Robert SPURLOCK and Ronnie Marshall, Plaintiffs-Appellees, v. Danny SATTERFIELD, Defendant-Appellant, Lawrence Ray Whitley; Jerry R. Kitchen; John D. Coarsey; Henry Apple; Sumner County, Tennessee; City of Hendersonville, Tennessee, Defendants.
No. 97-6076.
United States Court of Appeals, Sixth Circuit.
Argued July 30, 1998. Decided Feb. 11, 1999.
167 F.3d 995
Before: JONES, RYAN, and MOORE, Circuit Judges.
NATHANIEL R. JONES, Circuit Judge.
Rick Halprin (argued and submitted), Chicago, Illinois, Nathan Diamond-Falk (briefed), Chicago, Illinois, George Whitney Kemper, Hendersonville, Tennessee, Judith A. Halprin (briefed), Highland Park, Illinois, for Plaintiffs-Appellees.
Defendant-Appellant, Danny Satterfield, a Deputy with the Sumner County Sheriff‘s Department (“S.C.S.D.“), appeals the district court‘s order denying his motion to dismiss based on absolute or qualified immunity. Plaintiffs-Appellees, Robert Spurlock and Ronnie Marshall, alleged that Satterfield committed various acts that violated their constitutional and/or statutory rights. For the reasons stated herein, we find that Satterfield is not entitled to either absolute or qualified immunity for these alleged actions, and affirm the district court‘s decision.
I.
On February 21, 1989, the body of Lonnie Malone was found in a culvert of Bug Hollow Road in Sumner County, Tennessee.1 Malone had died as a result of multiple stab wounds. According to Spurlock and Marshall, Satterfield and other S.C.S.D. law enforcement officials immediately focused the investigation into the murder upon them.2 Spurlock alleges that although S.C.S.D. officers obtained a search warrant for his home and automobile on the following day, no evidence was discovered linking him to the crime. He contends that even though he provided the officers with an alibi and alibi witnesses, the officers failed to investigate his claims and refused his offer to take a polygraph test. Further, during the investigation, officers discovered a significant amount of evidence linking others to the Malone murder, but ignored it.3 Subsequently, defendant Lawrence Ray Whitley, Sumner County District Attorney, announced that a reward was being offered to any individual who could provide information leading to the arrest or conviction of any individual involved in the Malone murder.
Spurlock and Marshall contend that defendant John Coarsey, a Hendersonville, Tennessee police officer, learned of the reward and devised a scheme to obtain the reward money. To effectuate this scheme, Coarsey claimed to have received information concerning the crime from an informant, defendant Henry Apple, who at that time was incarcerated in the Sumner County jail for failure to pay child support. According to plaintiffs, Coarsey knew Apple to be a “drug user” and “street informant.” Shortly thereafter, Coarsey contacted Satterfield, and the two went to the county jail in order to interrogate Apple about the Malone homicide. Spurlock contends that when Apple was initially confronted, he denied any knowledge of the crime, but through pressure, threats of prosecution, and the defendants’ promises to help Apple and his family, Apple agreed to implicate Spurlock and Marshall for the Malone murder. Coarsey also allegedly told Apple that if he would implicate Spurlock and Marshall, the District Attorney General would secure his release from the county jail. According to plaintiffs, Apple had no knowledge of the details of the crime. Thus, in order for Apple to effectively pose as an informant, Coarsey and Satterfield then allegedly informed Apple of all of the information he needed concerning the details of the crime.
Subsequently, Coarsey and Satterfield contacted defendant Whitley and informed him that they had coerced Apple into falsely implicating Spurlock and Marshall for the Malone murder. Whitley then met with Apple at the jail, and allegedly assured Apple of his release in exchange for falsely implicating Spurlock and Marshall. According to plaintiffs, later that day, Whitley, Satterfield and Coarsey, after assuring themselves that Apple “had his story straight,” arranged a videotaped interview with Apple concerning the crime.4 After viewing the tape, however, the defendants were not satisfied, and Whitley directed Satterfield to place more pressure on Apple to make false statements concerning the crime, including a statement that he had actually seen the killing.5 Satterfield and other defendants also allegedly told Apple that if he would say that he actually saw the killing, he would be entitled to receive the reward money. Plaintiffs further allege that in other portions of this April 27, 1990 videotape Apple spoke with Whitley, in the presence of Satterfield, about the possibility of immediate release. Despite the defendants’ promises to secure his immediate release, as of April 29, 1990, Apple was still incarcerated in the Sumner County jail. Apple became concerned that Whitley would renege on his promises to secure his release in exchange for falsely implicating Spurlock and Marshall. Thus, Apple discussed his concerns with a guard at the jail, who recorded the conversation.
