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Respondent Jones brought this "constitutional tort" action under 42 U.S.C. 1983 against five named policemen, claiming that they used excessive force when they arrested him and that they beat him at the police station. As government officials, the officers were entitled to assert a qualified immunity defense. Three of them (the petitioners here) moved for summary judgment arguing that, whatever evidence Jones might have about the other two officers, he could point to no evidence that these three had beaten him or had been present during beatings. Holding that there was sufficient circumstantial evidence supporting Jones's theory of the case, the District Court denied the motion. Petitioners sought an immediate appeal, arguing that the denial was wrong because the evidence in the pretrial record was not sufficient to show a "genuine" issue of fact for trial, Fed. Rule Civ. Proc. 56(c). The Seventh Circuit held that it lacked appellate jurisdiction over this contention and dismissed the appeal.
Held:
A defendant, entitled to invoke a qualified immunity defense, may not appeal a district court's summary judgment order insofar as that order determines whether or not the pretrial record sets forth a "genuine" issue of fact for trial. Pp. 3-14.
BREYER, J., delivered the opinion for a unanimous Court. [ JOHNSON v. JONES, ___ U.S. ___ (1995) , 1]
JUSTICE BREYER delivered the opinion of the Court.
This case concerns government officials - entitled to assert a qualified immunity defense in a "constitutional tort" action - who seek an immediate appeal of a district court order denying their motions for summary judgment. The order in question resolved a fact-related dispute about the pretrial record, namely whether or not the evidence in the pretrial record was sufficient to show a genuine issue of fact for trial. We hold that the defendants cannot immediately appeal this kind of fact-related district court determination. And, we affirm the similar holding of the Court of Appeals for the Seventh Circuit.
The plaintiff in this case, Houston Jones, is a diabetic. Police officers found him on the street while he was having an insulin seizure. The officers thought he was drunk, they arrested him, and they took him to the police station. Jones later found himself in a hospital, with several broken ribs. Subsequently, Jones brought this "constitutional tort" action against five named policemen. Rev. Stat. 1979, as amended, 42 U.S.C. 1983. Jones claimed that these policemen used excessive [ JOHNSON v. JONES, ___ U.S. ___ (1995) , 2] force when they arrested him and that they beat him at the station.
Three of the officers (the petitioners here) moved for summary judgment arguing that, whatever evidence Jones might have about the other two officers, he could point to no evidence that these three had beaten him or had been present while others did so. Jones responded by pointing to his deposition, in which he swore that officers (though he did not name them) had used excessive force when arresting him and later, in the booking room at the station house. He also pointed to the three officers' own depositions, in which they admitted they were present at the arrest and in or near the booking room when Jones was there.
The District Court denied the officers' summary judgment motion. The court wrote that Seventh Circuit precedent indicated potential liability if the three officers "stood by and allowed others to beat the plaintiff." App. to Pet. for Cert. 7a. And, the court held that there was "sufficient circumstantial evidence supporting [Jones's] theory of the case," id., at 8a.
