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- NOTICE: This opinion is subject to formal revision before publication in the
- preliminary print of the United States Reports. Readers are requested to
- notify the Reporter of Decisions, Supreme Court of the United States, Wash-
- ington, D.C. 20543, of any typographical or other formal errors, in order that
- corrections may be made before the preliminary print goes to press.
- SUPREME COURT OF THE UNITED STATES
- --------
- No. 93-1636
- --------
- TOM SWINT, et al., PETITIONERS v. CHAMBERS
- COUNTY COMMISSION et al.
- on writ of certiorari to the united states court
- of appeals for the eleventh circuit
- [March 1, 1995]
-
- Justice Ginsburg delivered the opinion of the Court.
- In the wake of successive police raids on a nightclub
- in Chambers County, Alabama, two of the club's owners
- joined by an employee and a patron (petitioners here)
- sued the Chambers County Commission (respondent
- here), the City of Wadley, and three individual police
- officers. Petitioners sought damages and other relief,
- pursuant to 42 U. S. C. 1983, for alleged civil rights
- violations. We granted certiorari to review the decision
- of the United States Court of Appeals for the Eleventh
- Circuit, which held that the Chambers County Commis-
- sion qualified for summary judgment because the sheriff
- who authorized the raids was a state executive officer
- and not an agent of the County Commission. We do not
- reach that issue, however, because we conclude that the
- Eleventh Circuit lacked jurisdiction to rule on the
- County Commission's liability at this interlocutory stage
- of the litigation.
- The Eleventh Circuit unquestionably had jurisdiction
- to review the denial of the individual police officer
- defendants' motions for summary judgment based on
- their alleged qualified immunity from suit. But the
- Circuit Court did not thereby gain authority to review
- the denial of the Chambers County Commission's motion
- for summary judgment. The Commission's appeal, we
- hold, does not fit within the -collateral order- doctrine,
- nor is there -pendent party- appellate authority to take
- up the Commission's case. We therefore vacate the
- relevant portion of the Eleventh Circuit's judgment and
- remand for proceedings consistent with this opinion.
-
- I
- On December 14, 1990, and again on March 29, 1991,
- law enforcement officers from Chambers County and the
- City of Wadley, Alabama, raided the Capri Club in
- Chambers County as part of a narcotics operation. The
- raids were conducted without a search warrant or an
- arrest warrant. Petitioners filed suit, alleging, among
- other claims for relief, violations of their federal civil
- rights. Petitioners named as defendants the County
- Commission; the City of Wadley; and three individual
- defendants, Chambers County Sheriff James C. Morgan,
- Wadley Police Chief Freddie Morgan, and Wadley Police
- Officer Gregory Dendinger.
- The five defendants moved for summary judgment on
- varying grounds. The three individual defendants
- asserted qualified immunity from suit on petitioners'
- federal claims. See Anderson v. Creighton, 483 U. S.
- 635, 639 (1987) (governmental officials are immune from
- suit for civil damages unless their conduct is unreason-
- able in light of clearly established law). Without
- addressing the question whether Wadley Police Chief
- Freddie Morgan, who participated in the raids, was a
- policymaker for the municipality, the City argued that
- a respondeat superior theory could not be used to hold
- it liable under 1983. See Monell v. New York City
- Dept. of Social Services, 436 U. S. 658, 694 (1978) (a
- local government may not be sued under 1983 for
- injury inflicted solely by its nonpolicymaking employees
- or agents). The Chambers County Commission argued
- that County Sheriff James C. Morgan, who authorized
- the raids, was not a policymaker for the County.
- The United States District Court for the Middle
- District of Alabama denied the motions for summary
- judgment. The District Court agreed that 1983 liability
- could not be imposed on the City for an injury inflicted
- by a nonpolicymaking employee; that court denied the
- City's summary judgment motion, however, because the
- City had failed to argue that Wadley Police Chief
- Freddie Morgan was not its policymaker for law enforce-
- ment. Regarding the County Commission's motion, the
- District Court was -persuaded by the Plaintiffs that
- Sheriff [James C.] Morgan may have been the final
- decision-maker for the County in ferreting out crime,
- although he is a State of Alabama employee.- App. to
- Pet. for Cert. A-67. The District Court later denied the
- defendants' motions for reconsideration, but indicated its
- intent to revisit, before jury deliberations, the question
- whether Sheriff Morgan was a policymaker for the
- County:
- -The Chambers County Defendants correctly point
- out that whether Sheriff James Morgan was the
- final policy maker is a question of law that this
- Court can decide. What th[is] Court decided in its
- [prior order] was that the Plaintiffs had come
- forward with sufficient evidence to persuade this
- Court that Sheriff Morgan may be the final policy
- maker for the County. The parties will have an
- opportunity to convince this Court that Sheriff
- Morgan was or was not the final policy maker for
- the County, and the Court will make a ruling as a
- matter of law on that issue before the case goes to
- the jury.- Id., at A-72.