B. April 30, 1997 Events
Satterfield and other defendants became aware of Apple‘s concerns, and ultimately decided not to induce Apple to falsely assert that he had actually seen the killing. Instead, the defendants decided to create a second videotape in order to conceal the prior recorded conversations. In this second tape, recorded on April 30, 1990, Apple was to state that that date was the first time that he had spoken with law enforcement officials concerning his knowledge of the Malone murder. After making the second tape recorded conversation of his alleged knowledge of the Malone murder, Apple was released from jail.
C. Criminal Trials of Spurlock and Marshall
On May 9, 1990, Whitley and defendant Assistant District Attorney Jerry Kitchen presented Apple‘s statements to a Sumner County grand jury, which then indicted Spurlock and Marshall for the first degree murder of Malone. According to Spurlock and Marshall, in order to ensure that they would be convicted, Whitley and Kitchen also threatened Priscilla Blakemore6 with criminal prosecution if she did not falsely state that she had seen Marshall on the night of the murder with mud all over his clothes, and that he had “confessed” to her that night.
Despite the defendants’ efforts, Marshall eventually won his appeal and was granted a new trial on December 1, 1992. See State v. Marshall, 845 S.W.2d 228 (Tenn. Crim. App. 1992). In May 1993, Spurlock‘s conviction was reversed and remanded and a new trial was ordered. See Spurlock, 874 S.W.2d at 620-22 (holding that the prosecution had unconstitutionally suppressed exculpatory evidence, including the April 27, 1990 tape recorded conversation between Apple, Coarsey and Whitley). The court also held that Whitley unconstitutionally elicited false testimony from Satterfield and Apple at trial. Id. The court further concluded that Satterfield falsely testified when, during his direct examination, he replied that no promises had been made to Apple and that the April 30 interview was the first time that Apple had made any statements concerning the crime. Id.
For Spurlock‘s second murder trial, Whitley recused himself as prosecutor, allegedly in order to bolster Apple‘s credibility. In January 1995, Apple and Whitley falsely testified against Spurlock. Plaintiffs claim that as a result of this false testimony, Spurlock was convicted of second degree murder and subsequently sentenced to twenty years’ imprisonment. Spurlock‘s subsequent motions for a new trial were denied, and Spurlock once again appealed his conviction and sentence.
Thereafter, Whitley was busy at work in Marshall‘s case. Whitley offered Marshall a “best interest plea” in which Marshall would not have to admit guilt for the Malone murder. In return, Marshall would receive a ten year probationary sentence. According to plaintiffs, “Marshall acquiesced in the offer in order to avoid again being convicted on false testimony and incarcerated.” Second Amended Complaint, at p 25. Consequently, Marshall was sentenced to an alternative ten year sentence, which would end in the year 2005.
During the period of Spurlock‘s appeal and Marshall‘s sentence, Bob Baker, a Lieutenant with the S.C.S.D., conducted a new investigation into the Malone murder and obtained information linking other individuals to the crime. As a result of this investigation, these other individuals confessed to the Malone murder. On March 6, 1996, Spurlock‘s and Marshall‘s convictions were again vacated and new trials ordered.
D. Civil Actions
On October 9, 1996, Spurlock and Marshall filed separate complaints in federal district court asserting claims under
The issues before us on appeal were addressed in the district court‘s denial of defendant‘s motion to dismiss for plaintiffs’ failure to state a claim upon which relief can be granted. See
III. Absolute Immunity
On appeal, Satterfield argues that the district court erred by failing to grant him absolute immunity for all of the acts alleged in plaintiffs’ complaint. He contends that conspiracy to render false testimony, as well as giving false testimony at trial, is protected by absolute immunity for witness testimony. He further argues that plaintiffs’ attempt to separate various acts of the alleged conspiracy into testimonial and non-testimonial events is meaningless, because the only act that could be considered injurious would be the allegedly false testimony rendered by Satterfield and Apple, which was protected by absolute immunity. In essence then, he contends that the non-testimonial acts of the conspiracy cannot be maintained because none of these alleged acts, standing alone, have caused any injuries or violated plaintiffs’ constitutional rights.
