Lead Opinion
Officer Adrian Rivera (“Rivera”) appeals the district court’s denial of his motion for summary judgment based on the defense of qualified immunity. For the reasons that follow, we reverse and render.
FACTUAL BACKGROUND
Because the parties dispute certain facts, we summarize the relevant incidents drawing inferences in the light most favorable to the nonmovants. See Pfannstiel v. City of Marion,
On January 15, 1990, Rivera, a Texas Department of Public Safety (“TDPS”) Patrol Officer, stopped Melinda Petta (“Petta”) for speeding on Farm Road 70, southwest of Corpus Christi. Inside the car were Petta’s two children (“the Petta children”): a son, Cavin, age 3, and a daughter, Nikki, age 7. Following a brief argument over the speed Petta had been driving, Petta alleges Rivera ordered her out of the vehicle. When Petta refused to exit and rolled up her window, Petta alleges Rivera “lost his temper, becoming agitated, irrational, threatening and verbally and physically abusive.” Rivera then threatened to have her car towed. When Petta still refused to exit her vehicle, she claims Rivera began screaming and cursing her, tried to jerk her door open, and attempted to smash her driver’s side window with his nightstick. The alleged tirade culminated when Rivera menaced her with his .357 Magnum handgun. Petta panicked and fled the scene. She claims that Rivera fired a shot at her car as she drove away.
What followed was a high-speed pursuit, involving other TDPS officers as well as Rivera, that covered some 19 miles through the crowded city streets of Corpus Christi. Pet-ta claims that during the chase Rivera again shot at her vehicle, attempting to blow out her tires. The record shows that Rivera’s superiors ordered him not to fire at the fleeing car and that Rivera disregarded those orders. The pursuit ended with Petta’s arrest by several officers at her apartment. Petta’s children were never taken into custody nor were they touched by any officers.
PROCEDURAL HISTORY
Petta, on behalf of her two minor children, sued the TDPS and Rivera, in both his official and individual capacities, asserting various state law claims and § 1983 claims for use of excessive force in violation of the Fourth and Fourteenth Amendments. The court dismissed all state and federal claims against the TDPS and Rivera, in his official capacity, as barred by the Eleventh Amendment. As to Rivera in his individual capacity, the court granted his motion for summary judgment on plaintiffs’ § 1983 claim based on the Fourth Amendment. The court, citing Brower v. Inyo County,
Finding that Rivera had not moved for dismissal or summary judgment with regard to the Fourteenth Amendment claims, the court allowed Rivera an additional ten days to file an appropriate motion. Rivera accord
DISCUSSION
I.
Generally, appellate courts have jurisdiction to hear appeals only from “final decisions” of district courts. See 28 U.S.C. § 1291 (West 1993). Certain collateral orders have been recognized as “final decisions” within the meaning of § 1291, i.e., those which “[1] conclusively determine the disputed question, [2] resolve an important issue completely separate from the merits of the action, and [3] [are] effectively unreviewable on appeal from a final judgment.” Puerto Rico Aqueduct and Sewer Authority v. Metcalf & Eddy, Inc.,
Here, the district court denied Rivera’s motion for summary judgment based on the defense of qualified immunity without supporting explanation. We are not precluded, however, from reviewing the order. In such a case, the movant can claim on appeal “that all of the conduct which the District Court deemed sufficiently supported for purposes of summary judgment met the Harlow standard of ‘objective legal reasonableness.’ ” Behrens v. Pelletier,
As our discussion, infra, demonstrates, our review of the record shows that Rivera is entitled to the defense of qualified immunity based on the undisputed fact that the Petta children alleged purely psychological harm as a result of Rivera’s actions. At the time of these events, it was not “clearly established” in our law that such non-physical harm gave rise to a constitutional tort.
II.
A police officer who, acting under color of state law, subjects a United States citizen to a deprivation of his constitutional rights is liable for damages to, the injured party. See 42 U.S.C. § 1983 (West 1997); Scheuer v. Rhodes,
The doctrine of qualified immunity shields a government official performing discretionary functions from civil damages liability, provided his complained of actions meet the test of “objective legal reasonableness.” Harlow v. Fitzgerald,
We must take care to identify the relevant “clearly established law” at the proper level of generality so that the defense of qualified -immunity will serve its intended purpose, i.e., to allow officers “reasonably [to] anticipate when their conduct may give rise to liability for damages.” Anderson,
In Siegert v. Gilley, the Supreme Court clarified the “analytical structure” for addressing a claim of qualified immunity.
With those principles in mind, we now turn to the merits of Rivera’s qualified immunity defense. We review de novo the denial of Rivera’s motion for summary judgment on the basis of qualified immunity. Hale v. Townley,
III.
A.
The Petta children claim that Rivera’s abusive behavior and use of excessive force during the initial stop and ensuing chase caused them severe emotional harm and thus deprived them of liberty without due process, in violation of the Fourteenth Amendment. See, e.g., Landol-Rivera v. Cruz Cosme,
B.
In order to assess what “clearly established” legal standards governed Rivera’s actions on January 15,1990, we must trace the origins in this Circuit of a Fourteenth Amendment claim based on a police officer’s use of excessive force.
■1.
In Shillingford v. Holmes,
If the state officer’s action caused severe injuries, was grossly disproportionate to the need for action under the eircum-stances and was inspired by malice rather than merely careless or unwise excess of zeal so that it amounted to an abuse of official power that shocks the conscience, it should be redressed under Section 1983.
Shillingford,
Shillingford provided the standard for excessive force claims in this Circuit for the next eight years.
In McFadden v. Lucas,
[fell] so short of stating a section 1983 cause of action as to warrant sua sponte dismissal by the court below. The plaintiff has nowhere alleged that he was physically assaulted. In fact, the plaintiff nowhere alleges that, except for the commonplace event of being shaved, any touching of his person occurred at all.