The three officers immediately appealed the District Court's denial of their summary judgment motion. They argued, in relevant part, that the denial was wrong because the record contained "not a scintilla of evidence . . . that one or more" of them had "ever struck, punched or kicked the plaintiff, or ever observed anyone doing so." Brief for Appellants in No. 93-3777 (CA7), p. 10. But, the Seventh Circuit refused to consider this argument - namely that the District Court had improperly rejected their contention that the record lacked sufficient evidence even to raise a "genuine" (i.e., triable) issue of fact. The Seventh Circuit held that it "lack[ed] appellate jurisdiction over th[is] contention," i.e., of the "evidence insufficiency" contention that "we didn't do it." 26 F.3d 727, 728 (CA7 1994). It consequently dismissed their appeal. [ JOHNSON v. JONES, ___ U.S. ___ (1995) , 3]
Courts of Appeals hold different views about the immediate appealability of such pretrial "evidence insufficiency" claims made by public official defendants who assert qualified-immunity defenses. Compare, e.g., Kaminsky v. Rosenblum, 929 F.2d 922, 926 (CA2 1991) (saying that no appellate jurisdiction exists); Giuffre v. Bissell, 31 F.3d 1241, 1247 (CA3 1994) (same); Boulos v. Wilson, 834 F.2d 504, 509 (CA5 1987) (same); Elliott v. Thomas, 937 F.2d 338, 341-342 (CA7 1991) (same), cert. denied,
Three background principles guide our effort to decide this issue. First, the relevant statute grants appellate courts jurisdiction to hear appeals only from "final decisions" of district courts. 28 U.S.C. 1291. Given this statute, interlocutory appeals - appeals before the end of district court proceedings - are the exception, not the rule. The statute recognizes that rules that permit too many interlocutory appeals can cause harm. An interlocutory appeal can make it more difficult for trial judges to do their basic job - supervising trial proceedings. It can threaten those proceedings with delay, adding costs and diminishing coherence. It also risks additional, and unnecessary, appellate court work either when it presents appellate courts with less developed records or when it brings them appeals that, had the
[ JOHNSON v. JONES, ___ U.S. ___ (1995)
, 4]
trial simply proceeded, would have turned out to be unnecessary. See Richardson-Merrell Inc. v. Koller,
Of course, sometimes interlocutory appellate review has important countervailing benefits. In certain cases, it may avoid injustice by quickly correcting a trial court's error. It can simplify, or more appropriately direct, the future course of litigation. And, it can thereby reduce the burdens of future proceedings, perhaps freeing a party from those burdens entirely. Congress consequently has authorized, through other statutory provisions, immediate appeals (or has empowered courts to authorize immediate appeals) in certain classes of cases - classes in which these countervailing benefits may well predominate. None of these special "immediate appeal" statutes, however, is applicable here. See 28 U.S.C. 1292 (immediate appeal of, e.g., orders granting or denying injunctions; authority to "certify" certain important legal questions); Fed. Rule Civ. Proc. 54(b) (authorizing district courts to "direct the entry of a final judgment as to one or more but fewer than all of the claims or parties"); 28 U.S.C. 1292(e) (1988 ed., Supp. V), 2072(c) (1988 ed., Supp. V) (authorizing this Court to promulgate rules designating certain kinds of orders as immediately appealable); cf. 28 U.S.C. 1651 (authorizing federal courts to "issue all writs necessary or appropriate," including writs of mandamus).
Second, in Cohen v. Beneficial Industrial Loan Corp.,
In determining which "collateral orders" amount to "final decisions," these requirements help qualify for immediate appeal classes of orders in which the considerations that favor immediate appeals seem comparatively strong and those that disfavor such appeals seem comparatively weak. The requirement that the issue underlying the order be "`effectively unreviewable'" later on, for example, means that failure to review immediately may well cause significant harm. See 15A C. Wright, A. Miller, & E. Cooper, Federal Practice and Procedure 3911, pp. 334-335 (1992) (hereinafter Wright & Miller). The requirement that the district court's order "conclusively determine" the question means that appellate review is likely needed to avoid that harm. Id., at 333. The requirement that the matter be separate from the merits of the action itself means that review now is less likely to force the appellate court to consider approximately the same (or a very similar) matter more than once, and also seems less likely to delay trial court proceedings (for, if the matter is truly collateral, those [ JOHNSON v. JONES, ___ U.S. ___ (1995) , 6] proceedings might continue while the appeal is pending). Id., at 333-334.
Third, in Mitchell v. Forsyth,
The Court in Mitchell found more difficult the "separability" question, i.e., whether or not the "qualified immunity" issue was "completely separate from the merits of the action," supra, at 5. The Court concluded that:
We now consider the appealability of a portion of a district court's summary judgment order that, though entered in a "qualified immunity" case, determines only a question of "evidence sufficiency," i.e., which facts a party may, or may not, be able to prove at trial. This kind of order, we conclude, is not appealable. That is, the District Court's determination that the summary judgment record in this case raised a genuine issue of fact concerning petitioners' involvement in the alleged beating of respondent was not a "final decision" within the meaning of the relevant statute. We so decide essentially for three reasons.
