Jury Instructions For Civil Rights Claims Under Section 1983
Jury Instructions For Civil Rights Claims Under Section 1983
2
3
4 Numbering of Section 1983 Instructions
5
6 4.1 Section 1983 Introductory Instruction
7
8 4.2 Section 1983 – Burden of Proof
9
10 4.3 Section 1983 – Elements of Claim
11
12 4.4 Section 1983 – Action under Color of State Law
13
14 4.4.1 Section 1983 – Action under Color of State Law Is Not in Dispute
15
16 4.4.2 Section 1983 – Determining When an Official Acted under Color of State Law
17
18 4.4.3 Section 1983 – Determining Whether a Private Person Conspired with a State
19 Official
20
21 4.5 Section 1983 – Deprivation of a Federal Right
22
23 4.6 Section 1983 – Liability in Connection with the Actions of Another
24
25 4.6.1 Section 1983 – Supervisory Officials
26
27 4.6.2 Section 1983 – Failure to Intervene
28
29 4.6.3 Section 1983 – Municipalities – General Instruction
30
31 4.6.4 Section 1983 – Municipalities – Statute, Ordinance or Regulation
32
33 4.6.5 Section 1983 – Municipalities – Choice by Policymaking Official
34
35 4.6.6 Section 1983 – Municipalities – Custom
36
37 4.6.7 Section 1983 – Municipalities – Liability Through Inadequate Training or
38 Supervision
39
40 4.6.8 Section 1983 – Municipalities – Liability Through Inadequate Screening
41
42 4.7 Section 1983 – Affirmative Defenses
43
44 4.7.1 Conduct Not Covered by Absolute Immunity
45
46 4.7.2 Qualified Immunity
1
Last updated July 2019
1
2 4.7.3 Release-Dismissal Agreement
3
4 4.8 Section 1983 – Damages
5
6 4.8.1 Compensatory Damages
7
8 4.8.2 Nominal Damages
9
10 4.8.3 Punitive Damages
11
12 4.9 Section 1983 – Excessive Force (Including Some Types of Deadly Force) – Stop, Arrest,
13 or Other “Seizure”
14
15 4.9.1 Section 1983 – Instruction for Garner-Type Deadly Force Cases – Stop, Arrest, or
16 Other “Seizure”
17
18 4.10 Section 1983 – Excessive Force – Convicted Prisoner
19
20 4.11 Section 1983 – Conditions of Confinement – Convicted Prisoner
21
22 4.11.1 Section 1983 – Denial of Adequate Medical Care
23
24 4.11.2 Section 1983 – Failure to Protect from Suicidal Action
25
26 4.11.3 Section 1983 – Failure to Protect from Attack
27
28 4.12 Section 1983 – Unlawful Seizure
29
30 4.12.1 Section 1983 – Unlawful Seizure – Terry Stop and Frisk
31
32 4.12.2 Section 1983 – Unlawful Seizure – Arrest – Probable Cause
33
34 4.12.3 Section 1983 – Unlawful Seizure – Warrant Application
35
36 4.13 Section 1983 – Malicious Prosecution
37
38 4.13.1 Section 1983 – Burdens of Proof in Civil and Criminal Cases
39
40 4.14 Section 1983 – State-created Danger
41
42 4.15 Section 1983 – High-Speed Chase
43
44 4.16 Section 1983 – Duty to Protect Child in Foster Care
2
Last updated July 2019
4.1 Section 1983 Introductory Instruction
3
Last updated July 2019
4.1 Section 1983 Introductory Instruction
8
Exhaustion of remedies doctrine provides one example. In general, there is no
requirement that a Section 1983 plaintiff exhaust state-law remedies or state administrative
processes before suing under Section 1983. See Monroe v. Pape, 365 U.S. 167, 183 (1961) (“The
federal remedy is supplementary to the state remedy, and the latter need not be first sought and
refused before the federal one is invoked.”), overruled on other grounds by Monell v. Dep’t of Soc.
Servs., 436 U.S. 658 (1978); Patsy v. Bd. of Regents, 457 U.S. 496, 516 (1982) (“[E]xhaustion of
state administrative remedies should not be required as a prerequisite to bringing an action
pursuant to § 1983.”). Exhaustion requirements do apply to prisoner claims regarding prison
conditions under Section 1983 and other federal laws. See 42 U.S.C. § 1997e(a) (provision of the
Prison Litigation Reform Act, or PLRA, stating that “[n]o action shall be brought with respect to
prison conditions under section 1983 of this title, or any other Federal law, by a prisoner confined
in any jail, prison, or other correctional facility until such administrative remedies as are available
are exhausted”). But the Court of Appeals has made clear that PLRA exhaustion presents a
question that can be resolved by the judge. See Small v. Camden Cty., 728 F.3d 265, 269, 271 (3d
Cir. 2013); see also Paladino v. Newsome, 885 F.3d 203, 211 (3d Cir. 2018) (setting procedures
to govern district-court fact-finding on question of PLRA exhaustion).
4
Last updated July 2019
4.2 Section 1983 – Burden of Proof
9
See Sharp v. Johnson, 669 F.3d 144, 158-59 (3d Cir. 2012) (noting “that parties should
generally assert affirmative defenses early in the litigation,” but finding no abuse of discretion in
trial court’s permission to assert qualified immunity defense at trial where the defense had been
pleaded and where the failure to present the defense by motion prior to trial made sense – due to
the need for fact development – and did not prejudice the plaintiff).
5
Last updated July 2019
4.2 Section 1983 – Burden of Proof
1 the burden of proof regarding qualified immunity may vary with the element in question.10 For
2 example, the court has stated that “[w]here a defendant asserts a qualified immunity defense in a
3 motion for summary judgment, the plaintiff bears the initial burden of showing that the defendant's
4 conduct violated some clearly established statutory or constitutional right. . . . Only if the plaintiff
5 carries this initial burden must the defendant then demonstrate that no genuine issue of material
6 fact remains as to the ‘objective reasonableness’ of the defendant's belief in the lawfulness of his
7 actions.” Sherwood v. Mulvihill, 113 F.3d 396, 399 (3d Cir. 1997); see also Hynson By and
8 Through Hynson v. City of Chester, 827 F.2d 932, 935 (3d Cir. 1987) (“Although the officials
9 claiming qualified immunity have the burden of pleading and proof . . . , a plaintiff who seeks
10 damages for violation of constitutional rights may overcome the defendant official's qualified
11 immunity only by showing that those rights were clearly established at the time of the conduct at
12 issue.”).
13
14 A distinction between the burden of proof as to the constitutional violation and the burden
15 of proof as to objective reasonableness makes sense in the light of the structure of Section 1983
16 litigation. To prove her claim, the plaintiff must prove the existence of a constitutional violation;
17 qualified immunity becomes relevant only if the plaintiff carries that burden. Accordingly, the
18 plaintiff should bear the burden of proving the existence of a constitutional violation in connection
19 with the qualified immunity issue as well. However, it would accord with decisions such as Kopec
20 (and it would not contravene decisions such as Sherwood) to place the burden on the defendant to
21 prove that a reasonable officer would not have known, under the circumstances, that the conduct
22 was illegal.11
10
As discussed below (see Comment 4.7.2), the qualified immunity analysis poses three
questions: (1) whether the defendant violated a constitutional right; (2) whether the right was
clearly established; and (3) whether it would have been clear to a reasonable official, under the
circumstances, that the conduct was unlawful. The issue of evidentiary burdens of proof
implicates only the first and third questions.
11
There is language in Estate of Smith v. Marasco, 430 F.3d 140 (3d Cir. 2005),
which may be perceived as being in tension with Kopec’s statement that the defendant
has the burden of proof on qualified immunity. In Marasco the Court of Appeals held the
defendants were entitled to qualified immunity on the plaintiffs’ state-created danger
claim because the court “conclude[d] that the Smiths cannot show that a reasonable
officer would have recognized that his conduct was ‘conscience-shocking.’” Id. at 156.
While this language can be read as contemplating that the plaintiffs have a burden of
persuasion, it should be noted that the court was not focusing on a factual dispute but
rather on the clarity of the caselaw at the time of the relevant events. See id. at 154
(stressing that the relevant question was “whether the law, as it existed in 1999, gave the
troopers ‘fair warning’ that their actions were unconstitutional”) (quoting Hope v. Pelzer,
6
Last updated July 2019
4.2 Section 1983 – Burden of Proof
1
2 As noted in Comment 4.7.2, a jury question concerning qualified immunity will arise only
3 when there are material questions of historical fact. The court should submit the questions of
4 historical fact to the jury by means of special interrogatories; the court can then resolve the question
5 of qualified immunity by reference to the jury’s determination of the historical facts. Many
6 questions of historical fact may be relevant both to the existence of a constitutional violation and
7 to the question of objective reasonableness; as to those questions, the court should instruct the jury
8 that the plaintiff has the burden of proof. Other questions of historical fact, however, may be
9 relevant only to the question of objective reasonableness; as to those questions, if any, the court
10 should instruct the jury that the defendant has the burden of proof.
7
Last updated July 2019
4.3 Section 1983 – Elements of Claim
1 Some authorities include, as a third element, a requirement that the defendant caused the
2 plaintiff’s damages. See, e.g., Fifth Circuit Civil Instruction 10.1; Eleventh Circuit Civil
3 Instruction 2.2. It is true that the plaintiff cannot recover compensatory damages without showing
4 that the defendant’s violation of the plaintiff’s federal rights caused those damages. See Instruction
5 4.8.1, infra. It would be misleading, however, to consider this an element of the plaintiff’s claim:
6 If the plaintiff proves that the defendant, acting under color of state law, violated the plaintiff’s
7 federal right, then the plaintiff is entitled to an award of nominal damages even if the plaintiff
8 cannot prove actual damages. See infra Instruction 4.8.2.
9
10 If the Section 1983 claim asserts a conspiracy to deprive the plaintiff of civil rights,12
11 additional instructions will be necessary. See, e.g., Ridgewood Bd. of Educ. v. N.E. ex rel. M.E.,
12 172 F.3d 238, 254 (3d Cir. 1999) (“In order to prevail on a conspiracy claim under § 1983, a
13 plaintiff must prove that persons acting under color of state law conspired to deprive him of a
14 federally protected right.”); Marchese v. Umstead, 110 F. Supp. 2d 361, 371 (E.D. Pa. 2000) (“To
15 state a section 1983 conspiracy claim, a plaintiff must allege: (1) the existence of a conspiracy
16 involving state action; and (2) a depravation [sic] of civil rights in furtherance of the conspiracy
17 by a party to the conspiracy.”); see also Avery, Rudovsky & Blum,13 Instructions 12:31, 12:32,
18 12:33, & 12:43 (providing suggested instructions regarding a Section 1983 conspiracy claim).
12
Such a claim should be distinguished from the use of evidence of a conspiracy in order
to establish that a private individual acted under color of state law. See infra Instruction 4.4.3.
13
MICHAEL AVERY, DAVID RUDOVSKY & KAREN BLUM, POLICE MISCONDUCT: LAW AND
LITIGATION §§ 12:31, 12:32, 12:33, & 12:43 (updated Oct. 2005) (available on Westlaw in the
POLICEMISC database).
9
Last updated July 2019
4.4 Section 1983 – Action under Color of State Law
14
See also Brentwood Acad. v. Tennessee Secondary Sch. Athletic Ass’n, 531
U.S. 288, 295 n.2 (2001) (“If a defendant's conduct satisfies the state-action requirement
of the Fourteenth Amendment, the conduct also constitutes action ‘under color of state
law’ for § 1983 purposes.”).
10
Last updated July 2019
4.4 Section 1983 – Action under Color of State Law
1 Sullivan, 526 U.S. 40, 50 (1999) (quoting Blum v. Yaretsky, 457 U.S. 991, 1002 (1982) (quoting
2 Shelley v. Kraemer, 334 U.S. 1, 13 (1948))). Liability under Section 1983 “attaches only to those
3 wrongdoers ‘who carry a badge of authority of a State and represent it in some capacity, whether
4 they act in accordance with their authority or misuse it.’ ” National Collegiate Athletic Ass’n v.
5 Tarkanian, 488 U.S. 179, 191 (1988) (quoting Monroe v. Pape, 365 U.S. 167, 172 (1961)). “The
6 traditional definition of acting under color of state law requires that the defendant in a § 1983
7 action have exercised power ‘possessed by virtue of state law and made possible only because the
8 wrongdoer is clothed with the authority of state law.’ ” West v. Atkins, 487 U.S. 42, 49 (1988)
9 (quoting United States v. Classic, 313 U.S. 299, 326 (1941)).15
10
11 The inquiry into the question of action under color of state law “is fact-specific.” Groman
12 v. Township of Manalapan, 47 F.3d 628, 638 (3d Cir. 1995). See also Manhattan Cmty. Access
13 Corp. v. Halleck, 139 S. Ct. 1921, 1934 (2019) (holding that the operator of public access channels
14 on a cable television system was not a state actor, while noting that the result might be different if
15 a local government itself operated public access channels on a local cable system or obtained a
16 property interest in the public access channels).