- Invoking the rule that an order denying qualified
- immunity is appealable before trial, Mitchell v. Forsyth,
- 472 U. S. 511, 530 (1985), the individual defendants
- immediately appealed. The City of Wadley and the
- Chambers County Commission also appealed, arguing,
- first, that the denial of their summary judgment mo-
- tions-like the denial of the individual defendants'
- summary judgment motions-was immediately appeal-
- able as a collateral order satisfying the test announced
- in Cohen v. Beneficial Industrial Loan Corp., 337 U. S.
- 541, 546 (1949) (decisions that are conclusive, that
- resolve important questions apart from the merits of the
- underlying action, and that are effectively unreviewable
- on appeal from final judgment may be appealed immedi-
- ately). Alternatively, the City and County Commission
- urged the Eleventh Circuit Court of Appeals to exercise
- -pendent appellate jurisdiction,- a power that court had
- asserted in earlier cases. Stressing the Eleventh
- Circuit's undisputed jurisdiction over the individual
- defendants' qualified immunity pleas, the City and
- County Commission maintained that, in the interest of
- judicial economy, the court should resolve, simultan-
- eously, the City's and Commission's appeals.
- The Eleventh Circuit affirmed in part and reversed in
- part the District Court's order denying summary judg-
- ment for the individual defendants. 5 F. 3d 1435, 1448
- (1993), modified, 11 F. 3d 1030, 1031-1032 (1994).
- Next, the Eleventh Circuit held that the District Court's
- rejections of the County Commission's and City's sum-
- mary judgment motions were not immediately appealable
- as collateral orders. Id., at 1449, 1452. Nevertheless,
- the Circuit Court decided to exercise pendent appellate
- jurisdiction over the County Commission's appeal. Id.,
- at 1449-1450. Holding that Sheriff James C. Morgan
- was not a policymaker for the County in the area of law
- enforcement, the Eleventh Circuit reversed the District
- Court's order denying the County Commission's motion
- for summary judgment. Id., at 1450-1451. The Elev-
- enth Circuit declined to exercise pendent appellate
- jurisdiction over the City's appeal because the District
- Court had not yet decided whether Wadley Police Chief
- Freddie Morgan was a policymaker for the City. Id., at
- 1451-1452.
- We granted certiorari to review the Court of Appeals'
- decision that Sheriff Morgan is not a policymaker for
- Chambers County. 512 U. S. ___ (1994). We then
- instructed the parties to file supplemental briefs ad-
- dressing this question: Given the Eleventh Circuit's
- jurisdiction to review immediately the District Court's
- refusal to grant summary judgment for the individual
- defendants in response to their pleas of qualified
- immunity, did the Circuit Court also have jurisdiction to
- review at once the denial of the County Commission's
- summary judgment motion? 513 U. S. ___ (1994). We
- now hold that the Eleventh Circuit should have dis-
- missed the County Commission's appeal for want of
- jurisdiction.
-
- II
- We inquire first whether the denial of the County
- Commission's summary judgment motion was appealable
- as a collateral order. The answer, as the Court of
- Appeals recognized, is a firm -No.-
- By statute, federal courts of appeals have -jurisdiction
- of appeals from all final decisions of the district courts,-
- except where direct review may be had in this Court.
- 28 U. S. C. 1291. -The collateral order doctrine is best
- understood not as an exception to the `final decision'
- rule laid down by Congress in 1291, but as a `practical
- construction' of it.- Digital Equipment Corp. v. Desktop
- Direct, Inc., 511 U. S. ___, ___ (1994) (slip op., at 3)
- (quoting Cohen, 337 U. S., at 546). In Cohen, we held
- that 1291 permits appeals not only from a final
- decision by which a district court disassociates itself
- from a case, but also from a small category of decisions
- that, although they do not end the litigation, must
- nonetheless be considered -final.- 337 U. S., at 546.