The plaintiffs concede that any testimony that Satterfield provided as a witness during Spurlock‘s trial would indeed be protected by absolute immunity. They contend, however, that the defendant is “arguing the wrong case,” because the actions alleged here, such as giving Apple manufactured physical evidence, threatening retaliation if Apple did not falsely testify, and manufacturing probable cause evidence, are non-testimonial in nature and cannot be immunized simply because the false testimony given by Satterfield, Apple and other defendants was covered by absolute immunity. They also point out that the conspiracy to convict them for a murder that they did not commit persisted even after Satterfield and other defendants had given this false testimony.
A. Witness Testimony
We find Spurlock‘s and Marshall‘s arguments to be well-taken. The issue here is not simply one of providing false testimony at trial, or even, for that matter, conspiring to give false testimony. It is well-settled that witnesses are granted absolute immunity from suit for all testimony provided in judicial proceedings. See Briscoe v. LaHue, 460 U.S. 325, 330-31 (1983). Thus, it is clear that Satterfield would be insulated from liability for any testimony that he provided as a witness at trial, no matter how egregious or perjurious that testimony was alleged to have been. Accordingly, the district court correctly found that Satterfield was absolutely immune from suit for his testimony during Spurlock‘s criminal trial, and we easily affirm the district court‘s conclusion in that regard. Moreover, we note also that the mere fact that plaintiffs may allege a conspiracy to render false testimony, as opposed to simply alleging that one person testified falsely at trial, does not waive absolute testimonial immunity. See Alioto v. City of Shively, Kentucky, 835 F.2d 1173, 1174-75 (6th Cir. 1987); Macko v. Byron, 760 F.2d 95, 97 (6th Cir. 1985). Thus, Satterfield is correct that an alleged conspiracy to provide false testimony does not abrogate his right to absolute testimonial immunity.
B. Non-Testimonial Acts
In addition to presenting false testimony at Spurlock‘s trial, plaintiffs also allege that Satterfield committed the following acts:
Persuading Defendant Apple to lie, and supplying Apple with the necessary details of the homicide. [Second Amended Complaint, at pp 15, 16].
Attempting to persuade Defendant Apple to say he actually witnessed the Malone homicide, and offering Apple the reward money if he would do so. [Id. at pp 15-17].
Creating a tape recording on April 30, 1990 in an effort to conceal the events of April 27 and April 29, 1990. [Id. at p 19].
Giving Defendant Apple ‘hush money’ after Plaintiffs’ first trials, in order to induce his continued silence and cooperation. [Id. at p 43].
See J.A. at 162. Satterfield ignores the fact that plaintiffs allege that he engaged in testimonial and non-testimonial acts that occurred both before and after he and other defendants rendered false testimony at trial. Thus, Satterfield‘s argument misses the point, for plaintiffs do not merely allege that Satterfield gave false testimony and conspired to present false testimony, but also that he committed, and conspired to commit, non-testimonial acts, such as manufacturing probable cause and fabricating evidence. It is for these alleged violations that we conclude that Satterfield is not entitled to absolute immunity.
In support of his plea for absolute immunity, Satterfield relies on this court‘s decision in Alioto.12 He also points to decisions by other circuits. See, e.g., Pinaud v. County of Suffolk, 52 F.3d 1139, 1148 (2d Cir. 1995) (“when the underlying activity at issue is covered by absolute immunity, the plaintiff derives no benefit from alleging a conspiracy“) (citation and quotation marks omitted); Snelling v. Westhoff, 972 F.2d 199, 200 (8th Cir. 1992) (per curiam); House v. Belford, 956 F.2d 711, 720-21 (7th Cir. 1992). Satterfield‘s reliance on those cases is misplaced. In Alioto, Neil Alioto, a police officer, was indicted for falsely swearing and tampering with evidence. Alioto, 835 F.2d at 1174. Several public officials appeared as witnesses before the grand jury investigating him. After a jury trial, however, Alioto was found not guilty of the charges against him. Id. He then brought a
We note that absolute immunity is the exception rather than the rule, and has traditionally been reserved for those actors “intimately associated with the judicial phase of the criminal process.” Imbler v. Pachtman, 424 U.S. 409, 430 (1976) (judges performing judicial functions); see also Stump v. Sparkman, 435 U.S. 349 (1978) (same); Butz v. Economou, 438 U.S. 478 (1978) (government officials engaged in adjudicative functions). Furthermore, the Supreme Court and this court have been reluctant to extend the doctrine to other officials or other situations. Indeed, the Supreme Court has explained that “[t]he presumption is that qualified rather than absolute immunity is sufficient to protect government officials in the exercise of their duties.” Burns v. Reed, 500 U.S. 478, 486-87 (1991). Thus, the Court has been “quite sparing in [its] recognition of absolute immunity ... and ha[s] refused to extend it any further than its justification would warrant.” Id. (internal quotations and citations omitted). Generally, courts have been substantially less willing to grant absolute immunity to law enforcement officials performing investigative duties. See, e.g., Pierson v. Ray, 386 U.S. 547, 555 (1967) (“[t]he common law has never granted police officers an absolute and unqualified immunity“); Malley v. Briggs, 475 U.S. 335, 341-43 (1986) (refusing to grant absolute immunity to police officer who inappropriately sought arrest warrant).