Id. at 146-47. We went on to state that, even if the officers’ show of force could be considered excessive, “we must, in the absence of physical abuse, concur with the lower court’s dismissal.” Id. at 147 (emphasis added). The absence of physical abuse seemed to us, under those circumstances, to prevent the alleged misconduct from “shock[ing] the conscience.” Id., quoting Rochin v. California,
In Coon v. Ledbetter,
In Coon, we addressed the contours of the excessive force claim in the context of whether the plaintiffs had adequately alleged a constitutional violation. Id. at 1160-61. We discussed the officers’ defense of qualified immunity only insofar as it could arise on retrial. Id. at 1164. We did not, in any case, squarely address the question whether nonphysical injury alone could satisfy the Shil-lingford test (although we certainly implied that it would). Regarding the applicability of qualified immunity, we merely observed that “[u]se of excessive force in making an arrest violates clearly established rights, and the doctrine of qualified immunity therefore does not shield an officer who uses excessive force.” Id.
We do not call Coon into question, however. In 1986, Shillingford was “clearly established law” in this area and we had not yet drawn any “bright lines” between constitutional and non-constitutional violations on the basis of physical or non-physical injuries (see discussion infra at III.B.3). Thus, the Coon court’s implicit finding that the officers’ con
Shortly after Coon, we decided Checki v. Webb,
It cannot be reasonably argued that no serious physical danger confronts civilians who are forced to travel at speeds over 100 mph in their attempt to flee a terrorizing police officer. Furthermore, there is no valid reason for insisting on physical injury before a section 1983 claim can be stated in this context. A police officer who terrorizes a civilian by brandishing a cocked gun in front of that civilian’s face may not cause physical injury, but he has certainly laid the building blocks for a section 1983 claim against him.
Id. at 538. Thus, we found venue proper in the Eastern District of Louisiana. Id.
Over a year later we decided Jefferson v. Ysleta Independent School District,
We are persuaded that in January 1985, a competent teacher knew or should have known that to tie a second-grade student to a chair for an entire school day and for a substantial portion of a second day, as an educational exercise, with no suggested justification, such as punishment or discipline, was constitutionally impermissible.
Id. at 305. We found, citing Shillingford, that plaintiffs’ allegations, if proven, “would implicate, inter alia, Jardine’s fifth and fourteenth amendment rights to substantive due process, specifically her right to be free from bodily restraint.” Id.
Less than a year later, we addressed in Hinojosa v. City of Terrell, Texas,
We found in Hinojosa that the plaintiffs injury “which [could] only be characterized as temporary emotional distress, simply [did] not rise to a level that can be redressed for such a claim under section 1983.” Id. at 1229. We then stated that
[t]here is absolutely no evidence ... that Hinojosa was struck, or even touched, during the incident. Hinojosa did not claim to have suffered even minor physical injuries or intrusion.
Id. (emphasis added). While those statements strongly suggest that the Hinojosa panel would have required some physical injury to meet the Shillingford “severe injury” requirement, the panel went on to state that “[t]his Court does not here determine whether or not some type of physical injury will in every instance be necessary for section 1983 liability in a use of excessive force claim.” Id.
2.
In sum, Shillingford was the “clearly established law” governing most, if not all, excessive force claims from January 15, 1981 until July 5, 1989, when we decided Johnson v. Morel,
As the law stood under Shillingford, McFadden, Coon, Checki, Jefferson and Hi-nojosa (see supra), our Circuit seemed to make an analytical distinction between (1) eases deciding whether a defendant was entitled to qualified immunity on a claim of excessive force (see, e.g., Jefferson,
If such were the analysis in the Fifth Circuit today, the Petta children could plausibly argue that Rivera is not entitled to assert the defense of qualified immunity: Rivera’s conduct violated “clearly established law” (i.e., Shillingford) because it would have been apparent to a reasonable officer that such conduct (a high-speed chase, shooting at the fleeing car’s tires) in response to a speeding violation (1) was grossly disproportionate to the need presented, (2) was motivated by
3.
In Graham v. Connor,
all claims that law enforcement officers have used excessive force — deadly or not— in the course of an arrest, investigatory stop, or other “seizure” of a free citizen should be analyzed under the Fourth Amendment and its “reasonableness” standard, rather than under a “substantive due process” approach.
Graham,
Expressly relying on Graham, our en banc Court addressed, in Johnson v. Morel,
We think it unlikely that such a significant injury will be caused by unnecessary force without significant physical injury. However, on the facts before us here, we do not*340 decide whether a significant but non-physical injury would be legally sufficient.
Id. at 480 n. 1. Finding that the plaintiff had created a fact issue as to whether his injuries were “significant,” we allowed him to go forward with his excessive force claim. Id. at 480.
Judge Rubin, joined by six other Judges, concurred in the Court’s judgment, but criticized the majority, inter alia, for adding a “significant injury” requirement to the Fourth Amendment claim. Johnson,
Johnson v. Morel remained the law in this Circuit until Hudson v. McMillian,
The most significant development in our Circuit’s law regarding excessive force claims and qualified immunity came, ironically,
The Dunn panel found that the officer was not entitled to qualified immunity, because “[i]t was clearly established before January 1990, when Denk arrested Dunn, that both physical and psychological injuries were com-pensable in civil rights actions.” Id. at 250, citing Hinshaw v. Doffer,
*340 Although no longer required, at the time of this incident significant injury was a necessary element of an excessive force claim. Accordingly, to defeat Denk’s qualified immunity defense Dunn was obliged to prove a significant injury.
Given the explicit language of Johnson, and its footnote 1 in particular, we conclude that the law at the time of this arrest was uncertain regarding whether “a significant injury will be caused by unnecessary force without significant physical injury.” On the present facts, Denk was entitled to qualified immunity from the claims asserted in this case.
Dunn,
This holding demonstrates the same qualified immunity analysis as that employed by the Dunn panel majority and dissent, supra. Judge King relied on the significance of the injury as, using the defendant’s phrase, an “objective, validating event of the reasonableness of force used in making an arrest.” Dunn,
Qualified immunity is concerned only with the reasonableness of an officer’s actions. Once an officer uses objectively unreasonable force to effect an arrest, he loses his*342 qualified immunity, whether the other elements of an excessive force claim are clearly established or not.