- That small category includes only decisions that are
- conclusive, that resolve important questions separate
- from the merits, and that are effectively unreviewable on
- appeal from the final judgment in the underlying action.
- Ibid.
- The District Court planned to reconsider its ruling on
- the County Commission's summary judgment motion
- before the case went to the jury. That court had
- initially determined only that -Sheriff Morgan may have
- been the final policy maker for the County.- App. to
- Pet. for Cert. A-67 (emphasis added). The ruling thus
- fails the Cohen test, which -disallow[s] appeal from any
- decision which is tentative, informal or incomplete.- 337
- U. S., at 546; see Coopers & Lybrand v. Livesay, 437
- U. S. 463, 469 (1978) (order denying class certification
- held not appealable under collateral order doctrine, in
- part because such an order is -subject to revision in the
- District Court-).
- Moreover, the order denying the County Commission's
- summary judgment motion does not satisfy Cohen's
- requirement that the decision be effectively unreviewable
- after final judgment. When we placed within the
- collateral order doctrine decisions denying pleas of
- government officials for qualified immunity, we stressed
- that an official's qualified immunity is -an immunity
- from suit rather than a mere defense to liability; and
- like an absolute immunity, it is effectively lost if a case
- is erroneously permitted to go to trial.- Mitchell, 472
- U. S., at 526 (emphasis in original).
- The County Commission invokes our decision in
- Monell, which held that municipalities are liable under
- 1983 only for violations of federal law that occur
- pursuant to official governmental policy or custom.
- Monell, the Commission contends, should be read to
- accord local governments a qualified right to be free
- from the burdens of trial. Accordingly, the Commission
- maintains, the Commission should be able to appeal
- immediately the District Court's denial of its summary
- judgment motion. This argument undervalues a core
- point we reiterated last Term: -1291 requires courts of
- appeals to view claims of a `right not to be tried' with
- skepticism, if not a jaundiced eye,- Digital Equipment,
- 511 U. S., at ___ (slip op., at 10), for -virtually every
- right that could be enforced appropriately by pretrial
- dismissal might loosely be described as conferring a
- `right not to stand trial.'- Id., at ___ (slip op., at 9); cf.
- United States v. MacDonald, 435 U. S. 850, 858-859
- (1978) (denial of pretrial motion to dismiss an indict-
- ment on speedy trial grounds held not appealable under
- collateral order doctrine).
- The Commission's assertion that Sheriff Morgan is not
- its policymaker does not rank, under our decisions, as
- an immunity from suit. Instead, the plea ranks as a
- -mere defense to liability.- Mitchell, 472 U. S., at 526.
- An erroneous ruling on liability may be reviewed
- effectively on appeal from final judgment. Therefore, the
- order denying the County Commission's summary
- judgment motion was not an appealable collateral order.
-
- III
- Although the Court of Appeals recognized that the
- District Court's order denying the County Commission's
- summary judgment motion was not appealable as a
- collateral order, the Circuit Court reviewed that ruling
- by assuming jurisdiction pendent to its undisputed
- jurisdiction to review the denial of the individual
- defendants' summary judgment motions. Describing this
- -pendent appellate jurisdiction- as discretionary, the
- Eleventh Circuit concluded that judicial economy
- warranted its exercise in the instant case: -If the County
- Commission is correct about the merits in its appeal,-
- the court explained, -reviewing the district court's order
- would put an end to the entire case against the County
- . . . .- 5 F. 3d, at 1450.
- Petitioners join respondent Chambers County Commis-
- sion in urging that the Eleventh Circuit had pendent
- appellate jurisdiction to review the District Court's order
- denying the Commission's summary judgment motion.
- Both sides emphasize that 1291's final decision require-
- ment is designed to prevent parties from interrupting
- litigation by pursuing piecemeal appeals. Once litigation
- has already been interrupted by an authorized pretrial
- appeal, petitioners and the County Commission reason,
- there is no cause to resist the economy that pendent
- appellate jurisdiction promotes. See Supplemental Brief
- for Petitioners 16-17; Supplemental Brief for Respondent
- 5, 9. Respondent County Commission invites us to
- adopt a -`libera[l]'- construction of 1291, and petitioners
- urge an interpretation sufficiently -[p]ractical- and
- -[f]lexible- to accommodate pendent appellate review as
- exercised by the Eleventh Circuit. See Supplemental
- Brief for Respondent 4; Supplemental Brief for Petition-
- ers 14.