The doctrine of absolute immunity for testimony is a shield to ensure that those individuals intimately involved in the judicial process are able to carry out their responsibilities without the constant threat of vexatious lawsuits, not a sword allowing them to trample the statutory and constitutional rights of others. By virtue of being a witness, Satterfield is not entitled to absolute immunity in performing any nontestimonial or pre/post-testimonial acts. What plaintiffs, in essence, allege here is the fabrication of probable cause, and contrary to Satterfield‘s argument, the fabrication of probable cause cannot be immunized by later providing false testimony. Obviously, the two alleged acts, manufacturing false evidence and later presenting that false evidence in the form of testimony, are inextricably linked. Nonetheless, we find that adopting Satterfield‘s reasoning would lead to the untenable result that officials who fabricate evidence or manufacture probable cause could later shield themselves from liability simply by presenting false testimony regarding that evidence.
Plaintiffs do not allege that Satterfield and others merely presented false testimony. Indeed, they allege that something much more egregious was at work here. Specifically, that not only did Satterfield and other defendants know that Apple‘s testimony was false, but that they provided Apple with information regarding the Malone murder, fabricated probable cause, created a second tape recording to conceal the events of the first recording, gave Apple “hush money” after plaintiffs’ first trials, and recorded and re-recorded Apple‘s statements. We find it incredible that Satterfield now contends that these non-testimonial acts fall within the ambit of the aforementioned absolute testimonial immunity caselaw. Considering the facts as alleged by plaintiffs, we decline to broaden the scope of absolute testimonial immunity to encompass the non-testimonial acts alleged here. We find that the district court properly granted Satterfield the only absolute immunity to which he is entitled—that for his testimony as a witness at trial—and he is clearly entitled to no more than that. Thus, we reject Satterfield‘s arguments here, and conclude that he is not entitled to absolute testimonial immunity for the alleged non-testimonial acts that occurred outside of the judicial proceeding.
Having rejected Satterfield‘s argument that he is entitled to absolute testimonial immunity for the aforementioned non-testimonial acts, we now turn to his second and alternative argument, that he is entitled to qualified immunity for these acts. Specifically, Satterfield argues that he is entitled to qualified immunity because none of the alleged acts, standing alone, caused constitutional injuries, and that, in any event, these acts did not violate clearly established constitutional law. We disagree.
As an initial procedural matter, we note that the district court declined to determine whether Satterfield was entitled to qualified immunity, finding that he had not addressed the issue of qualified immunity with regard to the alleged non-testimonial acts. The district court, however, did review defendant Coarsey‘s qualified immunity argument, and concluded that solicitation of false testimony for use in prosecuting an individual violates clearly established constitutional rights.15 On appeal, Satterfield uses that ruling to argue that the district court erred, and to establish that he would be entitled to qualified immunity.16 After examining Satterfield‘s restated motion to dismiss, we are satisfied that he sufficiently presented the argument to the district court such that we can properly consider his claim here. See Mitchell v. Forsyth, 472 U.S. 511, 530 (1985) (“district court‘s denial of a claim of qualified immunity, to the extent that it turns on an issue of law, is an appealable ‘final decision’ “); English v. Dyke, 23 F.3d 1086, 1089-90 (6th Cir. 1994) (denial of a qualified immunity defense at any stage entitles a defendant to an immediate appeal). In fact, Satterfield specifically raised a qualified immunity argument in his initial and reply briefs in support of his restated motion to dismiss, both of which had been filed at the time the district court rendered its decision. See J.A. at 288, 422.