Dunn,
Thus, emerging from the en banc decision in Dunn is a qualified immunity analysis that, at least for Fourth Amendment excessive force claims, differs slightly from the analysis employed in cases such as Coon, Jefferson and Lynch. See discussion supra Part III.B.1. The principal difference, as we appreciate it, is that Dunn relies on the severity of injury not only in defining a constitutional tort under present law, but also as an “objective, validating” factor in assessing the “objective reasonableness” of an officer’s conduct.
4.
Dunn does not end our inquiry, however. Dunn addressed a claim for excessive force grounded in the Fourth Amendment. See Dunn,
Our inquiry here is very narrow. We are not asking whether the Petta children’s psychological injuries were redressable under the Fourteenth Amendment in January, 1990. We are merely asking whether a § 1983 plaintiff at that time had a clearly established right under the Fourteenth Amendment to be free from purely emotional harm resulting from an officer’s use of excessive force. We have already demonstrated (see discussion supra Part III.B.3) that such a right was not clearly established in January, 1990, under the Fourth Amendment. What we hold here is simply that the same right was equally “unclear” (for qualified immunity purposes) under the Fourteenth Amendment. We do so for essentially two reasons: (1) our cases following Graham v. Connor do not clearly distinguish between Fourth and Fourteenth Amendment analyses in this context; we are thus persuaded that Johnson v. Morel and Dunn v. Denk (see discussion supra Part III.B.3), although admittedly addressing the Fourth Amendment right, also affected
Prior to Graham, no consistent attempt was made to cabin excessive force claims under the Fourth, Eighth or Fourteenth Amendments. Thus, the Shillingford standard was applied to excessive force cases regardless of which constitutional amendment was implicated. See, e.g., Brumfield v. Jones,
In fact, our review of Fifth Circuit case law following Graham demonstrates a tendency to “blur” the lines between Fourteenth Amendment and either Fourth or Eighth Amendment excessive force standards, depending upon the particular factual context. For example, we held in Valencia v. Wiggins,
[W]e are guided by the standard announced in Whitley and Hudson. While these cases specifically addressed claims of excessive use of force brought by convicted prisoners, it is impractical to draw a fine between convicted prisoners [subject to the Eighth Amendment] and pretrial detainees [subject to the Fourteenth Amendment] for the purpose of maintaining jail security-
Id. at 1445-46 (brackets added). We noted that the Eighth Amendment standards were useful in this particular Fourteenth Amendment context because of the similar concerns implicated “whenever guards use force to keep order.” Id. at 1446, quoting Hudson,
Similarly, we have applied Fourth Amendment standards to excessive force claims that may have in part implicated the due process clause. For example, in Mouille v. City of Live Oak,
used excessive force — deadly or not — in the course of an arrest, investigatory stop, or other ‘seizure’ of a free citizen should be analyzed under the Fourth Amendment. ...”
Id., quoting Graham,
It is not our intention, however, to find fault with eases like Mouille, Ikerd and Stroik. We simply observe that, just as we have sometimes used the Eighth Amendment to guide our due process standards in certain excessive force cases, we have likewise used Fourth Amendment standards in eases that, at least in part, implicated substantive due process. Such a practice seems to us driven partly by precedent and partly by policy concerns.
As we have already discussed (see supra Part III.B.l), the excessive force claim originated in the undifferentiated context of the due process clause, “quite apart from any ‘specific’ of the Bill of Rights.” Johnson v. Glick,
Underlying policy concerns may also explain the apparent “overlap.” In cases such as Valencia and its progeny, supra, we borrowed Eighth Amendment standards in treating excessive force claims under the due process clause. We did so because the concerns vindicated by a convicted prisoner’s excessive force claim under the Eighth Amendment and those vindicated by a pretrial detainee’s excessive force claim under the due process clause are largely the same: the need to guide the proper application of force in maintaining jail security. See Valencia,
The same reasoning applies to the Petta children’s claims. We find it impractical and illogical to draw a line between their due process claims and those of an arrestee who claims, under the Fourth Amendment, that a police officer has used excessive force in effecting his arrest. Whether Officer Rivera’s use of force was “objectively reasonable” largely implicates Fourth Amendment concerns,
This could well mean that the present constitutional standards for the Petta children’s claims are governed by the Fourth Amendment “reasonableness” standard of Tennessee v. Garner (see supra notes 14 & 29). But, as we have observed above (supra Part III.A.1), we need not decide that question today. We simply observe that our precedents, such as Johnson v. Morel, supra, and Dunn v. Denk, supra, interjected as much uncertainty into our Fourteenth Amendment
We have observed before that the qualified immunity analysis partakes of a somewhat “schizophrenic” nature. See Rankin,
IV.
For the foregoing reasons, we REVERSE the judgment of'the district court and RENDER judgment, granting Officer Rivera’s motion for summary judgment based on the defense of qualified immunity.
REVERSED AND RENDERED.
Notes
. Plaintiffs did not appeal the district court's dismissal of their Fourth Amendment claims. Whether the district court correctly found no "seizure” of the children under these facts is therefore not before us.
. In Rankin, we applied Hudson v. McMillian,
. We cite cases from other Circuits because, as our discussion, infra Part III.B.4 demonstrates, we have not found cases in our Circuit, post-Graham v. Connor,
. But see Ikerd,
. Shillingford involved a policeman’s unprovoked attack of a bystander who was attempting to photograph an arrest. The policeman smashed Shillingford's camera into his face with a nightstick, destroying the camera and lacerating Shillingford's forehead. Shillingford,
. See, e.g., Raley v. Fraser,
. Addressing why Racheal had alleged sufficient "personal loss required for a constitutional claim,” and why her mother, Dana, had not, we stated;
There was no evidence that any act of the deputies was directed toward Dana; she was not directly involved in the shooting and was with the deputies when it occurred. Racheal, however, was in the trailer. There was evidence that Coon staggered into the trailer and while he was there attempted to protect Ra-cheal from the gunfire, and there was evidence that Deputy Gussberry fired a round of heavy buckshot into the trailer at that time.
Id. at 1161.