First, consider Mitchell itself, purely as precedent. The dispute underlying the Mitchell appeal involved the application of "clearly established" law to a given (for
[ JOHNSON v. JONES, ___ U.S. ___ (1995)
, 8]
appellate purposes undisputed) set of facts. And, the Court, in its opinion, explicitly limited its holding to appeals challenging, not a district court's determination about what factual issues are "genuine," Fed. Rule Civ. Proc. 56(c), but the purely legal issue what law was "clearly established." The opinion, for example, referred specifically to a district court's "denial of a claim of qualified immunity, to the extent that it turns on an issue of law."
Second, consider, in the context of an "evidence sufficiency" claim, Cohen's conceptual theory of appealability - the theory that brings immediate appealability within the scope of the jurisdictional statute's "final decision" requirement. That theory finds a "final" district court decision in part because the immediately appealable decision involves issues significantly different from those that underlie the plaintiff's basic case. As
[ JOHNSON v. JONES, ___ U.S. ___ (1995)
, 9]
we have just pointed out, Mitchell rested upon the view that "a claim of immunity is conceptually distinct from the merits of the plaintiff's claim."
Where, however, a defendant simply wants to appeal a district court's determination that the evidence is sufficient to permit a particular finding of fact after trial, it will often prove difficult to find any such "separate" question - one that is significantly different from the fact-related legal issues that likely underlie the plaintiff's claim on the merits. See Anderson v. Liberty Lobby, Inc.,
It has been suggested that Mitchell implicitly recognized that "the need to protect officials against the burdens of further pretrial proceedings and trial" justifies a relaxation of the separability requirement. 15A Wright & Miller 3914.10, at 656; see id., 3911, at 344-345; id., 3911.2, at 387; see also Tr. of Oral Arg. 20 ("where the right not to be tried is at stake, [closer] [ JOHNSON v. JONES, ___ U.S. ___ (1995) , 10] association with the merits is tolerated") (argument of the United States). Assuming that to be so, and despite a similar interest in avoiding trial in the kind of case here at issue, we can find no separability. To take what petitioners call a small step beyond Mitchell, Brief for Petitioners 18, would more than relax the separability requirement - it would in many cases simply abandon it.
Finally, consider the competing considerations that underlie questions of finality. See supra, at 3-4. We of course decide appealability for categories of orders rather than individual orders. See Digital Equipment Corp. v. Desktop Direct, Inc., 511 U.S. ___, ___ (1994) (slip op., at 4-5). Thus, we do not now in each individual case engage in ad hoc balancing to decide issues of appealability. See generally P. Bator, D. Meltzer, P. Mishkin, & D. Shapiro, Hart and Wechsler's The Federal Courts and The Federal System 1810 (3d ed. 1988). But, that does not mean that, in delineating appealable categories, we should not look to "the competing considerations underlying all questions of finality - `the inconvenience and costs of piecemeal review on the one hand and the danger of denying justice by delay on the other.'" Eisen v. Carlisle & Jacqueline,
For one thing, the issue here at stake - the existence, or non-existence of a triable issue of fact - is the kind of issue that trial judges, not appellate judges, confront almost daily. Institutionally speaking, appellate judges enjoy no comparative expertise in such matters. Cf. Pierce v. Underwood,
For another thing, questions about whether or not a record demonstrates a "genuine" issue of fact for trial, if appealable, can consume inordinate amounts of appellate time. Many constitutional tort cases, unlike the simple "we didn't do it" case before us, involve factual controversies about, for example, intent - controversies that, before trial, may seem nebulous. To resolve those controversies - to determine whether there is or is not a triable issue of fact about such a matter - may require reading a vast pretrial record, with numerous conflicting affidavits, depositions and other discovery materials. This fact means, compared with Mitchell, greater delay.
For a third thing, the close connection between this kind of issue and the factual matter that will likely surface at trial means that the appellate court, in the many instances in which it upholds a district court's decision denying summary judgment, may well be faced with approximately the same factual issue again, after trial, with just enough change (brought about by the trial testimony) to require it, once again, to canvass the record. That is to say, an interlocutory appeal concerning this kind of issue in a sense makes unwise use of appellate courts' time, by forcing them to decide in the context of a less developed record, an issue very similar to one they may well decide anyway later, on a record that will permit a better decision. See 15A Wright & Miller 3914.10, at 664 ("if [immunity appeals] could be limited to . . . issues of law . . . there would be less risk that the court of appeals would need to waste time [ JOHNSON v. JONES, ___ U.S. ___ (1995) , 12] in duplicating investigations of the same facts on successive appeals").