17
18 “In the typical case raising a state-action issue, a private party has taken the decisive step
19 that caused the harm to the plaintiff, and the question is whether the State was sufficiently involved
20 to treat that decisive conduct as state action. . . . Thus, in the usual case we ask whether the State
21 provided a mantle of authority that enhanced the power of the harm-causing individual actor.”
22 Tarkanian, 488 U.S. at 192. Circumstances that can underpin a finding of state action include the
23 following:
24
25 • A finding of “‘a sufficiently close nexus between the state and the challenged action of the
26 [private] entity so that the action of the latter may fairly be treated as that of the State itself.’
27 ”16
28
29 • A finding that “the State create[d] the legal framework governing the conduct.”17
15
Compare Citizens for Health v. Leavitt, 428 F.3d 167, 182 (3d Cir. 2005)
(holding that a federal regulation that “authoriz[ed] conduct that was already legally
permissible” – and that did not preempt state laws regulating such conduct more strictly –
did not meet the “state action requirement”).
16
McKeesport Hosp. v. Accreditation Council for Graduate Med. Educ., 24 F.3d 519,
524 (3d Cir. 1994) (quoting Jackson v. Metropolitan Edison Co., 419 U.S. 345, 351 (1974)).
17
Tarkanian, 488 U.S. at 192 (citing North Ga. Finishing, Inc. v. Di-Chem, Inc., 419
11
Last updated July 2019
4.4 Section 1983 – Action under Color of State Law
1
2 • A finding that the government “delegate[d] its authority to the private actor.”18
3 • A finding that the government “knowingly accept[ed] the benefits derived from
4 unconstitutional behavior.”19
5
6 • A finding that “the private party has acted with the help of or in concert with state
7 officials.”20 For an instruction on private action in concert with state officials, see
8 Instruction 4.4.3.
9
10 • A finding that the action “ ‘result[ed] from the State's exercise of “coercive power.” ’ ”21
11
12 • A finding that “‘the State provide[d] “significant encouragement, either overt or covert. ”
13 ’ ”22
14
15 • A finding that “‘a nominally private entity . . . is controlled by an “agency of the State. ” ’
12
Last updated July 2019
4.4 Section 1983 – Action under Color of State Law
1 ”23
2
3 • A finding that “‘a nominally private entity . . . has been delegated a public function by the
4 State.’ ”24
5
6 • A finding that “‘a nominally private entity . . . is “entwined with governmental policies,”
7 or [that] government is “entwined in [its] management or control. ” ’ ”25
8
9 The fact that a defendant was pursuing a private goal does not preclude a finding that the
10 defendant acted under color of state law. See Georgia v. McCollum, 505 U.S. 42, 54 (1992)
11 (noting, in a case involving a question of “state action” for purposes of the Fourteenth Amendment,
12 that “[w]henever a private actor’s conduct is deemed ‘fairly attributable’ to the government, it is
13 likely that private motives will have animated the actor's decision”).
14
15 The “labyrinthine” and “murky” analysis of whether private action can be deemed that of
16 the state can be avoided if the “actor is the government,” Sprauve v. West Indian Company, 799
17 F.3d 226, 229 (3d Cir. 2015) (internal quotation marks and citations omitted), such as a public
18 corporation over which the state has “permanent and complete control” by government appointees.
19 Id. at 233 (footnote omitted).
23
Benn, 371 F.3d at 171 (quoting Brentwood, 531 U.S. at 296 (quoting Pennsylvania v.
Bd. of Dir. of City Trusts of Philadelphia, 353 U.S. 230, 231 (1957) (per curiam))).
24
Benn, 371 F.3d at 171 (quoting Brentwood, 531 U.S. at 296); compare Leshko
v. Servis, 423 F.3d 337, 347 (3d Cir. 2005) (holding “that foster parents in Pennsylvania
are not state actors for purposes of liability under § 1983"); Max v. Republican
Committee of Lancaster County, 587 F.3d 198, 199, 203 (3d Cir. 2009) (holding that,
under the circumstances, a political committee, its affiliate and certain of its officials
were not acting as state actors when they allegedly sought to chill the speech of plaintiff –
a committeewoman for the political committee – in connection with the Republican
primary election).
25
Benn, 371 F.3d at 171 (quoting Brentwood, 531 U.S. at 296) (quoting Evans v.
Newton, 382 U.S 296, 299, 301 (1966))). See also P.R.B.A. Corp v. HMS Host Toll Roads,
808 F.3d 221 (3d Cir. 2015) (finding insufficiently pervasive entwinement between
highway authorities and service area operators because there was no personnel overlap, no
involvement in the particular decision at issue, and no indication that a profit sharing
arrangement led to “any actual involvement of either entity in the management or control
of the other,” even if the authorities required certain signs and photos be displayed).
13
Last updated July 2019
4.4.1 Section 1983 – Action under Color of State Law Is Not in Dispute
14
Last updated July 2019
4.4.2 Section 1983 – When an Official Acted under Color of State Law
26
Special problems may arise if the public employee in question has a professional
obligation to someone other than the government. Compare, e.g., West v. Atkins, 487 U.S. 42, 43,
54 (1988) (holding that “a physician who is under contract with the State to provide medical
services to inmates at a state-prison hospital on a part-time basis acts ‘under color of state law,’
within the meaning of 42 U.S.C. § 1983, when he treats an inmate”) with Polk County v. Dodson,
454 U.S. 312, 317 n.4 (1981) (“[A] public defender does not act under color of state law when
performing the traditional functions of counsel to a criminal defendant.”).
27
The court should take care not to narrow the jury’s focus; the jury should be instructed
15
Last updated July 2019
4.4.2 Section 1983 – When an Official Acted under Color of State Law
to consider all relevant circumstances. See Harvey v. Plains Twp. Police Dep’t, 635 F.3d 606,
608 (3d Cir. 2011) (remanding for new trial due to erroneous verdict form and explaining that
“[a]ction under color of state law must be addressed after considering the totality of the
circumstances and cannot be limited to a single factual question”).
28
For an instruction concerning the contention that a private defendant acted under color
of state law by conspiring with a state official, see Instruction 4.4.3.
29
Compare, e.g., Barna v. City of Perth Amboy, 42 F.3d 809, 816-17 (3d Cir. 1994) (off-
duty, non-uniformed officers with police-issue weapons did not act under color of law in
altercation with brother-in-law of one of the officers; officers were outside the geographic scope
of their jurisdiction, and altercation started when officer accused his brother-in-law of hitting his
sister, after which officer’s partner joined the fight, after which both officers tried to leave) with
Black v. Stephens, 662 F.2d 181, 188 (3d Cir. 1981) (police officer acted under color of law in
altercation that began with a dispute over a traffic incident; “he was on duty as a member of the
Allentown Police force, dressed in a police academy windbreaker and . . . he investigated the
Blacks' vehicle because he thought the driver was either intoxicated or in need of help”); see also
Paul v. Davis, 424 U.S. 693, 717 (1976) (Brennan, J., joined by Marshall, J., and in relevant part
by White, J., dissenting) (“[A]n off-duty policeman's discipline of his own children, for example,
would not constitute conduct ‘under color of’ law.”).
30
“[G]enerally, a public employee acts under color of state law while acting in his
official capacity or while exercising his responsibilities pursuant to state law.” West, 487 U.S. at
50.
31
“[O]ff-duty police officers who flash a badge or otherwise purport to exercise official
authority generally act under color of law.” Bonenberger v. Plymouth Tp., 132 F.3d 20, 24 (3d
Cir. 1997).
16
Last updated July 2019
4.4.2 Section 1983 – When an Official Acted under Color of State Law
32
“[N]ot all torts committed by state employees constitute state action, even if
committed while on duty. For instance, a state employee who pursues purely private motives
and whose interaction with the victim is unconnected with his execution of official duties does
not act under color of law.” Bonenberger, 132 F.3d at 24.
33
See Torres v. Cruz, 1995 WL 373006, at *4 (D.N.J. Aug. 24, 1992) (holding that it was
relevant to question of action under color of state law that police manual “states that although the
officers will be assigned active duty hours, ‘all members shall be considered on duty at all times
and shall act promptly, at any time, their services are required or requested’”).
34
See Basista v. Weir, 340 F.2d 74, 80-81 (3d Cir. 1965) (“Assuming arguendo
that Scalese's actions were in fact motivated by personal animosity that does not and
cannot place him or his acts outside the scope of Section 1983 if he vented his ill feeling
towards Basista ... under color of a policeman's badge.”).
35
“Manifestations of . . . pretended [official] authority may include flashing a
badge, identifying oneself as a police officer, placing an individual under arrest, or
intervening in a dispute involving others pursuant to a duty imposed by police department
regulations.” Barna v. City of Perth Amboy, 42 F.3d 809, 816 (3d Cir. 1994).
36
See id. at 816-17.
37
See Griffin v. Maryland, 378 U.S. 130, 135 (1964).
17
Last updated July 2019
4.4.2 Section 1983 – When an Official Acted under Color of State Law
38
See Abraham v. Raso, 183 F.3d 279, 287 (3d Cir. 1999).
39
See Bonenberger, 132 F.3d at 24.
40
“While a police-officer's use of a state-issue weapon in the pursuit of private activities
will have ‘furthered’ the § 1983 violation in a literal sense, courts generally require additional
indicia of state authority to conclude that the officer acted under color of state law.” Barna, 42
F.3d at 817; see also id. at 818 (holding that “the unauthorized use of a police-issue nightstick is
simply not enough to color this clearly personal family dispute with the imprimatur of state
authority”).
41
Rodriguez v. City of Paterson, 1995 WL 363710, at *3 (D.N.J. June 13, 1995) (fact
that defendant was equipped with police radio was relevant to question of action under color of
state law).
42
See Griffin, 378 U.S. at 135 (holding that the defendant, “in ordering the petitioners to
leave the park and in arresting and instituting prosecutions against them – purported to exercise
the authority of a deputy sheriff. He wore a sheriff's badge and consistently identified himself as
a deputy sheriff rather than as an employee of the park”); Abraham, 183 F.3d at 287 (“[E]ven
though Raso was working off duty as a security guard, she was acting under color of state law:
she was wearing a police uniform, ordered Abraham repeatedly to stop, and sought to arrest
him.”).
18
Last updated July 2019
4.4.2 Section 1983 – When an Official Acted under Color of State Law
1 • Whether the defendant was on duty.43 This factor is relevant but not determinative. An
2 off-duty official who purports to exercise official authority acts under color of state law.44
3 Conversely, an official who is pursuing purely private motives, in an interaction
4 unconnected with his or her official duties, and who does not purport to exercise official
5 authority does not act under color of state law.45
6
7 • Whether the defendant was acting for work-related reasons. However, the fact that a
8 defendant acts for personal reasons does not necessarily prevent a finding that the
9 defendant is acting under color of state law. A defendant who pursues a personal goal, but
10 who uses governmental authority to do so, acts under under color of state law.46
11
12 • Whether the defendant’s actions were related to his or her job as a government official.47
13
14 • Whether the events took place within the geographic area covered by the defendant’s
15 department.48
16
17 • Whether the defendant identified himself or herself as a government official.49
18
19 • Whether the defendant was wearing official clothing.50
43
West, 487 U.S. at 50.
44
Bonenberger, 132 F.3d at 24.
45
Bonenberger, 132 F.3d at 24.
46
Basista, 340 F.2d at 80-81.
47
Barna v. City of Perth Amboy, 42 F.3d 809, 816 (3d Cir. 1994). See also
Galena v. Leone, 638 F.3d 186, 197 (3d Cir. 2011) (citing Barna and stating that “there is
no doubt that Leone was acting under color of state law when, in his official capacity as
chairperson of the Council, he ordered the deputy sheriff to escort Galena from the
Council meeting”).
48
See id. at 816-17.
49
See Griffin, 378 U.S. at 135.
50
See Abraham, 183 F.3d at 287.
19
Last updated July 2019
4.4.2 Section 1983 – When an Official Acted under Color of State Law
51
See Bonenberger, 132 F.3d at 24.
20
Last updated July 2019
4.4.3 Section 1983 – Whether a Private Person Conspired with a State Official
52
If the private person hires the state official to do the act that constitutes the
violation, and the state official agrees to be hired for that purpose, then this constitutes
22
Last updated July 2019
4.4.3 Section 1983 – Whether a Private Person Conspired with a State Official
action under color of state law under the conspiracy theory. See Abbott v. Latshaw, 164
F.3d 141, 147-48 (3d Cir. 1998).
53
See, e.g., Victory Outreach Center v. Melso, 371 F. Supp. 2d 642, 646 (E.D.Pa.
2004) (noting that “neither the Supreme Court nor the Third Circuit has addressed the
issue of whether a private corporation can be held liable for the acts of its employees on a
respondeat superior theory” in a Section 1983 case, and holding that respondeat superior
liability is unavailable); Taylor v. Plousis, 101 F. Supp. 2d 255, 263-64 & n.4 (D.N.J.