. As our discussion of legal developments subser quent to Jefferson demonstrates (see discussion infra III.B.3), we need not distinguish Jefferson. We do point out, however, that the constitutional right relied upon in Jefferson, while deriving from the due process clause, was slightly distinct from that relied on by the Petta children. Arguably, a due process right "to be free from bodily restraint,” see Jefferson,
. The Hinojosa panel seemed lo cite with approval the Seventh Circuit's decision in Gumz v. Morrissette,
. Coon, we should note, is somewhat of an anomaly since it addressed both questions, see Coon,
. In any event, plaintiffs could have argued that the summary judgment record presented genuine factual disputes as to the first two elements and that the district court’s denial of Rivera’s qualified immunity defense was therefore unre-viewable on appeal under the collateral order doctrine. See discussion supra Part I; see also Johnson v. Jones,
. Under the Shillingford analysis, whether Rivera’s conduct in actual fact caused "severe injuries’’ would only be an appropriate inquiry in addressing whether the Petta children adequately alleged a constitutional violation. See Shillingford,
. The Fourth Amendment standard, as explicated by the Court, assesses the "objective reasonableness” of an officer’s conduct by focusing on the facts and circumstances of each particular case, including the severity of the crime at issue, whether the suspect poses an immediate threat to the safety of the officers or others, and whether he is actively resisting arrest or attempting to evade arrest by flight.
Id. at 396,
.We set forth the required elements for an excessive force claim based on a violation of the Fourth Amendment as:
(1) a significant injury, which
(2) resulted directly and only from the use of force that was clearly excessive to the need; and the excessiveness of which was
(3) objectively unreasonable.
Johnson,
. Significantly for our purposes, Judge Rubin remarked that "[e]ven under the stringent Fourteenth Amendment 'shock the conscience’ test, a plaintiff could recover for a policeman’s use of excessive force without demonstrating that he had suffered severe, permanent, or physical injuries.” Johnson,
. Reversing the Fifth Circuit, the Supreme Court in Hudson held that a prisoner was not required to prove "significant injury” as a prerequisite to his Eighth Amendment excessive force claim; instead, the Court adopted the Whitley v. Albers (see supra note 7) "malicious and sadistic” standard for all Eighth Amendment excessive force claims. Hudson,
. Ironic, because normally we would look only to case law in effect on January 15, 1990, to determine what law was "clearly established” at that time. The two decisions in Dunn v. Denk are relevant, however, because they provide a retrospective assessment of what "clearly established law” was regarding a Fourth Amendment excessive force claim in January, 1990. See Dunn,
. Judge Barksdale initially observed: "It goes without saying that, to avoid a qualified immunity defense, a plaintiff must claim a constitutional violation that was clearly established at the time of the alleged wrongful conduct.” Dunn,
. Judge King’s opinion was joined by Judges Garwood, Higginbotham, Davis and Duhé. Judge Barksdale concurred separately in Part I of Judge King’s opinion, but dissented to Part II; he was joined by Judges Jolly, Jones, Smith, Garza and DeMoss. Judge Reavley, joined by Chief Judge Politz and Judges Wiener, Bena-vides, Stewart, Parker and Dennis, dissented. Judge Dennis also wrote a separate dissent. When we have sifted through the wreckage, it is clear that Part I of the Dunn en banc decision commanded a majority of the Court (eleven judges).
. Thus, it seems clear that Judge King’s analysis was directed towards the second prong of the qualified immunity analysis, i.e., whether the officer's actions were "objectively reasonable” under "clearly established law” at the time of the incident in question. As support for that conclusion, we note that Judge King cited to the part of Harper v. Harris County, Texas that emphasized "the objective reasonableness of a government official's conduct must be measured with reference to the law as it existed at the time of the conduct in question." Harper,
. We note that as of this date, this Court has never squarely held that non-physical injury is sufficient to establish a violation of the Fourth Amendment. A recent panel declined to reach that very issue. See Ikerd v. Blair,
. Compare Dunn,
. We appreciate that Dunn focuses on a narrow legal window (June 5, 1989 to February 25, 1992) and will have increasingly limited applicability over the passage of time. This is doubly true insofar as Hudson v. McMillian may have foreclosed using the severity of injury as a determinative factor in delineating constitutional violations. See, e.g., Dunn,
.In view of the foregoing statement, we find it difficult to understand the dissent’s assertion that
the majority fails to acknowledge clearly that an officer’s excessive, unreasonable and outrageous use of deadly force against helpless and innocent bystanders such as the Petta children violates their Fourteenth Amendment substantive due process rights; and that, otherwise, innocent bystanders would be shorn of all constitutional rights and have less protection under the constitution and § 1983 tha[n] prisoners, arrestees, and detainees.
See infra at 352. On the contrary, we explicitly acknowledge that where a plaintiff's excessive force claim, whether he be a prisoner, arrestee, detainee, or an innocent bystander of tender years, falls outside the specific protections of the Bill of Rights, that plaintiff may still seek redress under the due process clause of the Fourteenth Amendment. See Graham,
. "Unsuccessful” in the sense that the excessive force (i.e., shooting at the tires and driving at high speeds) did not result in the arrest. Petta's arrest occurred subsequent to the chase and apparently did not involve excessive force. See Hinojosa,
. "Affected,” in the sense that Johnson (as interpreted by Dunn) interjected into both the Fourteenth and Fourth Amendment excessive force claims "uncertainty" about whether purely nonphysical injury rose to the level of a constitutional violation. See infra; see also Dunn,
. For example, plaintiff Laurie Rollins was allegedly pushed by the police officer into a wall as he searched for the suspect Mouille. Mouille,
. A literal application of Graham to all claims of excessive force used "in the course of an arrest, investigatory stop or other 'seizure,' ”
. For example, were we to weigh the reasonableness of Rivera’s shooting at Petta's car and engaging her in a high speed chase, we would be interested, inter alia, in the severity of Petta’s crime, in whether her flight "pose[d] an immediate threat to the safety of the officers or others,” and whether Petta was "actively resisting arrest or attempting to evade arrest by flight.” See Graham,
. We do not quarrel with the dissent’s assertion that the Petta children need not “point to a precisely and explicitly analogous case that existed prior to an officer's violation of the plaintiff's constitutional rights" in order to defeat Officer Rivera's claim of qualified immunity. See infra at 355; see also discussion supra Part II, citing Anderson,
More importantly, however, the dissent disregards the effect on the plaintiffs’ due process rights of our en banc decisions in Johnson v. Morel, supra, and Dunn v. Denk, supra, merely finding the reasoning in those cases "inappo-site” because they were decided under the Fourth Amendment. See infra at 356-57. Our discussion in Part III.B.4 demonstrates that the excessive force claim did not originate, nor does it presently exist, in neat, hermetically-sealed categories according to which constitutional amendment the claim implicates. Instead, cases arising under one amendment have consistently affected the parameters of rights that, while arising under different constitutional amendments, implicate similar policy concerns. See Part III. B.4; see also Harper,
Dissenting Opinion
dissenting:
The majority holds that a police officer who knowingly and maliciously or wantonly fired his .357 magnum at a family suburban automobile containing two helpless and innocent bystander children, ages 3 and 7, endangering their lives with deadly force and causing them severe psychological damage, merely to serve routine traffic tickets on the children’s mother, is entitled to qualified immunity.
