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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. 94-455
- --------
- TYSON JOHNSON, et al., PETITIONERS v.
- HOUSTON JONES
- on writ of certiorari to the united states court
- of appeals for the seventh circuit
- [June 12, 1995]
-
- 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 judg-
- ment. 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.
-
- I
- 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 exces-
- sive 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 improp-
- erly 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 dis-
- missed their appeal.
- 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, 502 U. S. 1074, 1121 (1992); Crawford-El
- v. Britton, 951 F. 2d 1314, 1317 (CADC 1991) (same),
- with Unwin v. Campbell, 863 F. 2d 124, 128 (CA1 1988)
- (saying that appellate jurisdiction does exist); Turner v.
- Dammon, 848 F. 2d 440, 444 (CA4 1988) (same); Kelly
- v. Bender, 23 F. 3d 1328, 1330 (CA8 1994) (same);
- Burgess v. Pierce County, 918 F. 2d 104, 106, and n. 3
- (CA9 1990) (per curiam) (same); Austin v. Hamilton, 945
- F. 2d 1155, 1157, 1162-1163 (CA10 1991) (same). We
- therefore granted certiorari. 513 U. S. ____ (1995).
-
- II
- A
- 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 proceed-
- ings. 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
- trial simply proceeded, would have turned out to be
- unnecessary. See Richardson-Merrell Inc. v. Koller, 472
- U. S. 424, 430 (1985); Flanagan v. United States, 465
- U. S. 259, 263-264 (1984); Firestone Tire & Rubber Co.
- v. Risjord, 449 U. S. 368, 374 (1981).
- 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 empow-
- ered 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.,
- 337 U. S. 541 (1949), this Court held that certain so-
- called collateral orders amount to -final decisions,-
- immediately appealable under the here-relevant statute,
- 28 U. S. C. 1291, even though the district court may
- have entered those orders before (perhaps long before)
- the case has ended. These special -collateral orders-
- were those that fell within
- -that small class which finally determine claims of
- right separable from, and collateral to, rights
- asserted in the action, too important to be denied
- review and too independent of the cause itself to
- require that appellate consideration be deferred until
- the whole case is adjudicated.- Cohen, supra, at
- 546.
- More recently, this Court has restated Cohen as requir-
- ing that the order -`[1] conclusively determine the
- disputed question, [2] resolve an important issue
- completely separate from the merits of the action, and
- [3] be effectively unreviewable on appeal from a final
- judgment.'- Puerto Rico Aqueduct and Sewer Authority
- v. Metcalf & Eddy, Inc., 506 U. S. ____, ____ (1993) (slip
- op., at 5) (brackets in original) (quoting Coopers &
- Lybrand v. Livesay, 437 U. S. 463, 468 (1978)).
- In determining which -collateral orders- amount to
- -final decisions,- these requirements help qualify for
- immediate appeal classes of orders in which the consid-
- erations that favor immediate appeals seem compara-
- tively 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 immediate-
- ly 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 -conclu-
- sively 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 approxi-
- mately 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
- proceedings might continue while the appeal is pending).
- Id., at 333-334.
- Third, in Mitchell v. Forsyth, 472 U. S. 511 (1985),
- this Court held that a district court's order denying a
- defendant's motion for summary judgment was an
- immediately appealable -collateral order- (i.e., a -final
- decision-) under Cohen, where (1) the defendant was a
- public official asserting a defense of -qualified immu-
- nity,- and (2) the issue appealed concerned, not which
- facts the parties might be able to prove, but, rather,
- whether or not certain given facts showed a violation of
- -clearly established- law. Id., at 528; see Harlow v.
- Fitzgerald, 457 U. S. 800, 818 (1982) (holding that
- public officials are entitled to a -qualified immunity-
- from -liability for civil damages insofar as their conduct
- does not violate clearly established . . . rights of which
- a reasonable person would have known-). Applying
- Cohen's criteria, the Mitchell Court held that this kind
- of summary judgment order was, in a sense, -effectively
- unreviewable,- for review after trial would come too late
- to vindicate one important purpose of -qualified immu-
- nity--namely, protecting public officials, not simply
- from liability, but also from standing trial. Mitchell,
- supra, at 525-527. For related reasons, the Court found
- that the order was conclusive, i.e., it -conclusively-
- settled the question of the defendant's immunity from
- suit. 472 U. S., at 527.
- The Court in Mitchell found more difficult the -separa-
- bility- 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:
- -it follows from the recognition that qualified immu-
- nity is in part an entitlement not to be forced to
- litigate the consequences of official conduct that a
- claim of immunity is conceptually distinct from the
- merits of the plaintiff's claim that his rights have
- been violated.- Mitchell, supra, at 527-528 (empha-
- sis added).
- And, the Court said that this -conceptual distinctness-
- made the immediately appealable issue -separate- from
- the merits of the plaintiff's claim, in part because an
- -appellate court reviewing the denial of the defend-
- ant's claim of immunity need not consider the
- correctness of the plaintiff's version of the facts, nor
- even determine whether the plaintiff's allegations
- actually state a claim. All it need determine is a
- question of law: whether the legal norms allegedly
- violated by the defendant were clearly established at
- the time of the challenged actions or, in cases where
- the district court has denied summary judgment for
- the defendant on the ground that even under the
- defendant's version of the facts the defendant's
- conduct violated clearly established law, whether the
- law clearly proscribed the actions the defendant
- claims he took.- Id., at 528 (footnote omitted).