- These arguments drift away from the statutory
- instructions Congress has given to control the timing of
- appellate proceedings. The main rule on review of -final
- decisions,- 28 U. S. C. 1291, is followed by prescriptions
- for appeals from -interlocutory decisions,- 28 U. S. C.
- 1292. Section 1292(a) lists three categories of immedi-
- ately appealable interlocutory decisions. Of prime
- significance to the jurisdictional issue before us, Con-
- gress, in 1958, augmented the 1292 catalogue of
- immediately appealable orders; Congress added a
- provision, 1292(b), according the district courts circum-
- scribed authority to certify for immediate appeal inter-
- locutory orders deemed pivotal and debatable. Section
- 1292(b) provides:
- -When a district judge, in making in a civil action
- an order not otherwise appealable under this sec-
- tion, shall be of the opinion that such order involves
- a controlling question of law as to which there is
- substantial ground for difference of opinion and that
- an immediate appeal from the order may materially
- advance the ultimate termination of the litigation,
- he shall so state in writing in such order. The
- Court of Appeals which would have jurisdiction of
- an appeal of such action may thereupon, in its
- discretion, permit an appeal to be taken from such
- order, if application is made to it within ten days
- after the entry of the order: Provided, however, That
- application for an appeal hereunder shall not stay
- proceedings in the district court unless the district
- judge or the Court of Appeals or a judge thereof
- shall so order.-
- Congress thus chose to confer on district courts first line
- discretion to allow interlocutory appeals. If courts of
- appeals had discretion to append to a Cohen-authorized
- appeal from a collateral order further rulings of a kind
- neither independently appealable nor certified by the
- district court, then the two-tiered arrangement 1292(b)
- mandates would be severely undermined.
-
- Two relatively recent additions to the Judicial Code
- also counsel resistance to expansion of appellate jurisdic-
- tion in the manner endorsed by the Eleventh Circuit.
- The Rules Enabling Act, 28 U. S. C. 2071 et seq., gives
- this Court -the power to prescribe general rules of
- practice and procedure . . . for cases in the United
- States district courts . . . and courts of appeals.-
- 2072(a). In 1990, Congress added 2072(c), which
- authorizes us to prescribe rules -defin[ing] when a ruling
- of a district court is final for the purposes of appeal
- under section 1291.- Two years later, Congress added
- 1292(e), which allows us to -prescribe rules, in accord-
- ance with section 2072 . . . to provide for an appeal of
- an interlocutory decision to the courts of appeals that is
- not otherwise provided for under [1292] subsection (a),
- (b), (c), or (d).-
- Congress thus has empowered this Court to clarify
- when a decision qualifies as -final- for appellate review
- purposes, and to expand the list of orders appealable on
- an interlocutory basis. The procedure Congress ordered
- for such changes, however, is not expansion by court
- decision, but by rulemaking under 2072. Our
- rulemaking authority is constrained by 2073 and 2074,
- which require, among other things, that meetings of
- bench-bar committees established to recommend rules
- ordinarily be open to the public, 2073(c)(1), and that
- any proposed rule be submitted to Congress before the
- rule takes effect. 2074(a). Congress' designation of the
- rulemaking process as the way to define or refine when
- a district court ruling is -final- and when an interlocu-
- tory order is appealable warrants the Judiciary's full
- respect.
- Two decisions of this Court securely support the
- conclusion that the Eleventh Circuit lacked jurisdiction
- instantly to review the denial of the County Commis-
- sion's summary judgment motion: Abney v. United
- States, 431 U. S. 651 (1977), and United States v.
- Stanley, 483 U. S. 669 (1987). In Abney, we permitted
- appeal before trial of an order denying a motion to
- dismiss an indictment on double jeopardy grounds.
- Immediate appeal of that ruling, we held, fit within the
- Cohen collateral order doctrine. 431 U. S., at 662. But
- we further held that the Court of Appeals lacked
- authority to review simultaneously the trial court's
- rejection of the defendant's challenge to the sufficiency
- of the indictment. Id., at 662-663. We explained:
- -Our conclusion that a defendant may seek immedi-
- ate appellate review of a district court's rejection of
- his double jeopardy claim is based on the special
- considerations permeating claims of that nature
- which justify a departure from the normal rule of
- finality. Quite obviously, such considerations do not
- extend beyond the claim of formal jeopardy and
- encompass other claims presented to, and rejected
- by, the district court in passing on the accused's
- motion to dismiss. Rather, such claims are appeal-
- able if, and only if, they too fall within Cohen's
- collateral-order exception to the final-judgment rule.