I respectfully dissent for the following reasons: (1) Officer Rivera’s misbehavior was so egregious and so clearly violated the Petta children’s Fourteenth Amendment substantive due process rights that no prior judicial precedent was required to clearly establish their action under 42 U.S.C. § 1983; (2) Moreover, although by no means essential to the Petta children’s present cause, before Rivera’s violation of their rights this court had recognized § 1983 actions on behalf of young children who sustained serious psychological damage as the result of violations of their Fourteenth Amendment substantive due process rights under circumstances closely analogous to the facts of the present case; (3) The cases relied upon by the majority to show that the Petta children’s Fourteenth Amendment substantive due process rights violated by Rivera were not clearly established are inapposite, clearly distinguishable and would have no effect upon the fact that a reasonable officer in Rivera’s situation would know or should know that the egregious abusive and excessive conduct engaged in by Rivera was a violation of the Petta children’s constitutional rights.
After a review of the record and the law, I conclude that Rivera’s motion for summary
I.
On summary judgment the inferences to be drawn from the underlying facts contained in the affidavits, depositions, and exhibits of record must be viewed in the light most favorable to the party opposing the motion. United States v. Diebold, Inc.,
On January 15, 1990, Patrolman Rivera stopped Ms. Petta for speeding as she was driving her 1983 Chevrolet Suburban on Farm Road 70 toward Corpus Christi where she and her family resided. Ms. Petta’s son Cavin, age 3, was in the front passenger seat with his seat-belt fastened, and her daughter Nikki, age 7, was in the back seat. At Rivera’s request, Petta handed over her driver’s license and registration. Rivera accused Petta of driving 69 miles per hour, but Petta disagreed, contending she had been going only 63 miles per hour. Rivera told Petta not to argue with him. Petta responded that Rivera should just give her a speeding ticket and let her depart. She added that she would tell her story to the arraigning judge, whom she knew. In response, Rivera told her not to tell him how to do his job. Petta replied that he would lose his job if he didn’t “get a grip” and again requested a speeding ticket.
Rivera noticed that Cavin’s seat belt was not fastened and told Petta her failure to have the child secured in a safety restraint was also a traffic law violation. As Petta began to explain that Cavin had been wearing his seat belt before the stop, Rivera walked back to his police ear. He quickly returned in a more aggressive mood, however, and demanded that Petta get out of her ear. She refused because she was frightened that Rivera might harm her or separate her from her children. He demanded that she roll down her window. She refused, shaking her head. Rivera angrily tried to jerk open her locked car door, saying “Get out of the car, Bitch.” Becoming more alarmed, she refused again. Rivera shouted through the closed window that he would have her vehicle towed away. Petta responded, “I’ll leave first. You know where to find me.” Petta was referring to the fact that Rivera still had her driver’s license and registration containing her home address. Rivera got back in his car and pulled it in front of Petta’s Suburban. She backed up and pulled the Suburban in front of Rivéra’s vehicle. Rivera jumped from his car, and began to beat on Petta’s window with his night stick, shouting repeatedly “Get out of the car, Bitch,” and “I’m going to break the window.” Both children had become very frightened, and Nikki kept repeating, “Mom, he’s breaking the window!” Rivera shouted, “They’re coming to get you. They’re coming right now. They’re All coming.” Finally, Rivera took out his .357 magnum revolver, pointed it at Petta’s face and said, “Then I’ll just have to kill you, Bitch!” Petta panicked and drove off in the Suburban.
As Petta fled with her children, Rivera chased after them and fired a shot with his .357 at the Petta vehicle. Cavin was groaning and shaking. In the rearview mirror, Petta saw Rivera aim his revolver at her vehicle as she traveled at speeds of up to 85 mph. Soon after, she saw Rivera pull out a shotgun and aim toward her vehicle. As they approached Corpus Christi, additional law enforcement vehicles joined the chase. Petta was able to avoid being stopped, however, by weaving through city streets toward her home. At one point, as she slowed to make a turn, Rivera fired another .357 shot at her vehicle. Nikki cried out, “Mom, he’s shooting again!” Ultimately, Petta arrived at her apartment and sent the children into the dwelling to their father. Cavin was crying hysterically. Rivera and
The evidence filed by Rivera disputes many of these facts. But in some important respects it reinforces inferences drawn in the light most favorable to the nonmoving parties.
The police radio log of events indicates that at 4:49 p.m. Rivera relayed to the dispatcher his location, a description of the Petta vehicle, and its license plate number, TX 7282-MX. Rivera called for a wrecker at 4:54 PM, stating the “subject failed to get out of the vehicle.... it’s a hysterical female, she refuses to follow orders.” At' 4:58 p.m., he informed the dispatcher that he was in pursuit of the vehicle, and at 4:59 PM he relayed Petta’s driver’s license no., TX 09216602. At 5:01, this exchange occurred:
Rivera: ... subject does have a child in the vehicle also. I will, I was gonna attempt to shoot out the tires, I’m not at this point.
Dispatcher: Corpus Christi, 3112, 3100 [Rivera’s superior officers] advises negative, not if there’s a child aboard.
Rivera: 10-4.
