No. 98-507
In the Supreme Court of the United States
OCTOBER TERM, 1998
JAMES SNYDER, PETITIONER
v.
SIDNEY TREPAGNIER
AND CITY OF NEW ORLEANS
ON WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE FIFTH CIRCUIT
BRIEF FOR THE UNITED STATES
AS AMICUS CURIAE SUPPORTING RESPONDENT
SETH P. WAXMAN
Solicitor General
Counsel of Record
BARBARA D. UNDERWOOD
Deputy Solicitor General
DAVID W. OGDEN
Acting Assistant Attorney General
JEFFREY A. LAMKEN
Assistant to the Solicitor General
BARBARA L. HERWIG
RICHARD A. OLDERMAN
Attorneys
Department of Justice
Washington, D.C. 20530-0001
(202) 514-2217
QUESTIONS PRESENTED
1. Whether a jury finding that an officer violated the Fourth Amendment
to the Constitution by using excessive force necessarily precludes a finding
of qualified immunity, so as to make such dual findings irreconcilable.
2. Whether a reviewing court may reconcile apparent inconsistencies in special
jury verdicts despite possible defects in special interrogatories submitted,
by determining whether, upon review of the entire record, the verdict as
a whole was reasonable and supported by the evidence.
In the Supreme Court of the United States
OCTOBER TERM, 1998
No. 98-507
JAMES SNYDER, PETITIONER
v.
SIDNEY TREPAGNIER
AND CITY OF NEW ORLEANS
ON WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE FIFTH CIRCUIT
BRIEF FOR THE UNITED STATES
AS AMICUS CURIAE SUPPORTING RESPONDENT
INTEREST OF THE UNITED STATES
This Court granted certiorari to decide whether the determination that a
law enforcement officer violated the Fourth Amendment by using excessive
force "necessarily precludes" the officer from being entitled
to qualified immunity. The United States has a strong interest in that question
because qualified immunity issues arise when federal employees are sued
for allegedly using excessive force in violation of the Fourth Amendment
under Bivens v. Six Unknown Named Agents of Federal Bureau of Narcotics,
403 U.S. 388 (1971), and because the United States has enforcement obligations
with respect to and an interest in the faithful application of the nation's
civil rights laws.
STATEMENT
This case arises out of a jury verdict determining that, although respondent
New Orleans Police Officer Sidney Trepagnier violated petitioner James Snyder's
constitutional rights by using deadly force that left Snyder paralyzed from
the waist down, Officer Trepagnier was entitled to qualified immunity nonetheless.
1. Some of the relevant facts are not in dispute. Shortly after being released
from prison, petitioner and his former cellmate, Todd Taylor, began a trip
down the coast from Pennsylvania in a stolen Pontiac. Tr. 665-666, 668,
899. Petitioner testified that, because he and Taylor lacked funds for the
trip, it was necessary to commit crimes along the way. Tr. 907. Together,
petitioner (who has only one arm) and Taylor attempted to rob a truck stop,
burglarized a home, stole a woman's pocketbook and credit cards, and committed
a number of minor larcenies (such as stealing gasoline for the car). Tr.
665-669, 670, 906-913.1
As Taylor and petitioner drove through Louisiana, they passed New Orleans
Police Officer Joseph Valenti. Tr. 826-827. Because Valenti clocked the
Pontiac at over 80 miles an hour, he activated the lights on his patrol
car and pulled up behind the Pontiac. Tr. 827-828. Petitioner and Taylor,
however, attempted to outrun the patrol car, and a high-speed (110 mph)
chase ensued. Tr. 828-829. Petitioner testified that, although he initially
told Taylor to stop the car (apparently in the hope that he could escape
more safely on foot, Tr. 671, 926-929), he admitted that he told Taylor,
"Get the hell out of here," and that Taylor had "speeded
up trying to lose the police officer" in response, Tr. 671.
Officer Valenti radioed for assistance, and Officer Trepagnier joined the
pursuit. Tr. 672, 829-830. The car chase ended when Taylor, at petitioner's
direction, drove down an off-ramp that led nowhere, and Trepagnier passed
them to prevent them from re-entering the highway. Tr. 831-833. Trapped,
petitioner and Taylor jumped out of the car and ran toward a swampy, wooded
area. Tr. 672, 833. The events that followed were the subject of conflicting
testimony and sharp dispute.
a. Although petitioner denied having a gun, Officer Valenti, whose car was
just behind the Pontiac when petitioner jumped out, and Officer Trepagnier,
whose car was just ahead of the Pontiac, both testified that they saw petitioner
holding a handgun as he got out of the car. Tr. 749, 751, 790-792, 834.
Petitioner's accomplice, Taylor, also said (in a videotaped deposition played
for the jury, Tr. 209, 214) that he saw a gun in petitioner's hand as petitioner
ran out of the car; at an earlier deposition, however, he had denied that
either of them had guns. Compare Aug. 17, 1995, Dep. 20, with Aug. 30, 1994,
Dep. 100.
According to Trepagnier and Valenti, they then chased petitioner and Taylor
through trees, thick brush, and deep mud. Tr. 751, 838. At various places,
the mud was either knee, thigh, or hip deep; and a person who stood still
would sink deeper.2 One officer described the area as the muddy equivalent
of "quicksand," Tr. 277; a paramedic testified that he "would
sink into this mud up to [his] waist, sometimes almost to [his] chest,"
Tr. 315; and a crime scene investigator testified that other officers carried
her in and out because she was unable to walk in the deep mud, Tr. 254.
Officer Trepagnier testified that, as he stumbled through the swamp, he
heard a shot from the direction where petitioner and Taylor were running.
Tr. 752, 792, 797. Officer Valenti, who testified that he had become separated
from everyone else, also testified that he heard gunfire. Tr. 834, 851.
Shortly after hearing the gunfire and regaining his footing, Officer Trepagnier
looked up and saw petitioner ahead of him in a clearing. Petitioner, bogged
down in deep mud, was making little progress. Tr. 752; see also Tr. 753
(petitioner was "still trying his best to get out of that muck and
mire" but had "slowed down to almost a halt"). Petitioner
agreed that, as Trepagnier came upon him, he was "stuck in the mud
up to [his] nose," Tr. 931, or his "knees," Tr. 672.
Trepagnier ran toward petitioner from behind. According to Trepagnier: "[I]t
was my intention to just take my left hand and push [petitioner] down"
into the mud "and disarm him with my right hand." Tr. 752; see
Tr. 801. However, Trepagnier testified that, as he got within arm's reach,
petitioner began "coming around with the gun" to shoot him. Tr.
803. In Trepagnier's words:
As I got close enough to do this, to push him down, he peeked over his right
shoulder and saw me coming. When he did that, he started around with his
weapon in my direction. When he did that, I pulled my revolver and fired
one shot, striking [petitioner] in the back.
Tr. 752-753; see also Tr. 795, 801. As petitioner fell forward, Officer
Trepagnier fell forward on top of him, "pushing [petitioner's] arm
down in the mud and water." Tr. 756, 803. Although Trepagnier had been
a police officer for about a decade, he had never before discharged his
gun in the line of duty. Tr. 720, 780, 820.
Officer Valenti, who at that point was also running through knee-deep mud,
then entered the clearing where he spotted petitioner, Trepagnier, and Taylor.