Qualified immunity, like absolute immunity, is also available as an affirmative defense that protects public officials not only from liability, but also from the “burdens of trial and discovery.” English, 23 F.3d at 1089. See also Noble v. Schmitt, 87 F.3d 157, 161 (6th Cir. 1996). Officials who are not entitled to absolute immunity may, in certain instances, “enjoy the protection of qualified immunity.” Achterhof, 886 F.2d at 829. In examining a claim for qualified immunity, we must balance the need for public officials to be free from the constant fear of lawsuits brought while performing their official duties, with the recognition that “[i]n situations of abuse of office, an action for damages may offer the only realistic avenue for vindication of constitutional guarantees.” Harlow v. Fitzgerald, 457 U.S. 800, 814 (1982). In Harlow, the Supreme Court articulated the test for qualified immunity and stated that “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.” Id. at 818 (abandoning the subjective good faith approach to addressing qualified immunity for the more objective reasonableness test); see also Noble, 87 F.3d at 161; Adams v. Metiva, 31 F.3d 375, 386 (6th Cir. 1994). Thus, as an initial matter, in determining whether an official is entitled to qualified immunity, we must first determine “whether, based on the applicable law, a constitutional violation occurred.” Dickerson, 101 F.3d at 1157. If we conclude that a constitutional violation has occurred, we then determine whether this violation “involved clearly established constitutional rights of which a reasonable person would have known.” Id. at 1158 (citation omitted); see also Blair v. Meade, 76 F.3d 97, 100 (6th Cir. 1996); Adams, 31 F.3d at 386; Ohio Civil Service Employees Ass‘n v. Seiter, 858 F.2d 1171, 1177 (6th Cir. 1988). Generally, if the right at issue was clearly established at the time the governmental actor committed the violation in question, “the immunity defense ordinarily should fail, since a reasonably competent public official should know the law governing his conduct.” Harlow, 457 U.S. at 818-19. Both questions must be answered in the affirmative in order to defeat a government official‘s claim to qualified immunity. Additionally, the burden is on the plaintiff to allege and prove that the defendant violated a clearly established constitutional right. Adams, 31 F.3d at 386.
Finding that the plaintiffs have sufficiently alleged violations of their constitutional rights, we next decide whether these constitutional rights were clearly established at the time in question. In so determining, we may rely on decisions of the Supreme Court, decisions of this court and courts within this circuit, and in limited instances, on decisions of other circuits. See Dickerson, 101 F.3d at 1158; McBride v. Village of Michiana, 100 F.3d 457, 460 (6th Cir. 1996). To be clearly established, “[t]he contours of the right must be sufficiently clear that a reasonable official would understand that what he is doing violates that right.” Centanni v. Eight Unknown Officers, 15 F.3d 587, 589 (6th Cir. 1994) (quoting Anderson v. Creighton, 483 U.S. 635, 639 (1987)).
This court, in Smith v. Williams, 78 F.3d 585 (6th Cir. 1996) (unpublished opinion), found that the right to be free from malicious prosecution was a right clearly established under the Fourth Amendment. Id. at * 5. Prior to January 1994, however, this circuit analyzed that right as accruing under the Fourteenth rather than the Fourth Amendment.19 See id. at ** 4-5 (rejecting defendant-police officer‘s qualified immunity claim, and holding that a reasonable police officer would have known that the alleged conduct, i.e., unconstitutionally initiating and encouraging plaintiff‘s criminal prosecution, was unlawful); see also Henry v. Metropolitan Sewer Dist., 922 F.2d 332, 340 (6th Cir. 1990) (analyzing substantive due process claim for malicious prosecution); Cale v. Johnson, 861 F.2d 943, 949-50 (6th Cir. 1988).20
V. Conclusion
Based on the foregoing reasons, we AFFIRM the judgment of the district court denying Satterfield‘s motion to dismiss based on absolute immunity. We also find that Satterfield is not entitled to qualified immunity for his alleged non-testimonial acts.21
Notes
The right of the people to be secure in their persons, houses, papers, and effects, against unreasonable searches and seizures, shall not be violated, and no Warrants shall issue, but upon probable cause, supported by Oath or affirmation, and particularly describing the place to be searched, and the persons or things to be seized.
Satterfield argues that Smith and Albright are inapplicable for purposes of defeating his qualified immunity claim because they were decided after he committed the alleged acts. Appellant‘s Reply Brief at 21. We reject this argument, and point out that both of these cases relied on the fundamental principle that an individual has a constitutional right to be free from malicious prosecution, which was clearly established well before either of these cases was decided. Thus, whether the right was analyzed as accruing under the Fourth instead of the Fourteenth Amendment provides no support for Satterfield‘s argument on this point.