The radio log and the record as a whole overwhelmingly support the inference that Rivera nevertheless fired his- .357 magnum at the Petta vehicle after receiving his superior officer’s order not to do so. At 5:18 p.m., an officer Martinez broadcast “pursuit terminated,” indicating that Petta had been arrested.
In his deposition, Rivera admitted that he had no reason to believe that Petta was a dangerous person or was wanted for anything other than the speeding violation; that he rapped on her window 15 times or so with his- baton; that he drew his revolver and aimed at the Petta vehicle when she drove away; that he shot at the Petta vehicle’s tire with his .357 during the chase; and that he shot at the Petta vehicle after the radio dispatcher had relayed a direct order from his . superior officer forbidding him to shoot at the vehicle because there was a child aboard. In his deposition, James .Cleland, a cadet riding with Rivera during the episode, testified that at the time the chase began, Rivera had Petta’s driver’s license, vehicle registration, and license plate number in his possession; that before the chase began Rivera had no reason to believe that Petta was a dangerous person or was wanted for any reason other than the speeding violation.
As the result of a Department of Public Safety disciplinary inquiry it was found that Rivera had been ordered by his superior officer not to fire on the Petta vehicle because there was a child on board and because of the threat of harm to bystanders in the city and that Rivera had disobeyed this direct order. Further, the officers who investigated the incident found that Rivera had lost control of the situation and placed the Department in a very precarious position; that there was no reason to continue the pursuit; that there was no reason to discharge his weapon at the vehicle; and that Rivera did not take into consideration the consequences of his actions concerning the passengers in the vehicle or innocent bystanders.
Following the incident, Petta brought suit in the district court alleging that Rivera had used excessive force in violation of the Fourth Amendment and had also deprived Nikki and Cavin of their Fourteenth Amendment substantive Due Process rights. She seeks compensatory and punitive damages for Nikki and Cavin’s injuries due to the mental anguish and serious psychological harm they suffered as a result of the violations. The children are not alleged to have suffered any physical harm as a result of the incident. Rivera filed a motion to dismiss or, in the alternative, for summary judgment, as to all of Petta’s claims asserting his defense of qualified immunity. In addition, defendant TDPS filed a motion to dismiss on the basis of its Eleventh Amendment immunity.
The district court dismissed Petta’s claims against defendant TDPS on the basis of Eleventh Amendment immunity. Additionally, the court granted Rivera’s motion for summary judgment on Petta’s Fourth Amendment claims, determining that the children had not been seized and were not the object of the pursuit. The court further found that because Rivera had not raised the issue of his qualified immunity from Petta’s Fourteenth Amendment claim, he had thus
Rivera filed a supplemental motion for summary judgment on the Petta children’s due process claim, again asserting his defense of qualified immunity. The district court denied Rivera’s motion on the Petta children’s claims under the Fourteenth Amendment without explanation. Subsequently, Rivera filed a motion for reconsideration of the court’s order denying his motion for summary judgment. However, before the court ruled upon his motion for reconsideration, Rivera filed a timely notice of appeal from the court’s denial of his motion for summary judgment. The district court then denied Rivera’s motion for reconsideration and this appeal followed.
II.
Under 42 U.S.C. § 1983, every person who, under color of any statute, ordinance, regulation, custom, or usage, of any state, subjects, or causes to be subjected, any citizen of the United States to the deprivation of any rights, privileges, or immunities secured by the Constitution and laws, shall be liable to the party injured in an action at law, suit in equity, or other proper proceeding for redress. Therefore, when a state officer acts under a state law in a manner violative of the Federal Constitution, he comes in conflict with the superior authority of that Constitution, and he is in that case stripped of his official or representative character and is subjected in his person to the consequences of his individual conduct. Scheuer v. Rhodes,
The Supreme Court cases have generally provided government officials performing discretionary functions with a qualified immunity, shielding them from civil damages liability as long as their actions could reasonably have been thought consistent with the rights they are alleged to have violated. Anderson v. Creighton,
In assessing a claim of qualified immunity, the court engages in a bifurcated analysis. See Rankin v. Klevenhagen,
Government officials performing discretionary functions generally are shielded from liability for civil damages insofar as their conduct does not violate clearly established statutory or constitutional rights of which a reasonable person would have known. Harlow,
III.
The substantive due process claim for excessive force under § 1983, and the standard for judging such a claim, were first recognized in Johnson v. Glick,
[A] court must look to such factors as the need for the application of force, the relationship between the need and the amount of force that was used, the extent of injury inflicted, and whether force was applied in a good faith effort to maintain or restore discipline or maliciously and sadistically for the very purpose of causing harm.
Id. at 1033; see Graham v. Connor,
In Shillingford v. Holmes,
In determining whether the state officer has crossed the constitutional line that would make the physical abuse actionable under Section 1983, we must inquire into the amount of force used in relationship to*351 the need presented, the extent of the injury inflicted and the motives of the state officer. If the state officer’s action caused severe injuries, was grossly disproportionate to the need for action under the circumstances and was inspired by malice rather than merely careless or unwise excess of zeal so that it amounted to an abuse of official power that shocks the conscience, it should be redressed under Section 1983. Hall v. Tawney,621 F.2d at 613 ; Johnson v. Glick,481 F.2d at 1033 .
Shillingford,
The Shillingford court found that because the officer’s assault was unprovoked and unjustified, was committed merely to prevent the bystander plaintiff from photographing what the officer did not want memorialized, and could have caused the plaintiff permanently disabling eye or head injuries, “the physical abuse [was] sufficiently severe, sufficiently disproportionate to the need presented and so deliberate and unjustified a misuse of the policeman’s badge and bludgeon as to transcend the bounds of ordinary tort law and establish a deprivation of constitutional rights.” Id. at 266.