The upshot is that, compared with Mitchell, considerations of delay, comparative expertise of trial and appellate courts, and wise use of appellate resources, argue in favor of limiting interlocutory appeals of "qualified immunity" matters to cases presenting more abstract issues of law. Considering these "competing considerations," we are persuaded that "[i]mmunity appeals . . . interfere less with the final judgment rule if they [are] limited to cases presenting neat abstract issues of law." Ibid.; cf. Puerto Rico Aqueduct, 511 U.S., at ___ (slip op., at 7) (noting the argument for a distinction between fact-based and law-based appeals, but seeing no "basis for drawing" it with respect to the particular kind of order at hand); 15A Wright & Miller 3914.10, at 85 (1995 pocket part).
We recognize that, whether a district court's denial of summary judgment amounts to (a) a determination about pre-existing "clearly established" law, or (b) a determination about "genuine" issues of fact for trial, it still forces public officials to trial. See Brief for Petitioners 11-16. And, to that extent, it threatens to undercut the very policy (protecting public officials from lawsuits) that (the Mitchell Court held) militates in favor of immediate appeals. Nonetheless, the countervailing considerations that we have mentioned (precedent, fidelity to statute, and underlying policies) are too strong to permit the extension of Mitchell to encompass appeals from orders of the sort before us.
We mention one final point. Petitioners argue that our effort to separate reviewable from unreviewable summary judgment determinations will prove unworkable. First, they say that the parties can easily manipulate our holding. A defendant seeking to create a [ JOHNSON v. JONES, ___ U.S. ___ (1995) , 13] reviewable summary judgment order might do so simply by adding a reviewable claim to a motion that otherwise would create an unreviewable order. "[H]ere, for example," they say, "petitioners could have contended that the law was unclear on how much force may be exerted against suspects who resist arrest." Brief for Petitioners 29, n. 11.
We do not think this is a serious problem. We concede that, if the district court in this case had determined that beating respondent violated clearly established law, petitioners could have sought review of that determination. But, it does not automatically follow that the court of appeals would also have reviewed the here more important determination that there was a genuine issue of fact as to whether petitioners participated in (or were present at) a beating. Even assuming, for the sake of argument, that it may sometimes be appropriate to exercise "pendent appellate jurisdiction" over such a matter, but cf. Swint v. Chambers County Comm'n, 514 U.S. ____, ____ (1995) (Slip Op. at 14-15), it seems unlikely that Courts of Appeals would do so in a case where the appealable issue appears simply a means to lead the court to review the underlying factual matter, see, e.g., Natale v. Ridgefield, 927 F.2d 101, 104 (CA2 1991) (saying exercise of pendent appellate jurisdiction is proper only in "exceptional circumstances"); United States ex rel. Valders Stone & Marble, Inc. v. C-Way Constr. Co., 909 F.2d 259, 262 (CA7 1990) (saying exercise of such jurisdiction is proper only where there are "`compelling reasons'").
Second, petitioners add, if appellate courts try to separate an appealed order's reviewable determination (that a given set of facts violates clearly established law) from its unreviewable determination (that an issue of fact is "genuine"), they will have great difficulty doing so. District judges may simply deny summary judgment motions without indicating their reasons for doing so. [ JOHNSON v. JONES, ___ U.S. ___ (1995) , 14] How, in such a case, will the court of appeals know what set of facts to assume when it answers the purely legal question about "clearly established" law?
This problem is more serious, but not serious enough to lead us to a different conclusion. When faced with an argument that the district court mistakenly identified clearly established law, the court of appeals can simply take, as given, the facts that the district court assumed when it denied summary judgment for that (purely legal) reason. Knowing that this is "extremely helpful to a reviewing court," Anderson,
For these reasons, we hold that a defendant, entitled to invoke a qualified-immunity defense, may not appeal a district court's summary judgment order insofar as that order determines whether or not the pretrial record sets forth a "genuine" issue of fact for trial. The judgment of the Court of Appeals for the Seventh Circuit is therefore
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Citation: 515 U.S. 304
No. 94-455
Argued: April 18, 1995
Decided: June 12, 1995
Court: United States Supreme Court
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