2000) (holding respondeat superior liability unavailable, but noting “a lingering doubt
whether the public policy considerations underlying the Supreme Court’s decision in
Monell should apply when a governmental entity chooses to discharge a public obligation
by contract with a private corporation”); Miller v. City of Philadelphia, 1996 WL 683827,
at *3 (E.D.Pa. Nov. 25, 1996) (holding respondeat superior liability unavailable, and
stating that “most courts that have addressed the issue have concluded that private
corporations cannot be vicariously liable under § 1983").
54
Cf. Thomas v. Zinkel, 155 F. Supp. 2d 408, 412 (E.D.Pa. 2001) (“Liability of
[local government] entities may not rest on respondeat superior, but rather must be based
upon a governmental policy, practice, or custom that caused the injury. . . . The same
standard applies to a private corporation, like CPS, that is acting under color of state
law.”).
55
This discussion assumes that the state official acts under color of state law
when he commits the violation.
23
Last updated July 2019
4.4.3 Section 1983 – Whether a Private Person Conspired with a State Official
1 “[T]he final act challenged by Tarkanian – his suspension – was committed by UNLV” (a state
2 actor), and the dispute focused on whether the NCAA acted under color of state law in directing
3 UNLV to suspend Tarkanian. The Court held that the NCAA did not act under color of state law:
4 “It would be more appropriate to conclude that UNLV has conducted its athletic program under
5 color of the policies adopted by the NCAA, rather than that those policies were developed and
6 enforced under color of Nevada law.” Id. at 199. In so holding, the Court rejected the plaintiff’s
7 contention that “the power of the NCAA is so great that the UNLV had no practical alternative to
8 compliance with its demands”: As the Court stated, “[w]e are not at all sure this is true, but even
9 if we assume that a private monopolist can impose its will on a state agency by a threatened refusal
10 to deal with it, it does not follow that such a private party is therefore acting under color of state
11 law.” Id. at 198-99.
12
13 It is possible to distinguish Tarkanian from the scenarios mentioned above. In one sense,
14 Tarkanian might have presented a more persuasive case of action under color of state law, since
15 the NCAA directed UNLV to do the very act that constituted the violation.56 On the other hand, a
16 person’s employment of an off-duty state official might present a more persuasive case in other
17 respects, in the sense that an off-duty police officer might in fact be guided by the private
18 employer’s wishes to a greater extent than UNLV would willingly be guided by the NCAA’s
19 wishes. Thus, Tarkanian may not foreclose the possibility that a private party may act under color
20 of state law when employing a state official, even if the private party does not conspire with the
21 official concerning the act that constitutes a violation of the plaintiff’s rights.57
22
23 Comments on Instruction 4.4.3 regarding conspiracy. “[T]o act ‘under color of’ state law
24 for § 1983 purposes does not require that the defendant be an officer of the State. It is enough that
25 he is a willful participant in joint action with the State or its agents. Private persons, jointly engaged
26 with state officials in the challenged action, are acting see [sic] ‘under color’ of law for purposes
27 of § 1983 actions.” Dennis v. Sparks, 449 U.S. 24, 27-28 (1980) (citing Adickes v. S. H. Kress &
56
The Tarkanian majority indicated that the NCAA’s directive to UNLV, and the fact
that UNLV decided to follow that directive, did not establish that the NCAA and UNLV
conspired (for purposes of showing that the NCAA acted under color of state law). See
Tarkanian, 488 U.S. at 197 n.17.
57
In Cruz v. Donnelly, 727 F.2d 79 (3d Cir. 1984), “two police officers, acting at the
request of [a private] company's employee, stripped and searched the plaintiff for stolen goods,”
id. at 79. Because the court in Cruz found no indication that the store employee exercised
control over the officers, Cruz does not address the issue discussed in the text. See id. at 81
(“Cruz' allegations depict only a police investigation that happens to follow the course suggested
by comments from a complainant.”).
24
Last updated July 2019
4.4.3 Section 1983 – Whether a Private Person Conspired with a State Official
1 Co., 398 U.S. 144, 152 (1970); United States v. Price, 383 U.S. 787, 794 (1966)); see also Abbott
2 v. Latshaw, 164 F.3d 141, 147-48 (3d Cir. 1998). “[A]n otherwise private person acts ‘under color
3 of’ state law when engaged in a conspiracy with state officials to deprive another of federal rights.”
4 Tower v. Glover, 467 U.S. 914, 920 (1984) (citing Dennis, 449 U.S. at 27-28); see also Adickes,
5 398 U.S. at 152 (“Although this is a lawsuit against a private party, not the State or one of its
6 officials, . . . petitioner will have made out a violation of her Fourteenth Amendment rights and
7 will be entitled to relief under § 1983 if she can prove that a Kress employee, in the course of
8 employment, and a Hattiesburg policeman somehow reached an understanding to deny Miss
9 Adickes service in The Kress store . . . .”).58 The existence of a conspiracy can be proved through
10 circumstantial evidence. See, e.g., Adickes, 398 U.S. at 158 (“If a policeman were present, we
11 think it would be open to a jury, in light of the sequence that followed, to infer from the
12 circumstances that the policeman and a Kress employee had a 'meeting of the minds' and thus
13 reached an understanding that petitioner should be refused service.”).59
14
15 The Third Circuit has suggested that the plaintiff must establish the elements of a civil
16 conspiracy in order to use the existence of the conspiracy to demonstrate state action. See Melo v.
17 Hafer, 912 F.2d 628, 638 n.11 (3d Cir. 1990) (addressing plaintiff’s action-under-color-of-state-
58
See also Cruz, 727 F.2d at 81 (“[A] store and its employees cannot be held
liable under § 1983 unless: (1) the police have a pre-arranged plan with the store; and (2)
under the plan, the police will arrest anyone identified as a shoplifter by the store without
independently evaluating the presence of probable cause.”); Max v. Republican
Committee of Lancaster County, 587 F.3d 198, 203 (3d Cir. 2009) (“Even if we accept
the premise that poll-workers are state actors while guarding the integrity of an election,
the defendants here ... are not the poll-watchers. Defendants here are private parties.... At
most, defendants used the poll-workers to obtain information. This is not the same as
conspiring to violate Max's First Amendment rights.”).
59
In Startzell v. City of Philadelphia, 533 F.3d 183 (3d Cir. 2008), the Court of
Appeals upheld the grant of summary judgment dismissing conspiracy claims under 42
U.S.C. §§ 1983 and 1985 because the plaintiffs failed to show the required “meeting of
the minds.” See Startzell, 533 F.3d at 205 (“Philly Pride and the City ‘took diametrically
opposed positions’ regarding how to deal with Appellants' presence at OutFest.... The
City rejected Philly Pride's requests to exclude Appellants from attending OutFest;
moreover, the police forced the Pink Angels to allow Appellants to enter OutFest under
threat of arrest. It was also the vendors' complaints, not requests by Philly Pride, that led
the police officers to order Appellants to move toward OutFest's perimeter.”). See
also Great Western Mining & Mineral Co. v. Fox Rothschild LLP, 615 F.3d 159, 179 (3d
Cir. 2010) (holding that plaintiff’s proposed amended complaint failed to plead “any facts
that plausibly suggest a meeting of the minds” between the defendants and state-court
judges who allegedly hoped for future employment with one of the defendants).
25
Last updated July 2019
4.4.3 Section 1983 – Whether a Private Person Conspired with a State Official
1 law argument and “assum[ing], without deciding, that the complaint alleges the prerequisites of a
2 civil conspiracy”), aff'd on other grounds, 502 U.S. 21 (1991). The Melo court cited a Seventh
3 Circuit opinion that provides additional detail on those elements. See Melo, 912 F.2d at 638 &
4 n.11 (citing Hampton v. Hanrahan, 600 F.2d 600, 620-21 (7th Cir. 1979), rev’d in part on other
5 grounds, 446 U.S. 754 (1980)). Melo’s citation to Hampton suggests that the plaintiff must show
6 both a conspiracy to violate the plaintiff’s federal rights and an overt act in furtherance of the
7 conspiracy that results in such a violation. See Hampton, 600 F.2d at 620-21 (discussing agreement
8 and overt act requirements). Of course, in order to find liability under Section 1983, the jury must
9 in any event find a violation of the plaintiff’s federal rights; and it will often be the case that the
10 relevant act in violation of the plaintiff’s federal rights would necessarily have constituted an
11 action by a co-conspirator in furtherance of the conspiracy. This may explain why the Supreme
12 Court’s references to the “conspiracy” test do not emphasize the overt-act-resulting-in-violation
13 requirement. See, e.g., Adickes, 398 U.S. at 152.
14
15 In appropriate cases, the existence of a conspiracy may also establish that a federal official
16 was acting under color of state law. See Hindes v. F.D.I.C., 137 F.3d 148, 158 (3d Cir. 1998)
17 (“[F]ederal officials are subject to section 1983 liability when sued in their official capacity where
18 they have acted under color of state law, for example in conspiracy with state officials.”).
26
Last updated July 2019
4.5 Section 1983 – Deprivation of a Federal Right
27
Last updated July 2019
4.6.1 Section 1983 – Supervisory Officials
1 had authority over [subordinate] and that [supervisor] actually knew that [subordinate] was
2 violating [plaintiff’s] rights but failed to stop [subordinate] from doing so, you may infer that
3 [supervisor] acquiesced in [subordinate’s] conduct.
4
5 Finally, the third way for [plaintiff] to show that [supervisor] is liable for [subordinate’s]
6 conduct is to show that [supervisor], with deliberate indifference to the consequences, established
7 and maintained a policy, practice or custom which directly caused the conduct. [Plaintiff] alleges
8 that [supervisor] should have [adopted a practice of] [followed the existing policy of] [describe
9 supervisory practice or policy that plaintiff contends supervisor should have adopted or followed].
10
11 To prove that [supervisor] is liable for [subordinate’s] conduct based on [supervisor’s]
12 failure to [adopt that practice] [follow that policy], [plaintiff] must prove all of the following four
13 things by a preponderance of the evidence:
14
15 First: [The existing custom and practice without [describe supervisory practice]] [the
16 failure to follow the policy of [describe policy]] created an unreasonable risk of [describe
17 violation].
18
19 Second: [Supervisor] was aware that this unreasonable risk existed.
20
21 Third: [Supervisor] was deliberately indifferent to that risk.
22
23 Fourth: [Subordinate’s] [describe violation] resulted from [supervisor’s] failure to [adopt
24 [describe supervisory practice]] [follow [describe policy]].
25
26
27 Comment
28
29 Note concerning Instruction 4.6.1 and Ashcroft v. Iqbal: Instruction 4.6.1 was originally
30 drafted based on Third Circuit law prior to Ashcroft v. Iqbal, 129 S. Ct. 1937 (2009). Iqbal
31 involved the request by John Ashcroft and Robert Mueller for review of the denial of their motions
32 to dismiss the claims of Javaid Iqbal, who alleged that Ashcroft and Mueller “adopted an
33 unconstitutional policy that subjected [him] to harsh conditions of confinement on account of his
34 race, religion, or national origin” in the wake of September 11, 2001. Iqbal, 129 S. Ct. at 1942.
35 In Iqbal, a closely-divided Court concluded that “vicarious liability is inapplicable to Bivens and
36 § 1983 suits” and that therefore “a plaintiff must plead that each Government-official defendant,
37 through the official's own individual actions, has violated the Constitution.” Iqbal, 129 S. Ct. at
38 1948. It is not yet clear what Iqbal’s implications are for the theories of supervisors’ liability that
29
Last updated July 2019
4.6.1 Section 1983 – Supervisory Officials
60
For cases indicating that some or all of the Third Circuit’s supervisory-liability
standards survive Iqbal, see, e.g., McKenna v. City of Philadelphia, 582 F.3d 447, 460-61 (3d
Cir. 2009) (upholding grant of judgment as a matter of law to defendants on supervisory liability
claims and explaining that “[t]o be liable in this situation, a supervisor must have been involved
personally, meaning through personal direction or actual knowledge and acquiescence, in the
wrongs alleged”); Reedy v. Evanson, 615 F.3d 197, 231 (3d Cir. 2010) (applying the framework
set by Baker v. Monroe Tp., 50 F.3d 1186 (3d Cir. 1995), and affirming dismissal of supervisory-
liability claim based on lack of evidence “that Mannell directed Evanson to take or not to take
any particular action concerning Reedy that would amount to a violation of her constitutional
rights”); Marrakush Soc. v. New Jersey State Police, 2009 WL 2366132, at *31 (D.N.J. July 30,
2009) (“Personal involvement can be asserted through allegations of facts showing that a
defendant directed, had actual knowledge of, or acquiesced in, the deprivation of a plaintiff's
constitutional rights.”).