Tr. 838-839. Trepagnier was on top of petitioner, and Taylor was 25 to 30
yards beyond them, struggling in deep mud. Ibid. Weapon drawn, Valenti ordered
Taylor to freeze and-wading into deeper mud-approached Taylor and handcuffed
him. Tr. 839-840. Valenti testified that, because he noticed water and mud
splashing over petitioner's wound as petitioner lay on his stomach, he and
Trepagnier moved petitioner about six feet onto more solid ground; they
also radioed for medical assistance. Tr. 759-762, 808, 841.
Assistance arrived quickly but, because of the deep mud, it took eight to
ten people about half-an-hour to carry petitioner from where he was lying
to the ambulance. Tr. 315, 329. The New Orleans Police Department "Dive
Team" also arrived, and began searching for petitioner's gun. The head
of the dive team testified that, because the area was mostly covered by
deep mud, it was not possible to use scuba gear for the search. Tr. 262,
271, 283. Nonetheless, he and his team attempted to conduct a pattern search,
by hand, through the knee and waist-deep mud; ultimately, however, they
concluded that the mud made searching futile. Tr. 278-279. It was impossible
to see where anyone had been or stepped because the moment a person took
a step, the area where his foot had been would fill up with mud and water.
Tr. 283-284. The searchers, moreover, were sinking down into the mud, impeding
their efforts. Ibid. As a result, the search was eventually called off,
and the gun was never found. Tr. 278-279.3 Before the dive team arrived,
however, other officers recovered petitioner's cigarettes and a pair of
sunglasses in the general area where petitioner had been shot. Tr. 237,
241-242. A few empty bullet casings also were found some distance away,
but those were summarily dismissed as unrelated to the shooting. Tr. 248-250,
868.
b. Petitioner's version of the events was entirely different. Petitioner
agreed that, as Officer Trepagnier came upon him, he was bogged down in
the mud and unable to proceed. Tr. 672, 931. Petitioner testified, however,
that he did not have a gun, that he was no longer attempting to escape when
Officer Trepagnier came upon him, and that he made no hostile movements.
According to petitioner, once he became stuck in the mud, he saw Officer
Valenti approaching from the left, pointing a gun at him, and he saw Officer
Trepagnier approaching from the left and behind. Tr. 672, 934. At that point,
petitioner testified, he "put [his one] hand up, sat down, and laid
over on [his] side." Tr. 934; see Tr. 672 ("So I just sat down
and laid down.").
Petitioner testified that Trepagnier then used him as a hostage to force
Taylor to surrender:
[Trepagnier] ran up, straddled me, put his left hand on my side and a gun
on my head and yelled at [Taylor] "If you don't come back, I'm going
to shoot him." I said, "Keep running. He can't shoot me. I don't
have a gun."
Tr. 934-935; see Tr. 672-673. Petitioner further testified that, although
Taylor started to come back, Trepagnier kept "screaming and hollering."
Tr. 673, 942, 944. Petitioner claimed that Trepagnier carried on in that
manner, with a gun to petitioner's head, for about five minutes. Tr. 940,
942, 946.
According to petitioner, Trepagnier then moved his gun down petitioner's
back, and asked petitioner why he had run. Tr. 673, 946-947. Petitioner
replied "I'm wanted in Pennsylvania." Tr. 673. "The next
thing I knew," petitioner testified, "he shot me in the back."
Tr. 673; see also Tr. 946-947 ("I told him that I was wanted in * *
* Pennyslvania, and that's when he shot me in my back."). In sum, it
was petitioner's theory that Officer Trepagnier, "enraged" by
the high speed chase, had "snapp[ed]," shooting petitioner in
the back for no good reason. Tr. 945; see also Tr. 981-982 (argument of
plaintiff's counsel). Petitioner testified that, as he lay in the mud, he
remembered Trepagnier radioing for medical assistance. Tr. 674.4
Because of the shooting, petitioner is paralyzed from the waist down, and
will be confined to a wheelchair for life.
2. After the close of evidence and the arguments of counsel, the district
court instructed the jury on, among other things, excessive use of force,
qualified immunity, and assault and battery under Louisiana law. (Relevant
portions are reproduced in the Appendix to this brief.)
With respect to excessive force, the court did not make it clear that, where
an officer reasonably believes that the suspect is armed and poses a threat,
the use of deadly force may be constitutionally permissible, even if it
later turns out that the suspect was unarmed. To the contrary, the court
admonished the jury: "[Y]ou are instructed, even if an officer has
probable cause to chase, apprehend and/or arrest the subject, the use of
deadly force to apprehend a fleeing subject who is not armed with a weapon
and presents no threat of immediate bodily harm violates that subject's
constitutional rights." Tr. 1032 (emphasis added). In contrast, the
jury was instructed that, in determining qualified immunity, it should view
the facts as they appeared to the officer at the time: "[I]f, * * *
after considering all of the circumstances of the case as they would have
reasonably appeared at the time, you find from a preponderance of the evidence
that [Trepagnier] had a reasonable and good faith belief that his actions
would not violate the plaintiff's constitutional rights, then you cannot
find him liable even if the plaintiff's rights were, in fact, violated."
Ibid. (emphasis added).
To the question "Do you find that Officer Sidney Trepagnier deprived
[petitioner] of his constitutional rights by using excessive force in arresting
him?" the jury answered "yes." Pet. App. A27. To the question
"Do you find that Officer Sidney Trepagnier had a reasonable belief
that his actions would not violate [petitioner's] constitutional rights?"
the jury also answered "yes." Ibid. To the question whether Officer
Trepagnier had committed an assault and battery under Louisiana law, the
jury answered "no." Id. at A28. Judgment was entered on the verdicts,
and petitioner and the City of New Orleans both appealed.
3. The court of appeals affirmed in relevant part,5 rejecting petitioner's
contention that the jury's excessive force and immunity determinations were
irreconcilable. Consistent with Fifth Circuit precedent, the majority held
that "[t]here is no inherent conflict between a finding of excessive
force and a finding of qualified immunity." Pet. App. A18. "[I]t
is possible for the jury to find that, although the actual circumstances
* * * did not justify the officer's behavior, the circumstances that appeared
to the officer would have justified" the conduct, the majority wrote.
Id. at A19 (quoting Melear v. Spears, 862 F.2d 1177, 1188 (5th Cir. 1989)
(Higginbotham, J., concurring)). The majority then reconciled any apparent
inconsistency in the jury's answers by concluding that the jury must have
found that "Trepagnier reasonably believed that [petitioner] had a
gun," so that "given the 'uncertain facts' Trepagnier possessed,"
it could not be said that he knew he was violating petitioner's rights.
Pet. App. A20.
Judge DeMoss dissented. In this case, he argued, the critical issue was
whether petitioner had a gun, and the interrogatory failed to provide an
answer to that question. Pet. App. A22. Immunity was not possible under
these circumstances, he continued, because "absent some lawful justification,
no reasonable police officer could reasonably believe that shooting a suspect
in the back from a distance of six to ten inches would not violate that
individual's constitutional rights." Id. at A23. Petitioner's petition
for rehearing was denied. Id. at A41-A42.