- Any other rule would encourage criminal defendants
- to seek review of, or assert, frivolous double jeop-
- ardy claims in order to bring more serious, but
- otherwise nonappealable questions to the attention
- of the courts of appeals prior to conviction and
- sentence.- Id., at 663 (citation omitted).
- Petitioners suggest that Abney should control in criminal
- cases only. Supplemental Brief for Petitioners 11. But
- the concern expressed in Abney-that a rule loosely
- allowing pendent appellate jurisdiction would encourage
- parties to parlay Cohen-type collateral orders into multi-
- issue interlocutory appeal tickets-bears on civil cases as
- well.
- In Stanley, we similarly refused to allow expansion of
- the scope of an interlocutory appeal. That civil case
- involved an order certified by the trial court, and
- accepted by the appellate court, for immediate review
- pursuant to 1292(b). Immediate appellate review, we
- held, was limited to the certified order; issues presented
- by other, noncertified orders could not be considered
- simultaneously. 483 U. S., at 676-677.
- The parties are correct that we have not universally
- required courts of appeals to confine review to the
- precise decision independently subject to appeal. See,
- e.g., Thornburgh v. American College of Obstetricians
- and Gynecologists, 476 U. S. 747, 755-757 (1986) (court
- of appeals reviewing district court's ruling on prelimi-
- nary injunction request properly reviewed merits as
- well); Eisen v. Carlisle & Jacquelin, 417 U. S. 156,
- 172-173 (1974) (court of appeals reviewing district
- court's order allocating costs of class notification also
- had jurisdiction to review ruling on methods of notifica-
- tion); Chicago, R. I. & P. R. Co. v. Stude, 346 U. S. 574,
- 578 (1954) (court of appeals reviewing order granting
- motion to dismiss properly reviewed order denying
- opposing party's motion to remand); Deckert v. Indepen-
- dence Shares Corp., 311 U. S. 282, 287 (1940) (court of
- appeals reviewing order granting preliminary injunction
- also had jurisdiction to review order denying motions to
- dismiss). Cf. Schlagenhauf v. Holder, 379 U. S. 104,
- 110-111 (1964) (court of appeals exercising mandamus
- power should have reviewed not only whether district
- court had authority to order mental and physical
- examinations of defendant in personal injury case, but
- also whether there was good cause for the ordered
- examinations).
- We need not definitively or preemptively settle here
- whether or when it may be proper for a court of appeals
- with jurisdiction over one ruling to review, conjunctively,
- related rulings that are not themselves independently
- appealable. See supra, at 12-13 (describing provisions
- by Congress for rulemaking regarding appeals prior to
- the district court's final disposition of entire case). The
- parties do not contend that the District Court's decision
- to deny the Chambers County Commission's summary
- judgment motion was inextricably intertwined with that
- court's decision to deny the individual defendants'
- qualified immunity motions, or that review of the former
- decision was necessary to ensure meaningful review of
- the latter. Cf. Kanji, The Proper Scope of Pendent
- Appellate Jurisdiction in the Collateral Order Context,
- 100 Yale L. J. 511, 530 (1990) (-Only where essential to
- the resolution of properly appealed collateral orders
- should courts extend their Cohen jurisdiction to rulings
- that would not otherwise qualify for expedited consider-
- ation.-). Nor could the parties so argue. The individual
- defendants' qualified immunity turns on whether they
- violated clearly established federal law; the County
- Commission's liability turns on the allocation of law
- enforcement power in Alabama.
-
-
- * * *
- The Eleventh Circuit's authority immediately to review
- the District Court's denial of the individual police officer
- defendants' summary judgment motions did not include
- authority to review at once the unrelated question of the
- County Commission's liability. The District Court's
- preliminary ruling regarding the County did not qualify
- as a -collateral order,- and there is no -pendent party-
- appellate jurisdiction of the kind the Eleventh Circuit
- purported to exercise. We therefore vacate the relevant
- portion of the Eleventh Circuit's judgment, and remand
- for proceedings consistent with this opinion.
-
- It is so ordered.
-