For decisions that noted the question whether those standards survive Iqbal, see Santiago
v. Warminster Twp., 629 F.3d 121, 130 n.8 (3d Cir. 2010) (“Numerous courts, including this one,
have expressed uncertainty as to the viability and scope of supervisory liability after Iqbal....
Because we hold that Santiago's pleadings fail even under our existing supervisory liability test,
we need not decide whether Iqbal requires us to narrow the scope of that test.”); Argueta v. U.S.
Immigration & Customs Enforcement, 643 F.3d 60, 70 (3d Cir. 2011) (“To date, we have
refrained from answering the question of whether Iqbal eliminated – or at least narrowed the
scope of – supervisory liability because it was ultimately unnecessary to do so in order to dispose
of the appeal then before us.... We likewise make the same choice here....”).
61
Cf. Bayer v. Monroe County Children and Youth Services, 577 F.3d 186, 190 n.5 (3d
Cir. 2009) (“The [district] court concluded that plaintiffs had created a triable issue ‘as to
whether Defendant Bahl had personal knowledge regarding the Fourteenth Amendment
procedural due process violation.’ In light of the Supreme Court's recent decision in [Iqbal], it is
uncertain whether proof of such personal knowledge, with nothing more, would provide a
sufficient basis for holding Bahl liable with respect to plaintiffs' Fourteenth Amendment claims
30
Last updated July 2019
4.6.1 Section 1983 – Supervisory Officials
1 dissenters in Iqbal; accordingly, the Iqbal majority’s conclusion that the plaintiff had failed to state
2 a claim, coupled with the majority’s statements concerning the non-existence of vicarious liability,
3 might be read to cast some question on the viability of those two alternatives.
4
5 However, the scope of Iqbal’s holding is subject to dispute. Though dictum in Iqbal
6 addresses Section 1983 claims, the holding concerns Bivens claims. Though Iqbal purports to
7 outlaw “vicarious liability” in both types of cases, it cites Monell with approval and indicates no
8 intent to displace existing doctrines of municipal liability (which are, in their conceptual structure,
9 quite similar to the theories of supervisor liability discussed in Instruction 4.6.1 and this
10 Comment).62 And Iqbal itself concerned a type of constitutional violation – discrimination on the
11 basis of race, religion and/or national origin – that requires a showing of “discriminatory purpose”;
12 it is possible to read Iqbal as turning upon the notion that, to be liable for a subordinate’s
13 constitutional violation, the supervisor must have the same level of scienter as is required to
14 establish the underlying constitutional violation.63 On that reading, a claim that requires a lesser
15 showing of scienter for the underlying violation – for example, a Fourth Amendment excessive
16 force claim – might have different implications (for purposes of the supervisor’s liability) than a
17 claim that requires a showing of purposeful discrimination for the underlying violation.
18
19 The court of appeals has begun to settle some of these issues. In Barkes v. First
20 Correctional Medical, 766 F.3d 307 (3d Cir. 2014), rev’d on other grounds, 135 S. Ct. 2042
21 (2015), it applied Iqbal to a section 1983 action. In addition, it held, as suggested above, that,
22 “under Iqbal, the level of intent necessary to establish supervisory liability will vary with the
23 underlying constitutional tort alleged.” Id. at 319. The underlying constitutional tort in Barkes was
24 “the denial of adequate medical care in violation of the Eighth Amendment’s prohibition on cruel
25 and unusual punishment, and the accompanying mental state is subjective deliberate indifference.”
26 Id. It therefore held that the standard previously announced in Sample v. Diecks, 885 F.2d 1099,
27 1117-18 (3d Cir. 1989), for imposing supervisory liability based on an Eighth Amendment
28 violation is consistent with Iqbal. It left for another day the question whether and under what
31
Last updated July 2019
4.6.1 Section 1983 – Supervisory Officials
1 circumstances a claim for supervisory liability derived from a violation of a different constitutional
2 provision remains valid. See also Chavarriaga v. New Jersey Dept. of Corr., 806 F.3d 210 (3d Cir.
3 2015) (applying Sample to Eighth Amendment claims and stating that “liability under 1983 may
4 be imposed on an official with final policymaking authority if that official establishes an
5 unconstitutional policy that, when implemented, injures a plaintiff”); cf. Palakovic v. Wetzel, 854
6 F.3d 209, 225 n.17 (3d Cir. 2017) (noting that Iqbal may have called into question “whether a
7 supervisor may be held indirectly liable for deficient policies under Sample,” but avoiding that
8 question because the complaint was sufficient to support a direct claim against prison supervisors
9 under the deliberate indifference test of Farmer v. Brennan, 511 U.S. 825 (1994)).
10
11 Palakovic concluded that supervisors could be directly liable because of allegations that a
12 prisoner diagnosed with serious mental health issues was placed in solitary confinement and “the
13 increasingly obvious reality that extended stays in solitary confinement can cause serious damage
14 to mental health.” 854 F.3d at 226. For similar reasons, it held that a failure to train claim against
15 supervisory defendants was sufficient because of allegations that the supervisors “provided
16 essentially no training on suicide, mental health, or the impact of solitary confinement, and simply
17 acquiesced in the repeated placement of mentally ill prisoners . . . in solitary confinement.” Id. at
18 234. Similarly, in Wharton v. Danberg, 854 F.3d 234, 243 (3d Cir. 2017), the court of appeals
19 stated that “supervisors are liable only for their own acts,” and that in the context of a case
20 involving the detention of prisoners beyond when they should be released, are liable only if they
21 acted with deliberate indifference to the constitutional harm done by their policy, practice, or
22 custom. See also E. D. v. Sharkey, 928 F.3d 299, 309 (3d Cir. 2019) (holding that “there is enough
23 evidence to support an inference that the Defendants knew of the risk facing [an immigration
24 detainee], and that their failure to take additional steps to protect her—acting in their capacity as
25 either a co-worker or supervisor—could be viewed by a factfinder as the sort of deliberate
26 indifference to a detainee’s safety that the Constitution forbids”) (internal quotation marks
27 omitted). Cf. Ziglar v. Abbasi, 137 S. Ct. 1843, 1864 (2017) (assuming, without deciding, that the
28 substantive standard for a Bivens claim against a warden for allowing prison guards to abuse
29 detainees would be whether the warden showed “deliberate indifference” to prisoner abuse while
30 stating that “a Bivens claim is brought against the individual official for his or her own acts, not
31 the acts of others,” and that “Bivens is not designed to hold officers responsible for acts of their
32 subordinates”).
33
34 In Parkell v. Danberg, 833 F.3d 313, 331 (3d Cir. 2016), the court of appeals held that a
35 supervisor who “passively permits his subordinates to implement a policy that was set by someone
36 else and is beyond the official’s authority to change” is not subject to supervisory liability. A prison
37 warden who knew about a search practice was not subject to supervisory liability because the
38 plaintiff failed to point to “any evidence of where the search policy, practice, or custom came
39 from,” and it might have been established by the Department of Corrections, leaving the warden
40 with no authority to change it. Id. at 331. Parkell also held that the standard for supervisory liability
41 does not apply to injunctions, so that the defendants’ lack of “personal involvement in past
32
Last updated July 2019
4.6.1 Section 1983 – Supervisory Officials
1 constitutional violations does not preclude . . . prospective injunctive relief” against a defendant.
2 Id. at 332. See also Mack v. Warden Loretto FCI, 839 F.3d 286 (3d Cir. 2016) (affirming the
3 dismissal of a claim against a warden and deputy warden because the “complaint makes clear that
4 [the plaintiff] only spoke to these defendants after the alleged retaliation occurred,” and provides
5 no basis for inferring that they “were personally involved in any purported retaliation”), overruled
6 on other grounds, Bistrian v. Levi, 912 F.3d 79, 95-96 (3d Cir. 2018).
7
8 Pending further guidance from the Supreme Court or the court of appeals, the Committee
9 decided to alert readers to these issues without attempting to anticipate the further development of
10 the law in this area. In determining whether to employ some or all portions of Instruction 4.6.1,
11 courts should give due attention to the implications of Iqbal for the particular type of claim at
12 issue. See also Wood v. Moss, 134 S. Ct. 2056 (2014) (relying on Iqbal in a case alleging viewpoint
13 discrimination and declining to infer from alleged misconduct by some Secret Service agents an
14 unwritten Secret Service policy to “suppress disfavored expression, and then to attribute that
15 supposed policy to all field-level operatives”).
16
17 The remainder of this Comment discusses Third Circuit law as it stood prior to Iqbal.
18
19 Discussion of pre-Iqbal caselaw
20
21 A supervisor incurs Section 1983 liability in connection with the actions of another only if
22 he or she had “personal involvement in the alleged wrongs.” Rode v. Dellarciprete, 845 F.2d 1195,
23 1207 (3d Cir. 1988). In the Third Circuit,64 “[p]ersonal involvement can be shown through
24 allegations of personal direction or of actual knowledge and acquiescence.” Id.; see also C.N. v.
25 Ridgewood Bd. of Educ., 430 F.3d 159, 173 (3d Cir. 2005) (“To impose liability on the individual
26 defendants, Plaintiffs must show that each one individually participated in the alleged
27 constitutional violation or approved of it.”); Baker v. Monroe Tp., 50 F.3d 1186, 1194 (3d Cir.
28 1995) (noting that “actual knowledge can be inferred from circumstances other than actual sight”);
29 A.M. ex rel. J.M.K. v. Luzerne County Juvenile Detention Center, 372 F.3d 572, 586 (3d Cir. 2004)
30 (noting that “a supervisor may be personally liable under § 1983 if he or she participated in
31 violating the plaintiff's rights, directed others to violate them, or, as the person in charge, had
32 knowledge of and acquiesced in his subordinates' violations”); Black v. Stephens, 662 F.2d 181,
33 189 (3d Cir. 1981) (“To hold a police chief liable under section 1983 for the unconstitutional
34 actions of one of his officers, a plaintiff is required to establish a causal connection between the
35 police chief's actions and the officer's unconstitutional activity.”). The model instruction is
36 designed for cases in which the plaintiff does not assert that the supervisor directly participated in
37 the activity; if the plaintiff provides evidence of direct participation, the instruction can be altered
64
See Baker v. Monroe Tp., 50 F.3d 1186, 1194 n.5 (3d Cir. 1995) (noting that “other
circuits have developed broader standards for supervisory liability under section 1983”).
33
Last updated July 2019
4.6.1 Section 1983 – Supervisory Officials
1 to reflect that direct participation by the supervisor is also a basis for liability.
2
3 A number of circumstances may bear upon the determination concerning actual
4 knowledge. See, e.g., Atkinson v. Taylor, 316 F.3d 257, 271 (3d Cir. 2003) (holding, with respect
5 to commissioner of state department of corrections, that “[t]he scope of his responsibilities are
6 much more narrow than that of a governor or state attorney general, and logically demand more
7 particularized scrutiny of individual complaints”).
8
9 As to acquiescence, “[w]here a supervisor with authority over a subordinate knows that the
10 subordinate is violating someone's rights but fails to act to stop the subordinate from doing so, the
11 factfinder may usually infer that the supervisor ‘acquiesced’ in (i.e., tacitly assented to or accepted)
12 the subordinate's conduct.” Robinson v. City of Pittsburgh, 120 F.3d 1286, 1294 (3d Cir. 1997).
13
14 A supervisor with policymaking authority may also, in an appropriate case, be liable based
15 on the failure to adopt a policy.65 See A.M. ex rel. J.M.K., 372 F.3d at 586 (“Individual defendants
16 who are policymakers may be liable under § 1983 if it is shown that such defendants, ‘with
17 deliberate indifference to the consequences, established and maintained a policy, practice or
18 custom which directly caused [the] constitutional harm. ’ ”) (quoting Stoneking v. Bradford Area
19 Sch. Dist., 882 F.2d 720, 725 (3d Cir.1989)). The analysis of such a claim appears to track the
20 deliberate indifference analysis employed in the context of municipal liability. See id. (holding
21 that summary judgment for the supervisors in their individual capacities was inappropriate,
22 “[g]iven our conclusion that A.M. presented sufficient evidence to present a jury question on” the
23 issue of municipal liability for failure to adopt adequate policies); Sample v. Diecks, 885 F.2d
24 1099, 1117-18 (3d Cir. 1989) (“Although the issue here is one of individual liability rather than of
25 the liability of a political subdivision, we are confident that, absent official immunity, the standard
26 of individual liability for supervisory public officials will be found to be no less stringent than the
27 standard of liability for the public entities that they serve.”); see also id. at 1118 (holding that “a
28 judgment could not properly be entered against Robinson in this case based on supervisory liability
29 absent an identification by Sample of a specific supervisory practice or procedure that Robinson
30 failed to employ and specific findings by the district court that (1) the existing custom and practice
31 without that specific practice or procedure created an unreasonable risk of prison overstays, (2)
32 Robinson was aware that this unreasonable risk existed, (3) Robinson was indifferent to that risk,
65
When a supervisor with policymaking authority is sued on a failure-to-train
theory, the standard appears to be the same as for municipal liability. See Gilles v. Davis,
427 F.3d 197, 207 n.7 (3d Cir. 2005) (“A supervising authority may be liable under §
1983 for failing to train police officers when the failure to train demonstrates deliberate
indifference to the constitutional rights of those with whom the officers may come into
contact.”); see also infra Comment 4.6.7 (discussing municipal liability for failure to
train).