SUMMARY OF ARGUMENT
When there is no uncertainty about the legal standard governing a law enforcement
officer's use of force, or its application to particular facts, a determination
that the officer used excessive force is tantamount to a finding that the
officer could not have reasonably believed such force was justified. In
such a case, a finding of liability precludes a finding of immunity. When
there is such uncertainty, however, so that an officer could reasonably
believe he was entitled to use the force at issue, even though a court might
subsequently determine he was not, a finding of liability would not preclude
a finding of immunity. In other words, findings of immunity and excessive
force are ordinarily reconcilable if the factfinder could have determined
that the force used was not permissible, but that it was sufficiently close
to an unclear constitutional boundary that reasonable officers could have
disagreed.
This case does not present a suitable record for considering general principles
governing the relationship between liability and immunity in the excessive
force context because an erroneous liability instruction made the determinations
of excessive force and immunity easy to reconcile. The jury in this case
was instructed to find a constitutional violation if petitioner in fact
was not armed when he was shot, whether or not the officer had a reasonable
belief that petitioner was armed. The instructions also indicated, however,
that if the officer had a reasonable but mistaken belief that petitioner
was armed and threatening, it should enter a verdict of immunity. As a result,
the verdicts in this case are easily reconciled the way the Fifth Circuit
reconciled them-as reflecting the jury's judgment that Officer Trepagnier
reasonably but mistakenly believed that petitioner still had a gun at the
time of the shooting. Indeed, that conclusion is consistent with the factual
record, the strategy of counsel, and the jury's finding of no assault and
battery under Louisiana law. Accordingly, the judgment of the court of appeals
should be affirmed, or the Court may wish to consider dismissing the writ
of certiorari as improvidently granted.
ARGUMENT
THE DETERMINATION THAT AN OFFICER USED EXCESSIVE FORCE DOES NOT NECESSARILY
PRECLUDE QUALIFIED IMMUNITY
The determination that an officer used excessive force may preclude a finding
that the officer was entitled to qualified immunity, but it does not always
or necessarily do so. Because an officer may be entitled to immunity even
for unlawful conduct if the unlawfulness of his conduct was not "clearly
established" and thus obvious at the time he acted, there is no necessary
inconsistency between a finding of excessive force and a decision that the
officer is entitled to qualified immunity. But the two findings are inconsistent
where both the legal standard and the result of its application to any state
of facts the jury reasonably could find is clear, which may often be true
in cases involving the use of deadly force.
In this case, however, the way in which the jury was instructed makes the
findings of excessive force and immunity easy to reconcile-without regard
to the answer to the question presented, and without reference to relevant
immunity and Fourth Amendment principles. In particular, the instructions
would have led ordinary jurors to believe, erroneously, that it violates
the Fourth Amendment to use deadly force on an unarmed individual, even
if the officer mistakenly but reasonably believes the individual to be armed
and threatening. Because the immunity instruction appropriately permitted
the jury to take any such mistaken but reasonable belief into account in
determining immunity, however, the error harmed neither petitioner nor Trepagnier,
and the special verdict can be reconciled regardless of the answer to the
question presented.
A. The Qualified Immunity Inquiry Is Distinct From The Excessive Force Inquiry
Where There Is Uncertainty About The Governing Legal Standard Or Its Application
To Particular Facts
1. In Harlow v. Fitzgerald, 457 U.S. 800, 818 (1982), this Court held that
qualified immunity precludes a government official from being held liable
for unconstitutional conduct unless the official violates "clearly
established statutory or constitutional rights of which a reasonable person
would have known." Building on Harlow and its predecessors, in Malley
v. Briggs, 475 U.S. 335, 343 (1986), the Court observed that qualified immunity
leaves "ample room for mistaken" but nonetheless reasonable "judgments"
regarding the requirements of law. Even where an officer errs and violates
the Constitution, immunity shields the officer from liability unless "on
an objective basis, it is obvious that no reasonably competent officer would
have concluded" that the actions were constitutional. Id. at 341. "[I]f
officers of reasonable competence could disagree on this issue, immunity
should be recognized." Ibid.
In Anderson v. Creighton, 483 U.S. 635, 639 (1987), this Court clarified
that the immunity inquiry must be made on a particularized level, and that
immunity may not be denied simply because "the relevant 'legal rule'"
was "clearly established" at a higher "level of generality,"
e.g., because the right to due process under law was "clearly established."
483 U.S. at 640. Instead:
[O]ur cases establish that the right the official is alleged to have violated
must have been "clearly established" in a more particularized,
and hence more relevant, sense: The contours of the right must be sufficiently
clear that a reasonable official would understand that what he is doing
violates that right. This is not to say that an official action is protected
by qualified immunity unless the very action in question has previously
been held unlawful * * * but it is to say that in the light of pre-existing
law the unlawfulness [of the officer's action] must be apparent.
483 U.S. at 640 (emphasis added).
Under Anderson and Malley, the excessive force inquiry is not necessarily
identical to the immunity inquiry. The excessive force inquiry requires
the decisionmaker to apply its best understanding of current law to determine
whether the officer's conduct was "reasonable." The immunity inquiry,
however, asks whether, even if the officer's use of force was objectively
excessive and therefore unconstitutional, the officer might nonetheless
be immune from liability because the law or its application to the specific
facts confronted by the officer did not at that time clearly establish that
"what he [was] doing" violated the plaintiff's rights. Anderson,
483 U.S. at 640. In other words, even if the jury concludes that the conduct
was unreasonable, the officer is entitled to immunity if "officers
of reasonable competence could [have] disagree[d]" with that conclusion
at the time the officer acted. Malley, 475 U.S. at 343.
2. Proposing the opposite view, petitioner and his amicus point out that
the excessive force and qualified immunity inquiries have much in common.
Pet. Br. 19-20; Amicus Curiae American Civil Liberties Union, et al. Br.
(ACLU Br.) 10-18. In particular, they note that both the Fourth Amendment
and the qualified immunity inquiry must be made from the perspective of
a reasonable officer on the scene, Graham v. Connor, 490 U.S. 386, 397 (1989);
that both make allowance "for the fact that police officers are often
forced to make split-second judgments" under "circumstances that
are tense, uncertain, and rapidly evolving," ibid.; and that because
both inquiries are objective, the officer's actual or subjective motivation
or state of mind is irrelevant, see Ohio v. Robinette, 519 U.S. 33, 38 (1996);
Harlow, 457 U.S. at 817-818.
The similarity between the inquiries is further reinforced by the fact that
both allow room for reasonable factual errors, and are based on the circumstances
as a reasonable officer could have perceived them, even if that perception
turns out to have been mistaken. Compare Maryland v. Garrison, 480 U.S.
79, 87 (1987) (Because "probability, not certainty, is the touchstone
of reasonableness under the Fourth Amendment," Hill v. California,
401 U.S. 797, 804 (1971), the Fourth Amendment allows "for honest mistakes.");
Illinois v. Rodriguez, 497 U.S. 177, 185-186 (1990) (similar), with Scheuer
v. Rhodes, 416 U.S. 232, 242 (1974) ("The concept of immunity"
itself "assumes" that errors occur but "goes on to assume
that it is better to risk some error and possible injury from such error
than not to decide or act at all."). Thus, "[e]ven where post-incident
review demonstrates that the force used was unnecessary"-such as where
the officer reasonably but mistakenly concluded that the suspect had a gun-"there
is no Fourth Amendment violation" and a fortiori no violation of clearly
established rights if the officer "reasonably believed the force used
was necessary." ACLU Br. 11.
