 1979, I have taught criminal justice professionals across the United States, Canada, and England. Instructional topics included officer safety, ... use of force policies and procedures, ... arrest techniques, ... chemical aerosol sprays, defensive tactics, plus other less-than-lethal disciplines.
5. Additionally, I have authored more than 115 articles, newsletters, and/or handbooks,....
7.According to the Officer-Involved Shooting summary, it is my understanding that Officers Cram and Ellis were within 8 to 10 feet of Mr. Medina at the time of the shooting (Officer Involved Shooting, Thompson summary, p. 2). Officers Comte and Cirka were entering the street toward the subject (Ibid.). Unless there are exigent circumstances which demand that officers take unnecessary risks, officers are taught to remain behind cover and concealment. Cover is anything that will hide the officer and also stop bullets. Concealment is anything that will hide the officer, but will not stop bullets. In my professional opinion, there were no exigent circumstances in this incident, therefore, these officers should have remained behind cover and concealment and not have engaged Mr. Medina, until he had surrendered. This action is consistent with contemporary police training and identified literature on this subject.
8. In my professional opinion, the officers created a dangerous situation for themselves, and then used deadly force to extricate themselves from it. Because Officers Cram and Ellis were so close to Mr. Medina when the dog attacked him, it is reasonable for his arms and hands to flail in an effort to protect himself from the dog. A reasonable and well-trained officer would have expected this type of reaction from a person who is being attacked by a dog. Had the officers stayed behind cover, there would not have been the need to shoot Mr. Medina. The officer safety literature surfaces and officers are taught that they should remain behind cover and concealment where they are safer than to leave these areas creating a dangerous situation for themselves and others.
9. In my professional opinion, the officers failed to follow generally-accepted guidelines for the escalation of force. For example, the use of pepper spray was not attempted by the officers, and this option on the force continuum should have been used prior to shooting Mr. Medina. Effective pepper spray may have blinded Mr. Medina so that he could*1140 have been forced into submission without the use of deadly force.
10. The actions of Officers Cram and Bruning demonstrate the failure to follow generally-accepted and taught officer safety and use-of-force guidelines thus causing them to use force, which in my professional opinion, was excessive.
Aplt.App. at 138-142 (emphasis added). This expert opinion was rendered after reviewing all the materials proffered by defendants in support of the motions for summary judgment. The expert concluded: “It is my understanding that the depositions of the defendant officers are scheduled for mid-summer. In order to complete my opinions in this matter, I will need to read their depositions.” Id. at 142 (emphasis added).
Rather than being conclusory, this affidavit constitutes probative evidence suggesting that contemporary police procedures were violated by defendant officers in this case, and that, at a minimum, the completion of scheduled discovery was necessary to resolve fact issues regarding whether the officers needlessly created exigent circumstances and should have been using other means to subdue this intoxicated and suicidal man. See, e.g., Allen,
In sum, I cannot agree with the assertion that the Supreme Court’s analysis in Crawford-El is not implicated in this case. In my view, our prior case law requiring a plaintiff to shoulder a “heavy two-part” burden once qualified immunity has been raised has been overruled by Crawford-El to the extent this burden exceeds that borne by any plaintiff responding to a summary judgment motion in a civil case. I cannot agree that a court can or should rule as a matter of law on every excessive force case. In my view we may only do so when reasonable minds could not differ on whether the use of force was objectively reasonable. I cannot agree that the circumstances here present an appropriate case for resolving the issue as a matter of law. I therefore dissent.
. We also held that excessive force cases, unlike First Amendment issues, do not fall into a class of cases where "a heightened standard of review is necessary.” Quezada,
. In his statement, Officer Bruning said it "entered his mind that Mr. Medina might try to use the police to shoot him.” Aplt.App. at 152.
. In view of the undisputed facts here demonstrating that the events creating the alleged need to use deadly force were intimately and immediately connected to the use of that force, I see no need for the citations and gloss to Bella v. Chamberlain,
. I am particularly troubled by the fact that the majority's decision preempts consideration of the depositions of defendant police officers. In his response to defendants' motions for summary judgment, plaintiff requested the district court to permit the depositions of the police officers to go forward if the court were inclined to grant the motion for summary judgment. Aplt.App. at 134-35. Because the district court held that summary judgment was not proper on the state of the record presented, further development of evidence in opposition to the motion for summary judgment was not necessary. The record reflects that the depositions of Officers Bruning and Cram had not yet been "cleared on all calendars,” id. at 135, and that the depositions of Chief Kramer and Officers Comte and Ellis were set for the next month. In my view, granting summary judgment for defendants on appeal is premature because it is based on the statements of officers made during the police department investigation which had not been subject to cross examination.