34
Last updated July 2019
4.6.1 Section 1983 – Supervisory Officials
1 and (4) Diecks' failure to assure that Sample's complaint received meaningful consideration
2 resulted from Robinson's failure to employ that supervisory practice or procedure”).
35
Last updated July 2019
4.6.2 Section 1983 – Failure to Intervene
1 Cir. 2019) (holding that “there is enough evidence to support an inference that the Defendants
2 knew of the risk facing [an immigration detainee], and that their failure to take additional steps to
3 protect her—acting in their capacity as either a co-worker or supervisor—could be viewed by a
4 factfinder as the sort of deliberate indifference to a detainee’s safety that the Constitution forbids”)
5 (internal quotation marks omitted).
37
Last updated July 2019
4.6.3 Section 1983 – Municipalities – General Instruction
66
Forrest v. Parry, No. 16-4351, 2019 WL 2998601 (3d Cir. July 10, 2019), was decided after the
last meeting of the Committee; its impact on this Instruction will be considered by the Committee
at its next meeting.
38
Last updated July 2019
4.6.3 Section 1983 – Municipalities – General Instruction
1 I will now proceed to give you more details on [each of] the way[s] in which [plaintiff] may try to
2 establish that an official policy or custom of [municipality] caused the deprivation.
3
4
5 Comment
6 “[M]unicipalities and other local government units [are] included among those persons to
7 whom § 1983 applies.” Monell v. Department of Social Services of City of New York, 436 U.S.
8 658, 690 (1978) (overruling in relevant part Monroe v. Pape, 365 U.S. 167 (1961)). However, “a
9 municipality cannot be held liable under § 1983 on a respondeat superior theory.” Id. at 691.67
10 “Instead, it is when execution of a government's policy or custom, whether made by its lawmakers
11 or by those whose edicts or acts may fairly be said to represent official policy, inflicts the injury
12 that the government as an entity is responsible under § 1983.” Id. at 694.68 The Court has
13 elaborated several ways in which a municipality can cause a violation and thus incur liability. See
14 Instructions 4.6.4 - 4.6.8 and accompanying Comments for further details on each theory of
15 liability.
16
17 Ordinarily, proof of municipal liability in connection with the actions of ground-level
18 officers will require, inter alia, proof of a constitutional violation by one or more of those officers.69
67
A suit against a municipal policymaking official in her official capacity is
treated as a suit against the municipality. See A.M. ex rel. J.M.K. v. Luzerne County
Juvenile Detention Center, 372 F.3d 572, 580 (3d Cir. 2004).
68
A similar principle applies to claims against a private corporation providing medical
services under contract with a state prison system. Palakovic v. Wetzel, 854 F.3d 209, 232 (3d
Cir. 2017) (holding that to state such a claim, “a plaintiff must allege a policy or custom that
resulted in the alleged constitutional violations at issue”) (citing Natale v. Camden Cty. Corr.
Facility, 318 F.3d 575, 583-84 (3d Cir. 2003)).
39
Last updated July 2019
4.6.3 Section 1983 – Municipalities – General Instruction
1 See, e.g., Grazier ex rel. White v. City of Philadelphia, 328 F.3d 120, 124 (3d Cir. 2003) (“There
2 cannot be an ‘award of damages against a municipal corporation based on the actions of one of its
3 officers when in fact the jury has concluded that the officer inflicted no constitutional harm. ’ ”)
4 (quoting City of Los Angeles v. Heller, 475 U.S. 796, 799 (1986) (per curiam)). In Fagan v. City
5 of Vineland, however, the court held that “a municipality can be liable under section 1983 and the
6 Fourteenth Amendment for a failure to train its police officers with respect to high-speed
7 automobile chases, even if no individual officer participating in the chase violated the
8 Constitution.” Fagan v. City of Vineland, 22 F.3d 1283, 1294 (3d Cir. 1994). A later Third Circuit
9 panel suggested that the court erred in Fagan when it dispensed with the requirement of an
10 underlying constitutional violation. See Mark v. Borough of Hatboro, 51 F.3d 1137, 1153 n.13
11 (3d Cir. 1995) (“It appears that, by focusing almost exclusively on the ‘deliberate indifference’
12 prong . . . , the panel opinion did not apply the first prong – establishing an underlying
13 constitutional violation.”). It appears that the divergence between Fagan and Mark reflects a
14 distinction between cases in which the municipality’s liability is derivative of the violation(s) by
15 the ground-level officer(s) and cases in which the plaintiff seeks to show that the municipality’s
16 conduct itself is unconstitutional: As the court explained in Grazier, “We were concerned in
17 Fagan that, where the standard for liability is whether state action ‘shocks the conscience,’ a city
18 could escape liability for deliberately malicious conduct by carrying out its misdeeds through
19 officers who do not recognize that their orders are unconstitutional and whose actions therefore do
20 not shock the conscience.” Grazier, 328 F.3d at 124 n.5 (stating that the holding in Fagan was
21 “carefully confined . . . to its facts: a substantive due process claim resulting from a police pursuit,”
22 and holding that Fagan did not apply to “a Fourth Amendment excessive force claim”). See also
23 Thomas v. Cumberland County, 749 F.3d 217 (3d Cir. 2014) (reversing a grant of summary
24 judgment for county, even though the two individual officer defendants prevailed, without
25 discussing whether the county’s liability requires proof of a constitutional violation by an
26 individual officer); Barna v. Board of School Directors of the Panther Valley School District, 877
27 F.3d 136, 145, n.6 (3d Cir. 2017) (stating that “ ‘precedent in our circuit requires the district court
28 to review the plaintiffs’ municipal liability claims independently of the section 1983 claims against
29 the individual . . . officers.’ ”) (quoting Kneipp v. Tedder, 95 F.3d 1199, 1213 (3d Cir. 1996));
30 Lozman v. City of Riviera Beach, Fla., 138 S. Ct. 1945 (2018) (holding that a plaintiff suing a
31 municipality for arresting him in retaliation for his exercise of First Amendment rights, where
32 municipal liability was predicated on a policy adopted by the municipal legislators, need not show
33 that the arrest was without probable cause, while reserving the question whether probable cause
34 would defeat a First Amendment retaliation claim against an individual officer).
35
36 In addition to showing the existence of an official policy or custom, plaintiff must prove
37 “that the municipal practice was the proximate cause of the injuries suffered.” Bielevicz v.
38 Dubinon, 915 F.2d 845, 850 (3d Cir. 1990). “To establish the necessary causation, a plaintiff must
have found that there was no violation of Appellants' constitutional rights, we need not reach the
claim against the City under Monell.”).
40
Last updated July 2019
4.6.3 Section 1983 – Municipalities – General Instruction
1 demonstrate a ‘plausible nexus’ or ‘affirmative link’ between the municipality's custom and the
2 specific deprivation of constitutional rights at issue.” Id. (quoting City of Oklahoma City v. Tuttle,
3 471 U.S. 808, 823 (1985); and Estate of Bailey by Oare v. County of York, 768 F.2d 503, 507 (3d
4 Cir.1985), overruled on other grounds by DeShaney v. Winnebago County Department of Social
5 Services, 489 U.S. 189 (1989)); see also Bielevicz, 915 F.2d at 851 (holding that “plaintiffs must
6 simply establish a municipal custom coupled with causation – i.e., that policymakers were aware
7 of similar unlawful conduct in the past, but failed to take precautions against future violations, and
8 that this failure, at least in part, led to their injury”); Carswell v. Borough of Homestead, 381 F.3d
9 235, 244 (3d Cir. 2004) (“There must be ‘a direct causal link between a municipal policy or custom
10 and the alleged constitutional deprivation. ’ ”) (quoting Brown v. Muhlenberg Township, 269 F.3d
11 205, 214 (3d Cir. 2001) (quoting Canton, 489 U.S. at 385)). “As long as the causal link is not too
12 tenuous, the question whether the municipal policy or custom proximately caused the
13 constitutional infringement should be left to the jury.” Bielevicz, 915 F.2d at 851. “A sufficiently
14 close causal link between ... a known but uncorrected custom or usage and a specific violation is
15 established if occurrence of the specific violation was made reasonably probable by permitted
16 continuation of the custom.” Id. (quoting Spell v. McDaniel, 824 F.2d 1380, 1391 (4th Cir. 1987));
17 see also A.M. ex rel. J.M.K. v. Luzerne County Juvenile Detention Center, 372 F.3d 572, 582 (3d
18 Cir. 2004) (“The deficiency of a municipality's training program must be closely related to the
19 plaintiff's ultimate injuries.”).
20
21 In the case of claims (such as failure-to-train claims) that require proof of deliberate
22 indifference, evidence that shows deliberate indifference will often help to show causation as well.
23 Reflecting on failure-to-train cases, the Court has observed:
24
25 The likelihood that the situation will recur and the predictability that an officer
26 lacking specific tools to handle that situation will violate citizens' rights could
27 justify a finding that policymakers' decision not to train the officer reflected
28 "deliberate indifference" to the obvious consequence of the policymakers' choice –
29 namely, a violation of a specific constitutional or statutory right. The high degree
30 of predictability may also support an inference of causation – that the municipality's
31 indifference led directly to the very consequence that was so predictable.
32
33 Board of County Com'rs of Bryan County, Okl. v. Brown, 520 U.S. 397, 409-10 (1997).
41
Last updated July 2019
4.6.4 Section 1983 – Municipalities – Statute, Ordinance or Regulation
42
Last updated July 2019
4.6.5 Section 1983 – Choice by Policymaking Official
43
Last updated July 2019
4.6.5 Section 1983 – Choice by Policymaking Official
1 Board delegated him the authority to speak for the Board or acquiesced in his statements.”). In
2 this context, “municipal liability under § 1983 attaches where – and only where – a deliberate
3 choice to follow a course of action is made from among various alternatives by the official or
4 officials responsible for establishing final policy with respect to the subject matter in question.”
5 Pembaur v. City of Cincinnati, 475 U.S. 469, 483 (1986) (plurality opinion); see also Kneipp v.
6 Tedder, 95 F.3d 1199, 1213 (3d Cir. 1996) (“In order to ascertain who is a policymaker, ‘a court
7 must determine which official has final, unreviewable discretion to make a decision or take action.
8 ’ ”) (quoting Andrews v. City of Philadelphia, 895 F.2d 1469, 1481 (3d Cir. 1990)). “[W]hether a
9 particular official has ‘final policymaking authority’ is a question of state law.” City of St. Louis
10 v. Praprotnik, 485 U.S. 112, 123 (1988) (plurality opinion); see also McMillian v. Monroe County,
11 Ala., 520 U.S. 781, 786 (1997) (“This is not to say that state law can answer the question for us
12 by, for example, simply labeling as a state official an official who clearly makes county policy.
13 But our understanding of the actual function of a governmental official, in a particular area, will
14 necessarily be dependent on the definition of the official's functions under relevant state law.”).70
15 “As with other questions of state law relevant to the application of federal law, the identification
16 of those officials whose decisions represent the official policy of the local governmental unit is
17 itself a legal question to be resolved by the trial judge before the case is submitted to the jury.”
18 Jett v. Dallas Independent School Dist., 491 U.S. 701, 737 (1989).
19
20 [T]he trial judge must identify those officials or governmental bodies who speak
21 with final policymaking authority for the local governmental actor concerning the
22 action alleged to have caused the particular constitutional or statutory violation at
23 issue. Once those officials who have the power to make official policy on a
24 particular issue have been identified, it is for the jury to determine whether their
25 decisions have caused the deprivation of rights at issue by policies which
26 affirmatively command that it occur . . . , or by acquiescence in a longstanding
27 practice or custom which constitutes the “standard operating procedure” of the local
28 governmental entity.
29
30 Id. Not only must the official have final policymaking authority, the official must be considered
31 to be acting as a municipal official rather than a state official in order for municipal liability to
32 attach. See McMillian, 520 U.S. at 793 (holding that “Alabama sheriffs, when executing their law
33 enforcement duties, represent the State of Alabama, not their counties”).
34
35 Instruction 4.6.5 notes that a policymaker may cause a violation of a federal right by
70
See McGreevy v. Stroup, 413 F.3d 359, 369 (3d Cir. 2005) (analyzing
Pennsylvania law and concluding that “[b]ecause the school superintendent is a final
policymaker with regard to ratings, his ratings and/or those of the school principal
constitute official government policy”).