The ACLU is mistaken, however, to rely on these similarities to conclude
that excessive force and qualified immunity inquiries are necessarily identical.
Qualified immunity takes into account one factor that the excessive force
inquiry does not-what a reasonable officer could have understood the requirements
of law to have been at the time he acted. As the Court explained in Malley,
where a defendant violates the Constitution, he "will not be immune
if, on an objective basis, it is obvious that no reasonably competent officer
would have concluded" that the conduct is lawful; "but if officers
of reasonable competence could disagree on this issue, immunity should be
recognized." 475 U.S. at 341. Put differently, immunity cannot be denied
unless the "contours of the right" were "sufficiently clear
that a reasonable official would understand that what he is doing violates
that right." Anderson, 483 U.S. at 640 (emphasis added). The "qualified
immunity standard" thus "'gives ample room for mistaken judgments'
by protecting 'all but the plainly incompetent or those who knowingly violate
the law.'" Hunter v. Bryant, 502 U.S. 224, 229 (1991) (per curiam)
(quoting Malley, 475 U.S. at 341, 343).
Consequently, there are obvious cases in which the results of the excessive
force and qualified immunity inquiries can diverge. For example, immunity
is unquestionably appropriate where the law changes after the officer acted,
making unlawful a use of force that previously could have been thought lawful.
See, e.g., Petta v. Rivera, 143 F.3d 895 (5th Cir. 1998) (per curiam) (immunity
appropriate where cases, since overruled, suggested at the time the officer
acted that the force was permissible). Likewise, immunity is appropriate
where the finding of excessive force rests on what is, in effect, a "new
rule" of constitutional law that a reasonable officer would not necessarily
have anticipated.6 Courts therefore may properly conclude that immunity
is appropriate where the finding of excessive force rests on a "new
rule" of Fourth Amendment law. See, e.g., Hammer v. Gross, 932 F.2d
842 (9th Cir.) (en banc) (officer's use of force to help nurse extract blood
for blood-alcohol test objectively unreasonable where plaintiff consented
to use of breath test, but immunity appropriate since officer was not required
to anticipate that rule), cert. denied, 502 U.S. 980 (1991).
Finally, even where the applicable legal standard is well-established, immunity
may be appropriate where the result of applying that standard to the particular
circumstances confronting the officer was not sufficiently "obvious"
in advance. In other words, even if the applicable legal formula or test
is clear, immunity should be denied only where "it is obvious that
no reasonably competent officer would have concluded" that application
of that standard to his conduct would show it to be unlawful. Malley, 475
U.S. at 341. Indeed, this Court's decision in Anderson v. Creighton, supra,
so holds, rejecting the contention that the clarity of the general standard
can by itself preclude immunity. Instead, the Court held, even where the
legal standard is well-articulated, "[t]he contours of" its application
"must be sufficiently clear that a reasonable official would understand
that what he is doing violates that right." 483 U.S. at 640 (emphasis
added). Consequently, in this context, "qualified immunity applies
unless application of the [excessive force] standard" or established
case law "would inevitably lead every reasonable officer * * * to conclude
the force was unlawful." Post v. City of Fort Lauderdale, 7 F.3d 1552,
1559 (11th Cir. 1993) (emphasis added).
3. As an alternative argument, petitioner's amicus emphasizes (ACLU Br.
12-13) that a finding of excessive force rests on the conclusion that a
hypothetical reasonable officer under the circumstances would not have used
the same type or degree of force that the defendant did. From that, amicus
goes on to argue that a finding of immunity is inconsistent with a finding
of excessive force, since immunity rests on the conclusion "that the
very same objectively reasonable officer could have believed that the force
was reasonable." ACLU Br. 12; see, e.g., Street v. Parham, 929 F.2d
537, 540-541 & n.2 (10th Cir. 1991) (similar); Smith v. Mattox, 127
F.3d 1416 (11th Cir. 1997) (per curiam) (similar).
This Court rejected that argument in Anderson v. Creighton. There, the plaintiffs
(like amicus here) argued that officers who violate the Fourth Amendment
by engaging in unreasonable conduct could not possibly be entitled to qualified
immunity, which protects objectively reasonable official action, because
it was "not possible * * * to say that one 'reasonably' acted unreasonably."
483 U.S. at 643. This Court rejected that argument as "unpersuasive,"
ibid., because it relies on the coincidence of language (the common use
of the word "reasonable") in the Fourth Amendment and the qualified
immunity inquiries. If the Fourth Amendment had been written to speak of
"undue" searches and seizures, the Court explained, the fallacy
of the argument would be apparent, even though the meaning of the Amendment
would be unchanged. Id. at 643-644. The Court continued:
[The argument's] surface appeal is attributable to the circumstance that
the Fourth Amendment's guarantees have been expressed in terms of "unreasonable"
searches and seizures. Had an equally serviceable term, such as "undue"
searches and seizures been employed, what might be termed the "reasonably
unreasonable" argument against application of Harlow to the Fourth
Amendment would not be available-just as it would be available against application
of Harlow to the Fifth Amendment if the term "reasonable process of
law" had been employed there. The fact is that, regardless of the terminology
used, the precise content of most of the Constitution's civil-liberties
guarantees rests upon an assessment of what accommodation between governmental
need and individual freedom is reasonable * * *. Law enforcement officers
whose judgments in making these difficult determinations are objectively
legally reasonable [although ultimately mistaken] should no more be held
personally liable in damages than should officials making analogous determinations
in other areas of law.
Ibid.
Although amicus (ACLU Br. 13-14) attempts to distinguish Anderson by pointing
out that Anderson itself involved a probable cause determination, the Court's
decision in Anderson did not turn on, and did not even discuss, any supposed
differences between "probable cause" and "reasonableness"
generally. To the contrary, it flatly rejected the very argument (that it
is "not possible * * * to say that one 'reasonably' acted unreasonably")
amicus attempts to resuscitate today. In any event, the excessive force
inquiry, because it "is not capable of precise definition or mechanical
application" and "requires careful attention to the facts and
circumstances of each particular case," Graham, 490 U.S. at 396, may
be no less plagued by factual and legal complexity in particular cases than
questions of probable cause. Indeed, Graham v. Connor seems to have envisioned
that qualified immunity would be available to officers charged with using
excessive force. 490 U.S. at 399 n.12 (noting that the officer's objective
good faith-i.e., "whether he could reasonably have believed that the
force used did not violate the Fourth Amendment-may be relevant to the availability
of the qualified immunity defense to monetary liability under § 1983.").7
When a jury or court determines whether excessive force has been used, it
articulates a standard to govern the conduct of an officer confronting a
certain set of facts. When the decisionmaker decides the question of immunity,
it asks a different question-whether that standard of conduct was sufficiently
obvious in the first instance that an officer could not reasonably have
thought his conduct lawful when he acted. Although both inquiries use the
term "reasonable," Anderson makes it clear that the term serves
a different function in each context. In the inquiry into the substantive
requirements of the Fourth Amendment, reasonableness defines the boundaries
of the conduct that is warranted under the circumstances. In the immunity
context, it defines the boundaries of what an officer might, because of
a lack of clarity in the law or in its application to the specific facts
of the case, understandably have believed the legal limit to be. As a result,
the fact that an officer's conduct turns out to have been "unreasonable"
in the decisionmaker's view- perhaps because the officer did not spend more
time seeking to avoid the need for force, or because the officer went one
push or blow over what turned out to be the constitutional line-does not
preclude the decisionmaker from also acknowledging that the question was
sufficiently close that reasonable officers, or reasonable judges or jurors,
could have disagreed before the decisionmaker rendered judgment.