-
- B
- 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
- 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.- 472 U. S., at 530 (emphasis added). It
- -emphasize[d] . . . that the appealable issue is a purely
- legal one: whether the facts alleged (by the plaintiff, or,
- in some cases, the defendant) support a claim of viola-
- tion of clearly established law.- Id., at 528, n. 9. It
- distinguished precedent not permitting interlocutory
- appeals on the ground that -a qualified immunity ruling
- . . . is . . . a legal issue that can be decided with
- reference only to undisputed facts and in isolation from
- the remaining issues of the case.- Id., at 530, n. 10.
- And, it explained its separability holding by saying that
- -[a]n appellate court reviewing the denial of the defend-
- ant's claim of immunity need not consider the correct-
- ness of the plaintiff's version of the facts.- Id., at 528.
- Although there is some language in the opinion that
- sounds as if it might imply the contrary, it does not do
- so when read in context. See, e.g., id., at 526 (referring
- to defendant's entitlement to summary judgment, not to
- appealability, by saying that -defendant is entitled to
- summary judgment if discovery fails to uncover evidence
- sufficient to create a genuine issue-).
- Second, consider, in the context of an -evidence
- sufficiency- claim, Cohen's conceptual theory of appeal-
- ability-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
- 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.- 472 U. S., at 527.
- It held that this was so because, although sometimes
- practically intertwined with the merits, a claim of
- immunity nonetheless raises a question that is signifi-
- cantly different from the questions underlying plaintiff's
- claim on the merits (i.e., in the absence of qualified
- immunity). Id., at 528.
- 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., 477 U. S. 242, 248 (1986) (district court's
- task, in deciding whether there is a -genuine- issue of
- fact, is to determine -if the evidence is such that a
- reasonable jury could return a verdict for the nonmoving
- party-); see also Elliott v. Thomas, 937 F. 2d, at 341
- (-whether the defendants did the deeds alleged . . . is
- precisely the question for trial-) (emphasis in original),
- cert. denied, 502 U. S. 1074, 1121 (1992); Wright v.
- South Arkansas Regional Health Center, Inc., 800 F. 2d
- 199, 203 (CA8 1986) (saying that this question -is . . .
- less clearly separable from the merits- than the question
- in Mitchell); see also Brief for United States 18 (-[i]n
- one sense, a ruling regarding the sufficiency of the
- evidence is closely intertwined with the merits-).
- It has been suggested that Mitchell implicitly recog-
- nized 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]
- 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 appeal-
- ability. 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, 417 U. S. 156, 171 (1974)
- (quoting Dickinson v. Petroleum Conversion Corp., 338
- U. S. 507, 511 (1950)). And, those considerations, which
- we discussed above in Part II-A, argue against extend-
- ing Mitchell to encompass orders of the kind before us.
- 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, 487 U. S. 552, 560-561 (1988); id.,
- at 584 (White, J., concurring in part and dissenting in
- part) (noting that the -special expertise and experience
- of appellate courts- lies in -assessing the relative force
- of . . . applications of legal norms-) (internal quotation
- marks omitted). And, to that extent, interlocutory ap-
- peals are less likely to bring important error-correcting
- benefits here than where purely legal matters are at
- issue, as in Mitchell. Cf. Richardson-Merrell, 472 U. S.,
- at 434 (stating that the fact that -[m]ost pretrial
- orders [of the kind there at issue] are ultimately
- affirmed by appellate courts- militated against immedi-
- ate appealability).
- 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 contro-
- versies 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 concern-
- ing 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 in
- duplicating investigations of the same facts on successive
- appeals-).
- The upshot is that, compared with Mitchell, consider-
- ations 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 Peti-
- tioners 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 counter-
- vailing considerations that we have mentioned (prece-
- dent, 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.
-
- C
- We mention one final point. Petitioners argue that
- our effort to separate reviewable from unreviewable
- summary judgment determinations will prove unwork-
- able. First, they say that the parties can easily manipu-
- late our holding. A defendant seeking to create a
- 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 partici-
- pated 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 jurisdic-
- tion 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.
- 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, 477 U. S., at 250, n. 6,
- district courts presumably will often state those facts.
- But, if they do not, we concede that a court of appeals
- may have to undertake a cumbersome review of the
- record to determine what facts the district court, in the
- light most favorable to the nonmoving party, likely
- assumed. Regardless, this circumstance does not make
- a critical difference to our result, for a rule that occa-
- sionally requires a detailed evidence-based review of the
- record is still, from a practical point of view, more
- manageable than the rule that petitioners urge us to
- adopt. The petitioners' approach would make that task,
- not the exception, but the rule. We note, too, that our
- holding here has been the law in several circuits for
- some time. See supra, at 3. Yet, petitioners have not
- pointed to concrete examples of the unmanageability
- they fear.
-
- III
- 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
- Affirmed.
-