44
Last updated July 2019
4.6.5 Section 1983 – Choice by Policymaking Official
1 directing that the violation occur, authorizing the violation, or agreeing to a subordinate’s decision
2 to engage in the violation. With respect to the third option – agreement to a subordinate’s decision
3 – the relevant agreement can sometimes occur after the fact. Thus, for example, the plurality in
4 Praprotnik observed that “when a subordinate's decision is subject to review by the municipality's
5 authorized policymakers, they have retained the authority to measure the official's conduct for
6 conformance with their policies. If the authorized policymakers approve a subordinate's decision
7 and the basis for it, their ratification would be chargeable to the municipality because their decision
8 is final.” City of St. Louis v. Praprotnik, 485 U.S. 112, 127 (1988) (plurality opinion); see
9 also Brennan v. Norton, 350 F.3d 399, 427-28 (3d Cir. 2003) (citing Praprotnik); LaVerdure v.
10 County of Montgomery, 324 F.3d 123, 125 (3d Cir. 2003) (“Even though Marino himself lacked
11 final policymaking authority that could bind the County, LaVerdure could have demonstrated that
12 the Board delegated him the authority to speak for the Board or acquiesced in his statements.”);
13 Andrews v. City of Philadelphia, 895 F.2d 1469, 1481 (3d Cir. 1990) (“The second means of
14 holding the municipality liable is if Tucker knowingly acquiesced to the decisions made at AID.”).
15 In an appropriate case, Instruction 4.6.5 may be modified to refer to a policymaker’s “agreeing
16 after the fact to a subordinate’s decision to engage in the violation.”
45
Last updated July 2019
4.6.6 Section 1983 – Municipalities – Custom
71
In cases where the plaintiff must show deliberate indifference on the part of a
policymaking official, this language should be modified accordingly. See Comment.
72
This language can be used if the plaintiff introduces evidence concerning a
specific policymaking official. For a discussion of whether the plaintiff must introduce
such evidence, see Comment.
73
“A § 1983 plaintiff . . . may be able to recover from a municipality without
adducing evidence of an affirmative decision by policymakers if able to prove that the
challenged action was pursuant to a state ‘custom or usage.’” Pembaur v. City of
Cincinnati, 475 U.S. 469, 481 n.10 (1986) (plurality opinion); see also Anela v. City of
Wildwood, 790 F.2d 1063, 1069 (3d Cir. 1986) (“Even if the practices with respect to jail
conditions also were followed without formal city action, it appears that they were the
46
Last updated July 2019
4.6.6 Section 1983 – Municipalities – Custom
norm. The description of the cells revealed a long-standing condition that had become an
acceptable standard and practice for the City.”).
74
In B.S. v. Somerset County, 704 F.3d 250 (3d Cir. 2013), the Court of Appeals held that
the County was liable for violating the plaintiff’s procedural Due Process rights because the
County had a “custom of removing children from a parent's home [based on alleged abuse] without
conducting a prompt post-removal hearing if another parent can take custody,” id. at 275. The
court of appeals held that there was no need to resolve “who the relevant policymaker was” because
of the County’s “effective admission of a custom.” Id. at 275 n.36.
75
In Jett, the Court remanded for a determination of whether the school district
superintendent was a policymaking official for purposes of the plaintiff’s claims under 42 U.S.C.
§ 1981. The Court instructed that on remand Section 1983's municipal-liability standards would
govern. See id. at 735-36. “Once those officials who have the power to make official policy on
a particular issue have been identified, it is for the jury to determine whether their decisions have
caused the deprivation of rights at issue by policies which affirmatively command that it
47
Last updated July 2019
4.6.6 Section 1983 – Municipalities – Custom
1 number of subsequent cases, the Court of Appeals has read Jett to require knowledge and
2 acquiescence. In Andrews v. City of Philadelphia, 895 F.2d 1469 (3d Cir. 1990), the Court of
3 Appeals affirmed the grant of j.n.o.v. in favor of the City on the plaintiffs’ Section 1983 claims of
4 sexual harassment by their coworkers and supervisors. The court stressed that to establish
5 municipal liability “it is incumbent upon a plaintiff to show that a policymaker is responsible either
6 for the policy or, through acquiescence, for the custom.” Id. at 1480. Thus, “given the jury verdict
7 in favor of [Police Commissioner] Tucker, the lowest level policymaker implicated,” j.n.o.v. for
8 the City was warranted. Id. at 1480; see also Jiminez v. All American Rathskeller, Inc., 503 F.3d
9 247, 250 (3d Cir. 2007) (citing Andrews with approval). In Simmons v. City of Philadelphia, 947
Pembaur, 475 U.S. at 485 (White, J., concurring in part and in the judgment). Thus, the Jett
Court’s quote from Justice White’s Pembaur opinion further supports the inference that the Jett
Court did not give sustained attention to the contours of the custom branch of the municipal-
liability doctrine.
48
Last updated July 2019
4.6.6 Section 1983 – Municipalities – Custom
1 F.2d 1042 (3d Cir. 1991), a fractured court affirmed a judgment in favor of the mother of a man
2 who committed suicide while detained in a city jail. See id. at 1048. Judge Becker, announcing
3 the judgment of the court, viewed Jett as holding “that even when a plaintiff alleges that a
4 municipal custom or practice, as opposed to a municipal policy, worked a constitutional
5 deprivation, the plaintiff must both identify officials with ultimate policymaking authority in the
6 area in question and adduce scienter-like evidence – in this case of acquiescence – with respect to
7 them.” Simmons, 947 F.2d at 1062 (opinion of Becker, J.). Chief Judge Sloviter wrote separately
8 to stress that officials’ reckless disregard of conditions of which they should have known should
9 suffice to meet the standard, see id. at 1089-91 (Sloviter, C.J., concurring in part and in the
10 judgment), but she did not appear to question the view that some sort of knowledge and
11 acquiescence was required. Citing Andrews and Simmons, the court in Baker v. Monroe Township,
12 50 F.3d 1186 (3d Cir. 1995), held that the plaintiffs “must show that a policymaker for the
13 Township authorized policies that led to the violations or permitted practices that were so
14 permanent and well settled as to establish acquiescence,” id. at 1191.76 See also Kneipp v. Tedder,
15 95 F.3d 1199, 1212 (3d Cir. 1996) (“[A] prerequisite to establishing [municipal] liability ... is a
16 showing that a policymaker was responsible either for the policy or, through acquiescence, for the
17 custom.”).
18
19 Though it thus appears that a showing of knowledge and acquiescence is required, a
20 number of cases suggest that actual knowledge need not be proven.77 Rather, some showing of
21 constructive knowledge may suffice; this view is reflected in the first bracketed sentence in
22 Instruction 4.6.6. For example, the court seemed to approve a constructive-knowledge standard in
76
The Baker plaintiffs failed to show that the municipal police officer on the scene was a
policymaker and failed to introduce evidence concerning municipal practices, and thus
the court held that their claims against the city concerning the use of guns and handcuffs
during a search were properly dismissed. See id. at 1194; see also id. at 1195 (upholding
dismissal of illegal search claims against city due to lack of evidence “that Monroe
Township expressly or tacitly authorized either of the searches”).
77
In Andrews, the court suggested that Police Commissioner Tucker’s lack of
actual knowledge was significant to the court’s holding that the municipal-liability claim
failed: “[A]lthough Tucker reviewed the decision made by AID with respect to plaintiffs'
complaints, he personally did not observe or acquiesce in any sexual harassment, and he
was not convinced that the AID decisions were motivated by sexual animus ....” 895
F.2d at 1481. However, the court also noted that “[t]his is not a case where there was a
longstanding practice which was completely ignored by the policymaker who was
absolved by the jury,” id. at 1482 – a caveat that suggests the possibility that in such a
case constructive knowledge might play a role in the acquiescence analysis.
49
Last updated July 2019
4.6.6 Section 1983 – Municipalities – Custom
1 Bielevicz v. Dubinon, 915 F.2d 845 (3d Cir. 1990). Citing Andrews and Jett, the court stated that
2 the “plaintiff must show that an official who has the power to make policy is responsible for either
3 the affirmative proclamation of a policy or acquiescence in a well-settled custom.” Bielevicz, 914
4 F.2d at 850.78 But the Bielevicz court took care to note that “[t]his does not mean ... that the
5 responsible decisionmaker must be specifically identified by the plaintiff's evidence. Practices so
6 permanent and well settled as to have the force of law [are] ascribable to municipal
7 decisionmakers.” Id. (internal quotation marks omitted).79 The Bielevicz court then proceeded to
8 discuss ways of showing that the municipal custom caused the constitutional violation, and
9 explained that policymakers’ failure to respond appropriately to known past violations could
10 provide the requisite evidence of causation: “If the City is shown to have tolerated known
11 misconduct by police officers, the issue whether the City's inaction contributed to the individual
12 officers' decision to arrest the plaintiffs unlawfully in this instance is a question of fact for the
13 jury.” Id. at 851. In Beck v. City of Pittsburgh, 89 F.3d 966, 971 (3d Cir. 1996), the court stated
14 that custom can be shown when government officials’ practices are “so permanent and well-settled
15 as to virtually constitute law,” id. (internal quotation marks omitted), and then continued:
16 “Custom . . . may also be established by evidence of knowledge and acquiescence.” Id.80 In
17 holding that the plaintiffs were entitled to reach a jury on their claims, the Beck court focused on
18 evidence “that the Chief of Police of Pittsburgh and his department knew, or should have known,
78
See also Watson v. Abington Tp., 478 F.3d 144, 156 (3d Cir. 2007) (citing Bielevicz
with approval on this point). The Watson court’s explanation of its rejection of the plaintiff’s
municipal-liability claim seems compatible with a constructive-knowledge standard. See
Watson, 478 F.3d at 157 (rejecting a custom-based municipal liability claim because, inter alia,
the plaintiffs failed to show “that what happened at the Scoreboard was so widespread that a
decisionmaker must have known about it”).
79
See also Kneipp v. Tedder, 95 F.3d 1199, 1213 (3d Cir. 1996) (quoting Bielevicz on
this point). Similarly, in Natale v. Camden County Correctional Facility, 318 F.3d 575 (3d Cir.
2003), the court did not pause to identify a specific policymaking official, but rather found a jury
question based on “evidence that [Prison Health Services] turned a blind eye to an obviously
inadequate practice that was likely to result in the violation of constitutional rights,” id. at 584.
80
This language might be read to suggest that knowledge and acquiescence are merely
one option for establishing a municipal custom. Likewise, in Fletcher v. O'Donnell, 867 F.2d
791 (3d Cir. 1989), the court, writing a few months before Jett was decided, stated that “[c]ustom
may be established by proof of knowledge and acquiescence,” Fletcher, 867 F.2d at 793-94
(citing Pembaur, 475 U.S. at 481-82 n.10 (plurality opinion)) – an observation that arguably
suggests there may also exist other means of showing custom. As discussed in the text, however,
the Beck court seemed to focus its analysis on the question of actual or constructive knowledge.
50
Last updated July 2019
4.6.6 Section 1983 – Municipalities – Custom
1 of Officer Williams's violent behavior in arresting citizens,” id. at 973 – suggesting that the Beck
2 court applied a constructive-knowledge test. Likewise, in Berg v. County of Allegheny, 219 F.3d
3 261 (2000), the court focused on whether municipal policymakers had either actual or constructive
4 knowledge of the practice for issuing warrants. See id. at 276 (“We believe it is a more than
5 reasonable inference to suppose that a system responsible for issuing 6,000 warrants a year would
6 be the product of a decision maker's action or acquiescence.”). Similarly, in Estate of Roman v.
7 Newark, 914 F.3d 789 (3d Cir. 2019), the court specifically stated that while the plaintiff must
8 demonstrate that the city had knowledge of similar unlawful conduct in the past, he “does not need
9 to identify a responsible decisionmaker in his pleadings.” Id. at 798. The court relied in part on a
10 consent decree between the Department of Justice and Newark in holding that a complaint alleging
11 a custom of unconstitutional arrests was sufficient, where violations were widespread, and the
12 Police Department was aware of them but rarely acted on citizen complaints. Id. at 799.
13
14 The Berg court stated, however, that where the custom in question does not itself constitute
15 the constitutional violation – but rather is alleged to have led to the violation – the plaintiff must
16 additionally meet the deliberate-indifference test set forth in City of Canton, Ohio v. Harris, 489
17 U.S. 378 (1989):81 “If ... the policy or custom does not facially violate federal law, causation can
18 be established only by ‘demonstrat[ing] that the municipal action was taken with “deliberate
19 indifference” as to its known or obvious consequences.’ ” Berg, 219 F.3d at 276 (quoting Board
20 of County Comm'rs of Bryan County v. Brown, 520 U.S. 397, 407 (1997)); see also Natale v.
81
Similarly, when he advocated a “scienter” requirement in Simmons, Judge
Becker noted that he did not intend “to exclude from the scope of scienter's meaning a
municipal policymaker's deliberately indifferent acquiescence in a custom or policy of
inadequately training employees, even though ‘the need for more or different training is
[very] obvious, and the inadequacy [quite] likely to result in the violation of
constitutional rights.’” Simmons, 947 F.2d at 1061 n.14 (quoting City of Canton v.