Amicus's argument proceeds from the unstated premise that reasonable minds
could not disagree over what constitutes "reasonable force." But
reasonable judges and jurors can and often do disagree. Where such disagreement
is possible, immunity must be granted. Malley, 475 U.S. at 341 (where "officers
of reasonable competence could disagree * * * immunity should be recognized");
Anderson, 483 U.S. at 640 (reasonable officer must understand that "what
he is doing" is unconstitutional). As the Second Circuit has explained,
"to say that the use of constitutionally excessive force violates a
clearly established right * * * begs the open question whether the particular
degree of force under the particular circumstances was" so clearly
"excessive" in light of then-existing law that only the plainly
incompetent would be unaware of its illegality. See Finnegan v. Fountain,
915 F.2d 817, 823 (1990). We therefore agree with Justice Powell's observation
that "[t]here is no principled reason" for adopting an across-the-board
prohibition on the "defense of qualified immunity in an excessive use
of force claim." Slattery v. Rizzo, 939 F.2d 213, 215 (4th Cir. 1991).8
4. Although findings of excessive force and qualified immunity are not necessarily
inconsistent, they are not necessarily consistent either. If there is no
reasonably possible set of facts under which the officer's conduct would
be close to an unclear constitutional boundary-where any set of facts supported
by the evidence would either make the officer's conduct reasonable and constitutional,
or so clearly unreasonable that no one could have thought it constitutional
-the results of the Fourth Amendment and the qualified immunity inquiries
ordinarily would be expected to converge.
That circumstance frequently arises in cases involving the use of deadly
force. Under Tennessee v. Garner, 471 U.S. 1, 11 (1985), "deadly force"
may be used on a fleeing felon only "[w]here the officer has probable
cause to believe"- whether or not that belief turns out to be have
been correct - "that the suspect poses a threat of serious physical
harm, either to the officer or to others." Because both the standard
and its application to many (if not most) factual contexts is abundantly
clear, the results of the excessive force and the immunity inquiries should
be the same. The only question the jury will need to answer may be historical,
i.e., whether or not the officer could reasonably have believed that there
was a threatening weapon. If the answer is "yes," there ordinarily
is no constitutional violation (and a fortiori no violation of a "clearly
established" right); if the answer is "no," then the use
of deadly force is ordinarily so clearly excessive and unconstitutional
that no reasonable officer could have thought otherwise.
There are, nonetheless, deadly force cases in which immunity is an issue,
because open questions under Tennessee v. Garner remain. Thus, cases may
raise reasonably debatable questions such as whether the force used (e.g.,
chokeholds, use of incendiary devices) constitutes "deadly force;"9
whether particular facts provide "probable cause" to believe that
the suspect was armed and posed a threat, see Anderson, 478 U.S. at 641
(officer entitled to immunity for reasonable but mistaken probable cause
determination); what constitutes a "fleeing" suspect; and whether
a risk to bystanders renders an otherwise reasonable use of deadly force
unreasonable. But in cases where neither the arguments of counsel, nor the
evidence, suggest a reasonable set of facts that might place the officer
sufficiently close to a constitutional line to warrant immunity despite
a constitutional violation-i.e., where, under any sustainable view of the
facts, the officer's conduct was either clearly lawful or clearly lawless-the
results of the excessive force and immunity inquiries must be the same.
B. Under The Actual Instructions Given To The Jury-Which Were Erroneous
But Favored Petitioner-The Findings Of Excessive Force And Qualified Immunity
In This Case Are Easily Reconciled
1. Under ordinary circumstances and proper instructions, this might well
have been a case in which the excessive force and immunity determinations
would not be expected to diverge. The case involved the propriety of deadly
force, and thus benefitted from a clear standard of often indisputable application.
The jury was presented with two diametrically opposed versions of the facts.
And counsel never argued to the jury that the officer's conduct might be
sufficiently close to an unclear constitutional boundary to entitle him
to immunity despite his having violated the law. Instead, the jury was left
to decide whether it believed Officer Trepagnier, who testified that he
saw petitioner "coming around with the gun" when he fired, see
p. 4, supra, in which case deadly force clearly would be reasonable; or
whether it believed petitioner, who testified that Trepagnier shot him in
the back, with full knowledge that he was unarmed, because Trepagnier was
"enraged" by the high speed chase, pp. 6-7, supra, in which case
deadly force would be so clearly unconstitutional that no reasonable officer
could disagree.
2. This case, however, does not present that situation. Even if a properly
instructed jury could not have reached differing determinations on excessive
force and immunity, but see note 13, infra, the jury in this case was instructed
in a peculiar manner-a manner that unduly favored petitioner by leading
to a possibly erroneous finding of a constitutional violation-that makes
the determinations readily reconcilable.
In particular, the district court's instructions (reproduced in relevant
part at App. 1a-5a, infra) left the unmistakable impression that, even if
Officer Trepagnier had reasonable grounds to conclude that petitioner was
armed and posed a threat, the jury was required to find a constitutional
violation if in fact petitioner did not have a gun when Trepagnier shot
him. After reminding the jury that the excessive force determination is
"objectively" determined, the court admonished the jury "[Y]ou
are instructed, even if an officer has probable cause to chase, apprehend
and/or arrest the subject, the use of deadly force to apprehend a fleeing
subject who is not armed with a weapon and presents no threat of immediate
bodily harm violates that subject's constitutional rights." Tr. 1032
(emphasis added). (The jury was given a copy of the instructions to review
during deliberations. Tr. 1043.) The excessive force instructions reinforced
that message. The elements of excessive force, the jury was told, were (1)
"some harm" that (2) "resulted directly and only from the
use of force that was clearly excessive to the need" and (3) "the
excessiveness of which was objectively unreasonable, in light of the facts
and circumstances at the time." Tr. 1030. The jury was further admonished
that "the reasonableness inquiry is an objective one. The question
is whether the officer's actions are objectively reasonable, in light of
the facts and circumstances confronting him, without regard to their underlying
intent or motivation." Tr. 1031. Nowhere was the jury told that reasonable
but erroneous conclusions regarding the danger posed by the suspect may
properly preclude the finding of a constitutional violation.10
That error did not harm petitioner, since it eliminated a factor that could
favor only Trepagnier in the Fourth Amendment inquiry.11 Nor did it prejudice
Trepagnier, since the jury was properly instructed that a reasonable error
in assessing the threat posed by petitioner was relevant to the immunity
issue. "[I]f, after considering the scope of the discretion and responsibility
generally given to police officers in the performance of their duties,"
the jury was told, "and after considering all of the circumstances
of the case as they would have reasonably appeared at the time, you find
from a preponderance of the evidence that [Trepagnier] had a reasonable
and good faith belief that his actions would not violate the plaintiff's
constitutional rights, then you cannot find him liable even if the plaintiff's
rights were, in fact, violated." Tr. 1032 (emphasis added).