Subsequently, the Shillingford v. Holmes standard was rendered inapplicable to certain types of claims by Graham v. Connor,
In Graham v. Connor, the Supreme Court rejected the notion that all excessive force claims brought under § 1983 are governed by a single generic standard. Id. at 393,
The Graham Court decided" that claims that law enforcement officials have used excessive force in the course of an arrest, investigatory stop, or other “seizure” of a free citizen are most properly characterized as invoking the protections of the Fourth Amendment, and must be judged by reference to the Fourth Amendment’s “reasonableness” standard. Id. at 394-395,
[A]ll claims that law enforcement officers have used excessive force — deadly or not— in the course of an arrest, investigatory stop, or other “seizure” of a free citizen should be analyzed under the Fourth Amendment and its “reasonableness” standard rather than under a “substantive due process” approach. Because the Fourth Amendment provides an explicit textual source of constitutional protection against this sort of physically intrusive governmental conduct, that Amendment, not the more generalized notion of “substantive due process,” must be the guide for analyzing these claims.
Graham,
In the appeal and record before us the plaintiffs do not present a claim on behalf of
The majority opinion implicitly recognizes that the Petta children do not present a § 1983 claim based on an arrest, investigatory stop, or other “seizure” of the children which would invoke a Fourth Amendment violation analysis. Nevertheless, the majority fails to acknowledge clearly that an officer’s excessive, unreasonable and outrageous use of deadly force against helpless and innocent bystanders such as the Petta children violates their Fourteenth Amendment substantive due process rights; and that, otherwise, innocent bystanders would be shorn of all constitutional rights and have less protection under the constitution and § 1983 that prisoners, arrestees, and detainees.
While the Supreme Court in Graham did reject the substantive due process or more generalized approach, the court did so only in eases in which the alleged excessive use of force arguably violated a specific right protected under the Bill of Rights. With respect to free citizens, the court explicitly held only that all “claims that law enforcement officers have used excessive force — deadly or not — in the course of an arrest, investigatory stop, or other ‘seizure’ ” should be analyzed under the Fourth Amendment. Graham,
Our cases have not resolved the question whether the Fourth Amendment continues to provide individuals with protection against the deliberate use of excessive physical force beyond the point at which arrest ends and pretrial detention begins, and we do not attempt to answer that question today. It is clear, however, that the Due Process clause protects a pretrial detainee from the use of excessive force that amounts to punishment. See Bell v. Wolfish,441 U.S. 520 , 535-539,99 S.Ct. 1861 , 1871-1874,60 L.Ed.2d 447 (1979).
Graham,
IV.
In determining whether the Petta children have asserted a violation of a currently extant constitutional right at all, the Supreme Court’s decision in Hudson v. McMillian requires that this court dispense with the “severe injury” requirement of the Shillingford v. Holmes substantive due process standard. In Hudson the Court held that (1) the unnecessary and wanton infliction of pain constitutes cruel and unusual punishment forbidden by the Eighth amendment; (2) the question whether the measure taken inflicted unnecessary and wanton pain and suffering ultimately turns on whether force was applied in a good faith effort to maintain or restore discipline or maliciously and sadistically for the very purpose of causing harm; (3) the extent of injury suffered by an inmate is one factor that may suggest whether the use of force could plausibly have been thought necessary or instead evinced such wantonness with respect to the unjustified infliction of harm as is tantamount to a knowing willingness that it occur; (4) in determining whether the use of force was wanton or unnecessary, it may also be proper to evaluate the need for its application, the relationship between that need and the amount of force used, the threat reasonably perceived by responsible officials and any efforts made to temper the severity of a forceful response; and (5) the absence of serious injury is therefore relevant to the Eighth Amendment inquiry, but does not end it. Hudson,
This court of appeals has acknowledged that the Hudson rationale requires the elimination of the “significant injury” requirement that had been added to the objective reasonableness test for purposes of assessing the validity of Fourth Amendment excessive force claims. Dunn v. Denk,
By the same token, in the wake of Hudson there is no justifiable basis for maintaining the “severe injury” requirement as part of the standard for judging the validity of a substantive due process excessive force claim. This is especially evident because the “unnecessary and wanton infliction of pain” standard that the Supreme Court adopted in Whitley v. Albers,
Accordingly, I would find that the currently applicable legal standard to be used in analyzing the § 1983 claims of the Petta children, as bystander-plaintiffs, based on the alleged excessive use of force by Officer Rivera in violation of their Fourteenth Amendment substantive due process rights, is the Shillingford v. Holmes standard, absent any requirement of severe injury. Therefore, if the Petta children can prove that Rivera’s actions caused them injuries, were grossly disproportionate to the need for action under the circumstances and were inspired by malice rather than merely careless or unwise excess of zeal so that it amounted to an abuse of official power that shocks the conscience, they will have stated a valid claim under § 1983 based on a violation of their substantive due process rights under the current standard. Cf. Shillingford,
Therefore, reviewing the summary judgment evidence in the light most favorable to the nonmoving parties, I find that the answer to the first inquiry — whether the Petta children have asserted a violation of a constitutional right at all under the currently applicable standard — is “yes.” To demonstrate that this is so, however, a detailed analysis of the evidence at this point is unnecessary. The second query of the bifurcated analysis— whether the constitutional rights asserted by the Petta children were “clearly established” at the time Rivera acted — raises all of the issues involved in the first inquiry, plus the question of whether the Petta children suffered “severe injuries” because of Rivera’s excessive use of force. Therefore, I will proceed directly to the second inquiry.
V.
On January 15, 1990, our clearly established standard for Fourteenth Amendment substantive due process excessive force claims was Shillingford v. Holmes,
According to the record before us, there is overwhelming evidence that Rivera’s actions were “grossly disproportionate to the need for action under the circumstances.” Id. The only action necessary under the circumstances was the issuance of one or two traffic tickets. If Rivera had performed that act promptly and professionally, the use of excessive force would not have become an issue. Rivera had no reason to suspect that Ms. Petta had committed or was about to commit any offense more serious than a minor traffic violation. He took her driver’s license and registration, noted her license plate number, and knew or should have known that she was headed to her home a short distance away. Under these circumstances it was entirely unnecessary for Rivera to use deadly force in an attempt to apprehend Ms. Petta. Rivera’s application of lethal and other violent force directed toward the Petta vehicle occupied by Ms. Petta and her small children, both before and during the chase, was grossly disproportionate under the circumstances, viz., his shooting .357 magnum bullets at the ear, threatening to kill Ms. Petta while aiming his revolver at her, bludgeoning the car’s window, attempting forcibly to enter the vehicle, threatening to have it towed with the Pettas inside, and chasing the Petta vehicle at high speeds.