Harris, 489 U.S. 378, 390 (1989)). Judge Becker’s opinion did not provide details on the
application of this standard to the Simmons case, because he found that the City had
waived “the argument that plaintiff failed to establish the essential ‘scienter’ element of
her case.” Id. at 1066. Chief Judge Sloviter wrote separately to explain, inter alia, her
belief “that Judge Becker's emphasis on production by plaintiff of ‘scienter-like evidence’
when charging a municipality with deliberate indifference to deprivation of rights may
impose on plaintiffs a heavier burden than mandated by the Supreme Court or prior
decisions of this court.” Id. at 1089 (Sloviter, C.J., concurring in part and in the
judgment). Chief Judge Sloviter stressed “that liability may be based on the City's (i.e.,
policymaker's) reckless refusal or failure to take account of facts or circumstances which
responsible individuals should have known,” id. at 1090, and she pointed out that a
standard requiring “actual knowledge of the conditions by a municipal policymaker ...
would put a premium on blinders,” id. at 1091.
51
Last updated July 2019
4.6.6 Section 1983 – Municipalities – Custom
1 Camden County Correctional Facility 318 F.3d 575, 585 (3d Cir. 2003) (finding a jury question
2 on municipal liability because “the failure to establish a policy to address the immediate
3 medication needs of inmates with serious medical conditions creates a risk that is sufficiently
4 obvious as to constitute deliberate indifference to those inmates' medical needs”). Where a finding
5 of deliberate indifference is required, the first bracketed sentence in Instruction 4.6.6 should be
6 altered accordingly. Cases applying a deliberate-indifference standard for municipal liability often
7 involve allegations of failure to adequately train, supervise or screen, see, e.g., Montgomery v. De
8 Simone, 159 F.3d 120, 126-26 (3d Cir. 1998) (“[A] municipality's failure to train police officers
9 only gives rise to a constitutional violation when that failure amounts to deliberate indifference to
10 the rights of persons with whom the police come into contact.”); Estate of Roman v. Newark, 914
11 F.3d 789, 799 (3d Cir. 2019) (holding that failure to train, supervise, and discipline claims were
12 also adequately pled). In cases where plaintiff seeks to establish municipal liability for failure to
13 adequately train or supervise a municipal employee, the more specific standards set forth in
14 Instruction 4.6.7 should be employed; Instruction 4.6.8 should be used when the plaintiff asserts
15 municipal liability for failure to screen.
52
Last updated July 2019
4.6.7 Section 1983 – Municipalities – Inadequate Training or Supervision
82
Forrest v. Parry, No. 16-4351, 2019 WL 2998601 (3d Cir. July 10, 2019), was decided
after the last meeting of the Committee; its impact on this Instruction will be considered by the
Committee at its next meeting.
83
See the Comment for a discussion of the reasons why this aspect of Instruction 4.6.7
diverges from the second element of the three-part test for deliberate indifference approved in
53
Last updated July 2019
4.6.7 Section 1983 – Municipalities – Inadequate Training or Supervision
1
2 Third: The wrong choice by an employee in that situation will frequently cause a
3 deprivation of [specify right].
4 In order to find that [municipality’s] failure to [adequately train] [adequately supervise]
5 proximately caused the violation of [plaintiff’s] federal right, you must find that [plaintiff] has
6 proved by a preponderance of the evidence that [municipality’s] deliberate indifference led directly
7 to the deprivation of [plaintiff’s] [specify right].
8
9
10 Comment
11
12 As noted above, municipal liability can arise from an official policy that authorizes the
13 constitutional tort; such liability can also arise if the constitutional tort is caused by an official
14 policy of inadequate84 training, supervision or investigation, or by a failure to adopt a needed
15 policy.85 In the context of claims asserting such “liability through inaction,” Berg v. County of
16 Allegheny, 219 F.3d 261, 276 (3d Cir. 2000), the plaintiff will have to meet the additional hurdle
Carter v. City of Philadelphia, 181 F.3d 339, 357 (3d Cir. 1999).
84
As to the adequacy of a municipality’s investigation, the Third Circuit has
made clear that a policy must be adequate in practice, not merely on paper: “We reject
the district court's suggestion that mere Department procedures to receive and investigate
complaints shield the City from liability. It is not enough that an investigative process be
in place; . . . ‘[t]he investigative process must be real. It must have some teeth.’” Beck v.
City of Pittsburgh, 89 F.3d 966, 974 (3d Cir. 1996) (quoting plaintiff’s reply brief, Beck
v. City of Pittsburgh, No. 95-3328, 1995 WL 17147608, at *5).
85
The Third Circuit has held that the failure to adopt a needed policy can result
in municipal liability in an appropriate case, and has analyzed that question of municipal
liability using the deliberate indifference test. See Natale v. Camden County
Correctional Facility, 318 F.3d 575, 585 (3d Cir. 2003) (“A reasonable jury could
conclude that the failure to establish a policy to address the immediate medication needs
of inmates with serious medical conditions creates a risk that is sufficiently obvious as to
constitute deliberate indifference to those inmates' medical needs.”).
54
Last updated July 2019
4.6.7 Section 1983 – Municipalities – Inadequate Training or Supervision
1 of showing “deliberate indifference” on the part of the municipality.86 “[L]iability for failure to
2 train subordinate officers will lie only where a constitutional violation results from ‘deliberate
3 indifference to the constitutional rights of [the municipality's] inhabitants. ’ ” Groman v. Township
4 of Manalapan, 47 F.3d 628, 637 (3d Cir. 1995) (quoting City of Canton, Ohio v. Harris, 489 U.S.
5 378, 392 (1989)); see also City of Oklahoma City v. Tuttle, 471 U.S. 808, 823-24 (1985) (plurality
6 opinion) (holding that evidence of a single incident of shooting by police could not establish a
7 municipal policy of inadequate training); Brown v. Muhlenberg Township, 269 F.3d 205, 216 (3d
8 Cir.2001) (plaintiff “must present evidence that the need for more or different training was so
9 obvious and so likely to lead to the violation of constitutional rights that the policymaker's failure
10 to respond amounts to deliberate indifference”); Woloszyn v. County of Lawrence, 396 F.3d 314,
11 324-25 (3d Cir. 2005) (discussing failure-to-train standard in case involving suicide by pre-trial
12 detainee). The deliberate indifference test also applies to claims of “negligent supervision and
13 failure to investigate.” Groman, 47 F.3d at 637.
14
15 “A pattern of similar constitutional violations by untrained employees is ‘ordinarily
16 necessary’ to demonstrate deliberate indifference for purposes of failure to train.” Connick v.
17 Thompson, 131 S. Ct. 1350, 1360 (2011) (quoting Board of County Com'rs of Bryan County v.
18 Brown, 520 U.S. 397, 409 (1997)); see also Carswell v. Borough of Homestead, 381 F.3d 235, 244
19 (3d Cir. 2004) (“A plaintiff must identify a municipal policy or custom that amounts to deliberate
20 indifference to the rights of people with whom the police come into contact . . . . This typically
21 requires proof of a pattern of underlying constitutional violations . . . . Although it is possible,
22 proving deliberate indifference in the absence of such a pattern is a difficult task.”); Mann v.
23 Palmerton Area School District, 872 F.3d 165, 175 (3d Cir. 2017) (holding that a school district
24 could not be held liable for failure to train football coaches about concussions because there was
25 “no evidence of a pattern of recurring head injuries” in the football program, and finding it
26 significant that state law did not mandate concussion training for coaches until after the events at
27 issue). Thus, for example, evidence of prior complaints and of inadequate procedures for
28 investigating such complaints can suffice to create a jury question concerning municipal liability.
29 See Beck, 89 F.3d at 974-76 (reviewing evidence concerning procedures and holding that “Beck
30 presented sufficient evidence from which a reasonable jury could have inferred that the City of
31 Pittsburgh knew about and acquiesced in a custom tolerating the tacit use of excessive force by its
32 police officers”). Cf. City of Canton, 489 U.S. at 390 n.10 (“It could also be that the police, in
33 exercising their discretion, so often violate constitutional rights that the need for further training
86
“If . . . the policy or custom does not facially violate federal law, causation can
be established only by ‘demonstrat[ing] that the municipal action was taken with
“deliberate indifference” as to its known or obvious consequences.’” Berg v. County of
Allegheny, 219 F.3d 261, 276 (3d Cir. 2000) (quoting Board of County Com'rs of Bryan
County, Okl. v. Brown, 520 U.S. 397, 407 (1997)).
55
Last updated July 2019
4.6.7 Section 1983 – Municipalities – Inadequate Training or Supervision
1 must have been plainly obvious to the city policymakers, who, nevertheless, are ‘deliberately
2 indifferent’ to the need.”) In a “narrow range” of cases, Connick, 131 S. Ct. at 1366, deliberate
3 indifference can be shown even absent a pattern of prior violations by demonstrating that a
4 constitutional violation was sufficiently foreseeable: “[I]t may happen that in light of the duties
5 assigned to specific officers or employees the need for more or different training is so obvious,
6 and the inadequacy so likely to result in the violation of constitutional rights, that the policymakers
7 of the city can reasonably be said to have been deliberately indifferent to the need.” City of Canton,
8 489 U.S. at 390. In a post-Connick case, Thomas v. Cumberland County, 749 F.3d 217 (3d Cir.
9 2014), the court of appeals found the evidence sufficient for the claim to go to a jury under this
10 standard. It held that “a reasonable jury could conclude based on the frequency of fights and the
11 volatile nature of the prison” that the county was deliberately indifferent based on its failure to
12 provide training in conflict de-escalation. See also Estate of Roman v. City of Newark, 914 F.3d
13 789, 800 (3d Cir. 2019) (holding that one could reasonably infer deliberate indifference because
14 the city knew to a moral certainty that its officers would need to conduct searches, but its training
15 did not cover the basics of the Fourth Amendment, it did not discipline officers for misconduct,
16 even after prior violations, and, in at least one instance, it failed to provide training since 1995).
17
18 The Third Circuit has previously applied a three-part test to determine whether “a
19 municipality's failure to train or supervise to amount[s] to deliberate indifference”: Under this test,
20 “it must be shown that (1) municipal policymakers know that employees will confront a particular
21 situation; (2) the situation involves a difficult choice or a history of employees mishandling; and
22 (3) the wrong choice by an employee will frequently cause deprivation of constitutional rights.”
23 Carter v. City of Philadelphia, 181 F.3d 339, 357 (3d Cir. 1999).87 Readers should note that a
24 substantially similar instruction was given in Connick, a case in which the closely-divided Court
25 held that the municipal defendant was entitled to judgment as a matter of law due to the plaintiff’s
26 failure to prove a pattern of similar violations. Because Connick states that such a pattern is
27 ordinarily needed in order to establish deliberate indifference in connection with a failure-to-train
28 claim, Instruction 4.6.7 no longer tracks the Carter instruction precisely: The second element no
29 longer offers as an alternative a finding that the situation “involved a difficult choice.” For the
30 narrow range of cases in which no pattern of similar violations is necessary, Instruction 4.6.7 can
31 be modified.
87
In Doe v. Luzerne County, 660 F.3d 169 (3d Cir. 2011) – a post-Connick
decision – the Court of Appeals quoted Carter’s three-part test and held that the
evidence, taken in the light most favorable to the plaintiff, would not support a finding of
municipal liability under that test. See Doe, 660 F.3d at 179-80. See also Estate of
Roman v. City of Newark, 914 F.3d 789, 798 (3d Cir. 2019) (reiterating this test).
56
Last updated July 2019
4.6.8 Section 1983 Municipalities – Inadequate Screening
58
Last updated July 2019
4.6.8 Section 1983 Municipalities – Inadequate Screening
1 the asserted basis for liability may be, instead, that the municipality checked the prospective
2 employee’s background, learned of information indicating the risk that the person would commit
3 the relevant constitutional violation, and nonetheless hired the person. In such cases, Instruction
4 4.6.8 can be modified as needed to reflect the fact that ignoring known information also can form
5 the basis for an inadequate screening claim.
60
Last updated July 2019
4.7.1 Section 1983 – Conduct Not Covered by Absolute Immunity
89
See Light v. Haws, 472 F.3d 74, 78 (3d Cir. 2007) (holding that Assistant Counsel for
the Pennsylvania Department of Environmental Protection, when “filing actions to enforce
compliance with court orders. . . . [,] functions as a prosecutor”).
61
Last updated July 2019
4.7.1 Section 1983 – Conduct Not Covered by Absolute Immunity
1 that a prosecutor’s “appearance in court in support of an application for a search warrant and the
2 presentation of evidence at that hearing” were “protected by absolute immunity”). Moreover,
3 “supervision or training or information-system management” activities can qualify for absolute
4 immunity – even though such acts are administrative in nature – if the administrative action in
5 question “is directly connected with the conduct of a trial.” Van De Kamp v. Goldstein, 129 S. Ct.