Closing arguments reinforced the erroneous impression that a reasonable
mistake by the officer was relevant to immunity but not to liability. Stressing
that no gun was found, petitioner's counsel quoted only one portion of the
jury instructions in closing-the instruction that "the use of deadly
force to apprehend a fleeing suspect who is not armed with a weapon and
presents no threat of immediate bodily harm violates [petitioner's] constitutional
rights," adding "and that's what happened here." Tr. 982.
Respondents' counsel countered that petitioner's counsel had omitted the
immunity instruction from his summation, reminding the jury that if, based
on "all of the circumstances of the case as they would have reasonably
appeared at the time, [Trepagnier] had a reasonable and good faith belief
that his actions would not violate [petitioner's] constitutional rights,
then you cannot find him liable even if [petitioner's] rights were, in fact,
violated." Tr. 1006 (emphasis added).
Although those erroneous instructions ultimately prejudiced no one, they
do explain why the verdicts can be reconciled in this case. Because the
instructions (and arguments of counsel) indicated that any reasonable error
in assessing the danger petitioner presented should be taken into account
only when determining immunity, but not in determining whether there was
a constitutional violation, the verdict the jury returned could easily reflect
the conclusion that Trepagnier reasonably believed petitioner had a gun
and represented a threat, but that petitioner in fact had disposed of the
gun before Trepagnier shot him-which is precisely how the Fifth Circuit
reconciled the verdicts.
That construction, moreover, is consistent with the evidence and the trial
strategy of counsel. Evidence tending to show that petitioner at one point
had a gun includes the testimony of three witnesses who testified that they
saw him holding a gun as he jumped out of the car, see p. 3, supra; the
testimony of two officers that they heard gunfire as they pursued him, see
p. 4, supra; and petitioner's repeated and unprovoked statements that he
did not have a gun, before anyone had suggested that he had had one. Tr.
934-936, 947-952; see Tr. 672-673; see also Tr. 1000-1001 (closing argument).
Evidence tending to show that petitioner had no gun at the time of the confrontation
with Officer Trepagnier includes, in addition to petitioner's own testimony,
Tr. 934-936, the fact that a search of the muddy swamp immediately surrounding
where petitioner was shot did not produce a gun, see p. 5, supra.
Having been instructed that "the use of deadly force to apprehend a
fleeing subject who is not armed with a weapon and presents no threat of
immediate bodily harm violates that subject's constitutional rights,"
Tr. 1032, a jury that believed petitioner had disposed of the gun before
being shot would have felt compelled to find a constitutional violation.
If the jury also believed that Trepagnier saw petitioner leave the car armed,
heard gunfire, and perhaps-during the heat of the chase and in the split
second he had to decide whether to shoot-mistook something in petitioner's
hand for the gun, such a jury likewise would have concluded that immunity
was proper because Trepagnier reasonably thought petitioner was armed and
therefore "had a reasonable and good faith belief that his actions
would not violate [petitioner's] constitutional rights." Ibid. (emphasis
added).
That conclusion, moreover, is consistent with the jury's resolution of the
assault and battery claim. Contrast Pet. Br. 49. The jury was specifically
instructed that, under Louisiana law, an officer's use of deadly force constitutes
a battery unless the officer "reasonably believes th[at] he is in imminent
danger of losing his life or receiving great bodily harm and that the use
of deadly force is necessary to save himself from danger." Tr. 1034-1035.
Because Trepagnier admits having shot petitioner, the jury's conclusion
that Trepagnier did not commit an assault and battery necessarily carries
with it the conclusion that Trepagnier reasonably believed petitioner to
be armed and threatening. That same conclusion mandated acceptance of Trepagnier's
immunity defense as well.
3. Petitioner's claim that the verdict cannot be reconciled on that basis
because it would be inconsistent with the testimony of his expert and a
stipulation (Br. 38-39), does not withstand scrutiny. A jury finding that
Officer Trepagnier reasonably believed petitioner to be "coming around"
with his arm extended in a threatening way would not necessarily contradict
either.12 The jury would have to disbelieve Officer Trepagnier's claim that
he actually saw the gun in petitioner's hand when he shot petitioner. But
the jury could have dismissed only that part of Trepagnier's story, concluding
that he was reluctant to admit a mistake of such grave consequence (no matter
how reasonable the error), or that he in fact believed (or had convinced
himself) that he saw a gun rather than some other item in petitioner's hand.
Or the jury may have relied on probabilities and burdens of proof, concluding
that it had not been proven that petitioner in fact was armed, but that
it was proven that Trepagnier had probable cause to believe he was. In fact,
if the jury believed only part of Trepagnier's story, it is possible to
hypothesize findings that, even under proper instructions and a proper view
of the law, would make the findings of excessive force and qualified immunity
reconcilable.13
Because the jury's answers to the excessive force and qualified immunity
interrogatories can be reconciled in light of the actual instructions the
jury heard, the Court can affirm the court of appeals' judgment without
regard to the answer to the question presented and without reference to
the underlying Fourth Amendment and qualified immunity principles. For the
same reason, however, the Court may wish to consider dismissing the writ
of certiorari as improvidently granted. Simply put, full briefing and complete
review of the record reveal that this case does not present the questions
on which review was granted, as the jury's findings are readily reconcilable
in light of the actual instructions given, whether or not they would be
reconcilable in an ordinary case with a properly instructed jury. Because
that defect could render any resolution of the questions presented arguably
advisory, i.e., of no application to the current case, the Court may wish
to dismiss the writ as improvidently granted, as it has under similar circumstances
in the past. See Belcher v. Stengel, 429 U.S. 118, 119 (1976) (per curiam)
(dismissing writ where, in light of full briefing and oral argument, "it
appears that the question framed in the petition for certiorari is not in
fact presented by the record now before us."); see also Williams v.
Zuckert, 371 U.S. 531 (1963) (per curiam); The Monrosa v. Carbon Black Export,
Inc., 359 U.S. 180 (1959); see generally, R. Stern, et al., Supreme Court
Practice 258-262 (7th ed. 1993).14
CONCLUSION
The judgment below should be affirmed. In the alternative, the writ of certiorari
should be dismissed as improvidently granted.
Respectfully submitted.
SETH P. WAXMAN
Solicitor General
BARBARA D. UNDERWOOD
Deputy Solicitor General
DAVID W. OGDEN
Acting Assistant Attorney General
JEFFREY A. LAMKEN
Assistant to the Solicitor General
BARBARA L. HERWIG
RICHARD A. OLDERMAN
Attorneys
MARCH 1999
APPENDIX
UNITED STATES DISTRICT COURT FOR
THE EASTERN DISTRICT OF LOUISIANA
Docket No. 92-CV-3465-L
JAMES SNYDER
v.
SIDNEY TREPAGNIER, ET AL.
EXCERPTS FROM THE JURY INSTRUCTIONS
FROM THE TRANSCRIPT OF THE TRIAL
BEFORE THE HONORABLE ELDON E. FALLON
UNITED STATES DISTRICT JUDGE
[1030] * * * * *
The plaintiff alleges that the defendant used excessive force in arresting
him. United States citizens are protected against the use of excessive force
by the Fourth Amendment to the United States Constitution. In order to prove
that the defendant used excessive force in violation of the Fourth Amendment,
the plaintiff must prove by a preponderance of the evidence some harm that
resulted directly and only from the use of force that was clearly excessive
to the need and the excessiveness of which was objectively unreasonable
in light of the facts and circumstances at the time. If the plaintiff fails
to prove any one of these elements, you must find for the defendant.