Drawing factual inferences in the non-mov-ants’ favor, a reasonable trier of fact could find that Rivera acted out of conscience-shocking malice or wantonness rather than merely careless or excessive zeal. Rivera’s use of deadly force, other violent acts, threats of death, abusive epithets, demeaning characterizations, and utter disregard for the safety and well being of Ms. Petta and her young children, allow a reasonable inference that he acted with malice, an intent to cause harm, or at least with such wantonness as is
The evidence of record fully supports a reasonable inference that the Petta children have suffered severe and enduring psychological pain, injuries and disabilities as the result of Rivera’s use of deadly force and extreme violence in attempting to shoot, break into, and pull over the Petta vehicle, after cursing, yelling at, and threatening to kill their mother. During their ordeal, the children exhibited intense fear as evidenced by Nikki’s crying out repeatedly that Rivera was breaking their window and shooting at them, and by Cavin’s groaning, shaking, and uncontrollable crying. Even three years after Rivera’s attacks, the psychological evaluations recommended by the children’s psychiatrist indicate that, as a consequence of the terrorization, Cavin is highly anxious and distressed, perceives himself as delicate and vulnerable, and experiences sleeplessness and separation anxiety at night; Nikki has phobic concerns about angry, mean, or sadistic male figures, feels the world is unsafe, and invests enormous emotional energy into maintaining hypervigilanee at the expense of her reasoning and creative abilities. The psychologist recommends continued treatment and counseling for both children to help them cope with their emotional problems.
Reviewing the evidence of record in the light most favorable to the nonmoving parties, I find that the constitutional substantive due process rights asserted by the Petta children under the Skillingford v. Holmes standard constituted the “clearly established” law at the time that Rivera acted, that any reasonably competent law enforcement officer should have known that actions such as Rivera’s violated the law governing his conduct, and that Rivera’s immunity defense should therefore fail.
VI.
The majority opinion focuses on Rivera’s argument that his conduct cannot constitute a Fourteenth Amendment substantive due process violation under § 1983, even if it caused the Petta children severe and enduring psychological damage, because it did not result in any physical injury to them. The majority holds that it was not clearly established in January 1990 that a state officer’s wanton or malicious use of unnecessary and excessive force which caused severe psychological damage to a young child was a violation of the child’s constitutional , rights under the Fourteenth Amendment, unless the child also sustained physical injury in the process. Thus, Rivera, the majority finds, is entitled to qualified immunity as to the Petta children’s Fourteenth Amendment claims.
I disagree for three essential reasons,
a.
That a § 1983 plaintiff cannot point to a precisely and explicitly analogous case that existed prior to an officer’s violation of the plaintiffs constitutional rights does not automatically defeat the § 1983 claim. If a qualified immunity defense could succeed simply because the behavior alleged is so egregious that no identical case is on the books, the law would perversely encourage the most flagrant types of official misconduct. As Judge Richard Posner recognized in K.H. ex rel Murphy v. Morgan,
b.
The fact that Coon v. Ledbetter,
This court in Coon v. Ledbetter,
Further, in Jefferson v. Ysleta Independent School District,
The defense of qualified immunity protects a public official from liability in the performance of his duties unless he violates a clearly established statutory or constitutional right of another known or knowable by a reasonable person. Harlow v. Fitzgerald....
In determining what a reasonable teacher should know in this instance, it is not necessary to point to a precedent on all-fours with the case at bar. It suffices that the teacher be aware of general, well-developed legal principles.
Jefferson,
Although the eases were not necessary to inform a reasonable officer that such conduct was unconstitutionally wrong, Coon v. Led-better and Jefferson v. Ysleta, clearly indicate that if a state official causes serious emotional or psychological harm, even without physical injury, to a young child by the use of deadly force or other outrageous conduct disproportionate to the need for any action under the circumstances that was maliciously or wantonly applied so as to shock the conscience, the child’s claim for violation of her substantive due process right should be redressed under § 1983.
c.
There is nothing in the cases cited by the majority that would have caused a reasonable person to have any reasonable doubt that the behavior attributed to Rivera violated the Petta children’s clearly established Fourteenth Amendment substantive due process rights merely because his actions caused severe psychological harm as opposed to severe physical injury. In particular, there is nothing in Dunn v. Denk,
In Johnson v. Morel, this court reversed a summary judgment for an officer and remanded the case for trial on the plaintiffs § 1983 claims under the Fourth Amendment and the Equal Protection Clause. Specifically, this court recognized that Graham v. Connor,
Dunn v. Denk,
The majority fails to demonstrate any sound or coherent basis for its assertion that in January 1990, the Petta children as innocent bystanders did not have a “clearly established” substantive due process right to be free from egregiously wanton or malicious excessive and potentially deadly force by Rivera resulting in their severe psychological damage. The majority correctly points out that when this court decided Johnson v. Morel,
The majority also asserts without coherent demonstration that there is no principled reason for drawing an analytical distinction between the Petta children’s substantive due process claim and an adult arrestee’s Fourth Amendment claim. The distinction between the contours of the two kinds of constitutional rights, however, were clear and evident. The helpless and innocent bystander children’s substantive due process right to be free of a police officer’s egregious behavior
VII.
The law with regard to the Fourteenth Amendment was clearly established in January of 1990. The Shillingford v. Holmes test stated that:
In determining whether the state officer has crossed the constitutional line that would make the physical abuse actionable under Section 1983, we must inquire into the amount of force used in relationship to the need presented, the extent of the injury inflicted and the motives of the state officer. If the state officer’s action caused severe injuries, was grossly disproportionate to the need for action under the circumstances and was inspired by malice rather than merely careless or unwise excess of zeal so that it amounted to an abuse of official power- that shocks the conscience, it should be redressed under Section 1983. Hall v. Tawney,621 F.2d at 613 ; Johnson v. Glick,481 F.2d at 1033 .
For the foregoing reasons, I would affirm the district court’s denial of summary judgment and remand the case to that court for further proceedings. Therefore, I respectfully dissent.
. I agree with the majority's conclusion that this court has jurisdiction to hear this appeal.