Some of the things you may want to consider in determining whether the defendant
used excessive force are:
(1) The relationship between the need and the amount of force used;
(2) The need for the application of force;
(3) The extent of the injury suffered;
(4) The threat reasonably received by the responsible officials; and
(5) Any efforts made to temper the severity of a forceful response.
[1031] Injuries which result from, for example, an officer's reasonable
use of force to overcome resistance to arrest do not involve constitutionally-protected
interests. The reasonableness of a particular use of force must be judged
from the perspective of a reasonable officer on the scene rather than with
the 20/20 vision of hindsight. The nature of the reasonableness must embody
allowance for the fact that police officers are often forced to make split-second
judgments-in circumstances that are tense, uncertain and rapidly evolving-about
the amount of force that is necessary in a particular situation.
This reasonableness inquiry is an objective one. The question is whether
the officer's actions are objectively reasonable, in light of the facts
and circumstances confronting him, without regard to their underlying intent
or motivation.
If you find that the plaintiff has proven his claim, you must then consider
the defendant's defense; namely, that the defendant, Sidney Trepagnier,
acted in good faith and thus is not liable.
Police officers are presumed to know about the basic unquestioned constitutional
rights of citizens. Thus, the plaintiff need not prove that the defendant,
Officer Sidney Trepagnier, acted with a specific knowledge of the plaintiff's
particular constitutional right that he violated.
You are instructed that even if the officer has [1032] good intentions this
cannot make an objectively unreasonable use of force constitutional. In
this respect you are instructed, even if an officer has probable cause to
chase, apprehend and/or arrest the subject, the use of deadly force to apprehend
a fleeing subject who is not armed with a weapon and presents no threat
of immediate bodily harm violates that subject's constitutional rights.
On the other hand, if, after considering the scope of the discretion and
responsibility generally given to police officers in the performance of
their duties and after considering all of the circumstances of the case
as they would have reasonably appeared at the time, you find from a preponderance
of the evidence that the defendant, Sidney Trepagnier, had a reasonable
and good faith belief that his actions would not violate the plaintiff's
constitutional rights, then you cannot find him liable even if the plaintiff's
rights were, in fact, violated as a result of the defendant's good faith
action.
The plaintiff must also prove by a preponderance of the evidence that the
act by the defendant was a cause-in-fact of the damage the plaintiff suffered.
An act is a cause-in-fact of an injury or damage if it appears from the
evidence that the act or omission played a substantial part in bringing
about or actually causing the injury or damage.
The plaintiff must also prove by a preponderance [1033] of the evidence
that the act by the defendant was a proximate cause of the damage plaintiff
suffered. An act is a proximate cause of plaintiff's injuries or damages
if it appears from the evidence that the injury or damage was a reasonably
foreseeable consequence of the act.
In summary, if you find from a preponderance of the evidence in this case
and after applying these instructions on the law that the plaintiff has
proven his claim of a constitutional violation through the use of excessive
force, your verdict must be for the plaintiff and against the defendant
police officer who used such force, provided you further find that the plaintiff
suffered some injury as a result of the incident in question.
On the other hand, if you find that the plaintiff has not proven his claim
of a constitutional deprivation or suffered an injury or that the police
officer was acting in good faith at the time of the incident, then your
verdict must be for the defendant police officer and against the plaintiff
as to this claim.
You must next consider the plaintiff's claim under Louisiana law for the
intentional act of assault and battery. Under Louisiana law, any intentional
attempt to inflict injury upon the person of another, when coupled with
an apparent present ability to do so, and an intentional display of force
such as would give the victim reason to fear or expect [1034] immediate
bodily harm, constitutes an assault. An assault may be committed without
actually touching or striking or doing bodily harm to the person of another.
"Battery" is defined as an intentional use of force upon the person
of another. Battery is an intentional act that requires proof that the defendants
knowingly and willfully acted in a way which caused harm to the plaintiff.
Under Louisiana law, a physical violence against a person by a law enforcement
official constitutes a battery for which the official may be held liable
unless the official has a defense to the battery such as justification or
self-defense. Under Louisiana law, "justification" is defined
as the use of force or violence upon the person of another when committed
for the purpose of preventing a forcible offense against the person, provided
that the force or violence used must be reasonable and apparently necessary
to prevent such offense. Thus, an individual cannot recover damages for
a battery if that individual is the aggressor in provoking the incident
in which he was injured and the person retaliating uses only the force that
is reasonableness under the circumstances. Therefore, in this case, you
should examine all the circumstances surrounding the incident in question
to determine if the amount of force used by defendant was reasonable.
Under Louisiana law, the use of deadly force is only justified when committed
in self-defense by one who [1035] reasonably believes this he is in imminent
danger of losing his life or receiving great bodily harm and that the use
of deadly force is necessary to save himself from danger.
The plaintiff must also prove by a preponderance of the evidence this the
intentional use of force upon him was a cause-in-fact of the damages he
suffered. Under Louisiana law, a plaintiff's disability is presumed to have
resulted from an incident if before the incident the injured person was
in good health, but commencing with the incident the symptoms of the disabling
condition appear and continuously manifest themselves afterwards, provided
that the medical evidence establishes a reasonable probability of a casual
connection between the incident and a disabling condition.
* * * * *
[1043] * * * * *
When you retire to the jury room, Ladies and Gentlemen of the Jury, to deliberate
on your verdict, you may take this charge with you. I will give you copies
of what I have just read, as well as the exhibits which the Court has admitted
into evidence.
* * * * *
1 Petitioner disputed the extent of his involvement in the burglary of the
home, but admitted that he had acted as Taylor's "lookout." Tr.
908-909. Similarly, petitioner initially disputed that he knew the Pontiac
was stolen. He testified that he and Taylor were "at a mall [when Taylor]
said 'Wait here. I'm going to go try to get some money and a vehicle,' and
he left and he came back with the car that had the keys in it and stuff."
Tr. 666. Petitioner, however, later admitted that he had assumed the Pontiac
was stolen. Tr. 904-905, 959.
2 See Tr. 284 ("You may take one step and sink up to, say, mid-calf
* * *. There are other times when you step in it and you just went all the
way down * * * to your crotch area."); Tr. 276 ("If you stood
there for 30 seconds, it might be up to your buttocks area; in other words,
that wasn't just a solid foundation * * *. You continued to sink down.").
3 Because of the deep mud, Amici Curiae American Civil Liberties Union,
et al., are simply incorrect to assert (at 3) that "[i]f Trepagnier
testified truthfully, a gun should have been recovered within inches of
where [petitioner] was shot." Even a cursory review of the trial transcript
reveals that the deep mud made the police's ability to recover the gun a
hotly disputed fact. See, e.g., Tr. 1001 (closing argument of defense counsel)
(petitioner "lost that gun in the muck"); Tr. 100-101 (opening
statement of plaintiff's counsel) (disputing extent of mud).
4 Petitioner claimed that Trepagnier went on to say "'The swamp's a
hell of a place to die, ain't it' and things like that." Tr. 674, 890.
Trepagnier denied saying anything of that sort. Tr. 768-769.
5 Relying upon Monell v. Department of Social Services, 436 U.S. 658 (1978),
the court of appeals held that the evidence was not sufficient to support
the judgment against the City of New Orleans. Pet. App. A5-A17. This Court's
grant of certiorari was limited to two reformulated questions presented,
and excluded petitioner's challenge to that aspect of the court of appeals'
judgment. See 119 S. Ct. 863-864 (1999).
6 See Mitchell v. Forsyth, 472 U.S. 511, 417, 535 (1985) (even if rule against
warrantless wiretaps was "merely a logical extension of general Fourth
Amendment principles," immunity was appropriate because the question
was "open" when the officer acted); Harlow, 457 U.S. at 818 (official
"could not reasonably be expected to anticipate subsequent legal developments,
nor could he fairly be said to 'know' that the law forbade conduct not previously
identified as unlawful"); cf. Teague v. Lane, 489 U.S. 288 (1989) (new
rules of criminal procedure not applicable on habeas corpus).
7 The reasoning of those courts that have concluded that the inquiries inevitably
merge, moreover, precisely parallels the reasoning this Court rejected in
Anderson. Before Anderson, some courts had taken the position that, where
an officer conducted a search or arrest without probable cause, he could
not defend against damages by arguing that he reasonably engaged in unreasonable
conduct. See Deary v. Three Un-Named Police Officers, 746 F.2d 185, 192-193
(3d Cir. 1984); Clark v. Beville, 730 F.2d 739, 740-741 (11th Cir. 1984);
Mahoney v. Kesery, 976 F.2d 1054, 1057-1058 (7th Cir. 1992). See also J.
Newman, Suing the Lawbreakers, 87 Yale L.J. 447, 460 (1978) ("[I]f
the plaintiff's own case requires him to show an arrest that was not reasonably
based on probable cause, what does the [immunity] defense mean? Surely the
officer could not reasonably believe that there was probable cause for an
unlawful arrest, for an unlawful arrest is by definition an arrest for which
a prudent police officer could not reasonably believe that there was probable
cause."). Anderson ended that line of cases, holding unequivocally
that a law enforcement officer could act in an objectively reasonable fashion
even though he or she had violated the Fourth Amendment's bar on unreasonable
searches or seizures. See Oliveira v. Mayer, 23 F.3d 642, 648 (2d Cir. 1994)
(Newman, J.) (conceding that Anderson "authoritatively instructed that
the objective reasonableness component of the inquiry as to lawfulness is
not the same as the objective reasonableness component of the inquiry as
to qualified immunity"), cert. denied, 513 U.S. 1076 (1995); see also
Karnes v. Skrutski, 62 F.3d 485, 491-492 & n.3 (3d Cir. 1995) (argument
that qualified immunity cannot apply where officer acted unreasonably "misconstrues
the nature of qualified immunity, and in any case has been rejected by the
Supreme Court").
8 If, as a matter of Fourth Amendment law, the use of force could not be
constitutionally excessive unless no reasonable officer could have believed
that force to be reasonable, then the excessive force and immunity inquiries
would more closely approximate each other; both would be based on whether
"any reasonable officer" could have thought the conduct to be
lawful. But courts do not typically approach the Fourth Amendment in that
fashion. Nothing in the jury instructions in this case, for example, advised
the jury that it could not find excessive force unless no reasonable officer
could have believed the use of force to be reasonable. To the contrary,
the instructions in this case seemed to compel the jury to find excessive
force no matter what a reasonable officer might have thought, so long as
petitioner turned out to be unarmed. See pp. 23-26, infra. Contrary to amicus's
argument (ACLU Br. 15-16), the fact that juries and courts may sometimes
recognize that there are a range of "reasonable" options available
to an officer, and that officers are not required to select the most reasonable
or least forceful option, does not alter the analysis. The fact that an
officer's choice turns out to be outside the range of reasonable alternatives
does not necessarily mean that no reasonable officer could have thought
that choice reasonable in the first instance.
9 Cf. City of Los Angeles v. Lyons, 461 U.S. 95, 100 (1983) (raising claim
that chokeholds are excessive and deadly force that cannot be used "under
circumstances that do not threaten death or serious bodily injury");
see, e.g., In re City of Phila. Litig., 49 F.3d 945, 971-972 (3d Cir. 1995)
(qualified immunity appropriate because police not required to anticipate
law governing use of explosives to destroy unoccupied bunker during police
stand-off with armed suspects).
10 The court did state that, in deciding reasonableness, the jury "may"
consider (among five non-exhaustive factors) "the threat reasonably
[per]ceived by the responsible officials," Tr. 1030; and it directed
the jury that "[t]he reasonableness of a particular use of force must
be judged from the perspective of a reasonable officer on the scene"
and must "embody allowance for the fact that police officers are often
forced to make split-second judgments." Tr. 1031. Read in the context
of the directions as a whole, however, those suggestions would not tend
to dispel the incorrect impression given by the court's instruction that
"the use of deadly force to apprehend a fleeing subject who is not
armed with a weapon and presents no threat of immediate bodily harm"
always "violates that subject's constitutional rights." Tr. 1032.
11 Petitioner (at 37-38) and his amicus (ACLU Br. 18-22) also fault the
jury instructions for introducing a subjective component into the immunity
inquiry. But any error in that regard prejudiced respondent and not petitioner.
The court told the jury that respondent would be immune from liability if
he had a "reasonable and good faith belief" that his behavior
was lawful, i.e., the court required both an actual subjective belief, and
that the belief be objectively reasonable. See also Tr. 1031-1032 (directing
jury that subjectively good intentions could not make unreasonable conduct
reasonable). The requirement of subjective good faith as well as objective
reasonableness was improper under Harlow, 457 U.S. at 817-818, but harmless
to petitioner.
12 The stipulation that the shooting was "not the result of negligence,
inadvertence, mistake, or accident," Br. 38 (emphasis omitted), disavows
only the claim that the gun was fired by mistake, and not the claim that
the officer had a mistaken belief about the circumstances confronting him.
Nor is such a finding necessarily inconsistent with the expert testimony
that the bullet entered petitioner's back at nearly a 90-degree angle, Pet.
Br. 38-39; Tr. 1018-1019. Because Trepagnier was allegedly just behind petitioner
and to his left, and petitioner allegedly was turning to the right, Tr.
752-753, 798, the turning motion would have put his back square to Trepagnier
at some point during the turn. Trepagnier also might have moved to stay
behind petitioner as he turned.
13 For example, the jury could have found that Trepagnier knew petitioner
had a gun when he left the car, and inferred that he still had it when Trepagnier
confronted him in the swamp; the jury could have concluded that the inference
was sufficiently reasonable to confer immunity, but not strong enough to
support probable cause as required by Garner, 471 U.S. at 11. A reasonable
but mistaken probable cause determination is precisely the sort of error
for which immunity is appropriate. See Anderson, 483 U.S. at 638. Or the
jury could have found a constitutional violation on the ground that petitioner
did not qualify as a fleeing suspect under Garner, because he was stuck
in the mud, but further concluded that Trepagnier reasonably believed he
did qualify, and hence should be shielded by immunity.
14 Because the special verdicts are not inconsistent given the actual instructions
before the jury, we do not address (and also believe that the case does
not call on the Court to decide) the second question presented, which involves
the manner in which courts should reconcile inconsistent special verdicts.