6 855, 861-62 (2009); see id. at 858-59 (holding that absolute immunity “extends to claims that the
7 prosecution failed to disclose impeachment material ... due to: (1) a failure properly to train
8 prosecutors, (2) a failure properly to supervise prosecutors, or (3) a failure to establish an
9 information system containing potential impeachment material about informants”). Absolute
10 immunity does not apply, however, “[w]hen a prosecutor performs the investigative functions
11 normally performed by a detective or police officer,” Buckley, 509 U.S. at 273, or when a
12 prosecutor “provid[es] legal advice to the police,” Burns, 500 U.S. at 492, 496.90
90
See also Kalina v. Fletcher, 522 U.S. 118, 120, 131 (1997) (prosecutor lacked
absolute immunity from claim asserting that she “ma[de] false statements of fact in an
affidavit supporting an application for an arrest warrant,” because in so doing she
“performed the function of a complaining witness” rather than that of an advocate); Reitz
v. County of Bucks, 125 F.3d 139, 146 (3d Cir. 1997) (holding that “absolute immunity
covers a prosecutor's actions in (1) creating and filing of an in rem complaint; (2)
preparing of and applying for the seizure warrant; and (3) participating in ex parte
hearing for the issuance of the seizure warrant,” but does not cover prosecutor’s “conduct
with respect to the management and retention of the property after the seizure, hearing,
and trial”).
In Odd v. Malone, 538 F.3d 202 (3d Cir. 2008), “prosecuting attorneys obtained
bench warrants to detain material witnesses whose testimony was vital to murder
prosecutions. Although the attorneys diligently obtained the warrants, they neglected to
keep the courts informed of the progress of the criminal proceedings and the custodial
status of the witnesses.” Id. at 205. The Court of Appeals held that a prosecutor sued “for
failing to notify the relevant authorities that the proceedings in which the detained
individual was to testify had been continued for nearly four months,” id., did not qualify
for absolute prosecutorial immunity; the court based this holding on the facts of the case,
including the fact that the judge who issued the material witness warrant had directed the
prosecutor to notify him of any delays in the murder prosecution but the prosecutor had
failed to do so. Id. at 212-13. The Odd court also held (a fortiori) that a different
prosecutor sued “for failing to notify the relevant authorities that the material witness
remained incarcerated after the case in which he was to testify had been dismissed,” id. at
205, lacked absolute prosecutorial immunity. See id. at 215. In Schneyder v. Smith, 653
F.3d 313 (3d Cir. 2011), the Court of Appeals on a subsequent appeal adhered to its
ruling that the prosecutor who allegedly failed to inform the court of the trial continuance
62
Last updated July 2019
4.7.1 Section 1983 – Conduct Not Covered by Absolute Immunity
1 Judges possess absolute immunity from damages liability for “acts committed within their
2 judicial jurisdiction.” Pierson v. Ray, 386 U.S. 547, 554 (1967).91 “[T]he factors determining
3 whether an act by a judge is a ‘judicial’ one relate to the nature of the act itself, i.e., whether it is
4 a function normally performed by a judge, and to the expectations of the parties, i.e., whether they
5 dealt with the judge in his judicial capacity.” Stump v. Sparkman, 435 U.S. 349, 362 (1978).92
6 Judges do not possess absolute immunity with respect to claims arising from “the administrative,
7 legislative, or executive functions that judges may on occasion be assigned by law to perform.”
8 Forrester v. White, 484 U.S. 219, 227 (1988).
lacked absolute immunity, see id. at 333-34. The Schneyder court reasoned that its ruling
in Odd was consistent with the Supreme Court’s subsequent decision in Van de Kamp v.
Goldstein, 129 S. Ct. 855 (2009). Under Van de Kamp, “some administrative functions
relate directly to the conduct of a criminal trial and are thus protected, while others ... are
connected to trial only distantly (if at all) and are therefore not subject to immunity.”
Schneyder, 653 F.3d at 334. The Schneyder court concluded that the prosecutor’s failure
to inform the court of the trial continuance fell in the latter category: The failure was not
“directly connected to the conduct of a trial,” and “[a]s the sole government official in
possession of the relevant information, [the prosecutor] had a duty of disclosure that was
neither discretionary nor advocative, but was instead a purely administrative act not
entitled to the shield of immunity, even after Van de Kamp.” Schneyder, 653 F.3d at 334.
91
Judges also now possess a statutory immunity from claims for injunctive relief.
See 42 U.S.C. § 1983 (providing that “in any action brought against a judicial officer for
an act or omission taken in such officer's judicial capacity, injunctive relief shall not be
granted unless a declaratory decree was violated or declaratory relief was unavailable”).
92
Under the doctrine of “quasi-judicial” immunity, “government actors whose
acts are relevantly similar to judging are immune from suit.” Dotzel v. Ashbridge, 438
F.3d 320, 325 (3d Cir. 2006); see id. at 322 (holding that “the members of the Board of
Supervisors of Salem Township, Pennsylvania are immune from suits brought against them in
their individual capacities relating to their decision to deny an application for a permit for a
conditional use”); id. at 327 (stressing the need to “closely and carefully examine the functions
performed by the board in each case”); Capogrosso v. Supreme Court of New Jersey, 588 F.3d
180, 185 (3d Cir. 2009) (holding that individual-capacity claims against Director and
Disciplinary Counsel for New Jersey Advisory Committee on Judicial Conduct were barred by
quasi-judicial immunity); Keystone Redev. Partners, LLC v. Decker, 631 F.3d 89, 90 (3d Cir.
2011) (holding that former members of Pennsylvania Gaming Control Board had quasi-judicial
immunity from individual-capacity claims “based on their decisions to grant gaming licenses to
certain applicants other than” the plaintiff).
63
Last updated July 2019
4.7.1 Section 1983 – Conduct Not Covered by Absolute Immunity
1 State or local legislators enjoy absolute immunity from suits seeking damages or injunctive
2 remedies with respect to legislative acts. See Tenney v. Brandhove, 341 U.S. 367, 379 (1951)
3 (recognizing absolute immunity in case where state legislators “were acting in a field where
4 legislators traditionally have power to act”); Bogan v. Scott-Harris, 523 U.S. 44, 49 (1998)
5 (unanimous decision) (holding that “local legislators are . . . absolutely immune from suit under §
6 1983 for their legislative activities”).
7
8 The Court of Appeals has set forth a two-part test for legislative immunity in suits against
9 local officials: “To be legislative . . . , the act in question must be both substantively and
10 procedurally legislative in nature . . . . An act is substantively legislative if it involves
11 ‘policy-making of a general purpose’ or ‘line-drawing.’ . . . It is procedurally legislative if it is
12 undertaken ‘by means of established legislative procedures. ’ ” In re Montgomery County, 215
13 F.3d 367, 376 (3d Cir. 2000) (quoting Carver v. Foerster, 102 F.3d 96, 100 (3d Cir. 1996)). Based
14 on the Supreme Court’s discussion in Bogan,93 the Court of Appeals has questioned the two-part
15 test’s applicability to local officials94 and has indicated that it does not govern claims against state
16 officials. See, e.g., Larsen v. Senate of Com. of Pa., 152 F.3d 240, 252 (3d Cir. 1998) (“[B]ecause
93
The Bogan Court declined to determine whether a procedurally legislative act by a
local official must also be substantively legislative in order to qualify for legislative immunity:
“Respondent . . . asks us to look beyond petitioners' formal actions to consider whether the
ordinance was legislative in substance. We need not determine whether the formally legislative
character of petitioners' actions is alone sufficient to entitle petitioners to legislative immunity,
because here the ordinance, in substance, bore all the hallmarks of traditional legislation.”
Bogan, 523 U.S. at 55.
94
The Court of Appeals stated (in a case concerning claims against state legislators) that
Bogan
casts doubt on the propriety of using any separate test to examine municipal-level
legislative immunity, see Bogan, 523 U.S. at 49 . . . (holding that local legislators
are ‘likewise’ absolutely immune from suit under § 1983), particularly a two-part,
substance/procedure test, id. at 55 . . . (refusing to require that an act must be
‘legislative in substance’ as well as of ‘formally legislative character’ in order to
be a legislative act).
Youngblood v. DeWeese, 352 F.3d 836, 841 n.4 (2004); see also Fowler-Nash v. Democratic
Caucus of Pa. House of Representatives, 469 F.3d 328, 339 (3d Cir. 2006) (stating, in a suit
against state officials, that the Bogan Court “refused to insist that formally legislative acts, such
as passing legislation, also be ‘legislative in substance’”).
64
Last updated July 2019
4.7.1 Section 1983 – Conduct Not Covered by Absolute Immunity
1 concerns for the separation of powers are often at a minimum at the municipal level, we decline to
2 extend our analysis developed for municipalities to other levels of government.”). More recently,
3 however, the Court of Appeals has held that “[r]egardless of the level of government, ... the
4 two-part substance/procedure inquiry is helpful in analyzing whether a non-legislator performing
5 allegedly administrative tasks is entitled to [legislative] immunity.” Baraka v. McGreevey, 481
6 F.3d 187, 199 (3d Cir. 2007) (addressing claims against New Jersey Governor and chair of the
7 New Jersey State Council for the Arts).95
8
9 Law enforcement officers who serve as witnesses generally have absolute immunity from
10 claims concerning their testimony. See Briscoe v. LaHue, 460 U.S. 325, 345 (1983) (trial
11 testimony); Rehberg v. Paulk, 132 S. Ct. 1497, 1506 (2012) (grand jury testimony).96
12
13 In addition to the immunities recognized by the Supreme Court, there may exist other
14 categories of absolute immunity. See, e.g., Ernst v. Child and Youth Services of Chester County,
15 108 F.3d 486, 488-89 (3d Cir. 1997) (holding that “child welfare workers and attorneys who
16 prosecute dependency proceedings on behalf of the state are entitled to absolute immunity from
17 suit for all of their actions in preparing for and prosecuting such dependency proceedings”); B.S.
18 v. Somerset County, 704 F.3d 250, 265 (3d Cir. 2013) (holding “that Ernst's absolute immunity for
19 child welfare employees is appropriate when the employee in question ‘formulat[es] and present[s]
20 . . . recommendations to the court’ with respect to a child's custody determination, even if those
21 recommendations are made outside the context of a dependency proceeding” (quoting Ernst, 108
95
Prior to Baraka, the Court of Appeals had observed in Fowler-Nash v.
Democratic Caucus of Pa. House of Representatives, 469 F.3d 328, 338 (3d Cir. 2006),
that cases concerning local officials can be “instructive” in the court’s analysis of
whether a state official’s actions were legislative in nature. See also id. at 332
(describing the “functional” test for legislative immunity); id. at 340 (holding that firing
of state representative’s legislative assistant was administrative rather than legislative
act). And another post-Larsen decision by the Court of Appeals did apply the two-part
test to determine whether Pennsylvania Supreme Court justices had legislative immunity
from claims arising from the termination of a plaintiff’s employment as the Executive
Administrator of the First Judicial District of Pennsylvania. See Gallas v. Supreme Court
of Pennsylvania, 211 F.3d 760, 776-77 (3d Cir. 2000). Gallas involved a question of
legislative immunity because the plaintiff challenged a Pennsylvania Supreme Court
order that eliminated the position of Executive Administrator of the First Judicial District
of Pennsylvania. See id. at 766.
96
Compare Malley v. Briggs, 475 U.S. 335, 344 (1986) (no absolute immunity
for a police officer in connection with claim that his “request for a warrant allegedly
caused an unconstitutional arrest”).
65
Last updated July 2019
4.7.1 Section 1983 – Conduct Not Covered by Absolute Immunity
1 F.3d at 495)).
66
Last updated July 2019
4.7.2 Section 1983 – Qualified Immunity
97
Violation of a clearly established state-law right does not defeat qualified immunity
regarding the violation of federal law. Davis v. Scherer, 468 U.S. 183, 194 (1984). Nor do
actions contrary to the officer’s training themselves “negate qualified immunity where it would
otherwise be warranted.” City & Cnty. of San Francisco, Calif. v. Sheehan, 135 S. Ct. 1765,
1777 (2015); cf. E. D. v. Sharkey, 928 F.3d 299, 308 (3d Cir. 2019) (relying on the criminality of
the conduct under state law to reject qualified immunity); Young v. Martin, 801 F.3d 172 (3d Cir.
2015) (holding that knowledge that one is violating prison regulations is relevant to determining
whether defendants had fair warning that their treatment of an inmate was unconstitutional).
67
Last updated July 2019
4.7.2 Section 1983 – Qualified Immunity
1 constitutional right was not clearly established at the time the officer acted. Saucier v. Katz, 533
2 U.S. 194, 201 (2001). The point of this requirement was to enable continued development of the
3 law. Id. (“This is the process for the law’s elaboration from case to case, and it is one reason for
4 our insisting upon turning to the existence or nonexistence of a constitutional right as the first
5 inquiry. The law might be deprived of this explanation were a court simply to skip ahead to the
6 question whether the law clearly established that the officer's conduct was unlawful in the
7 circumstances of the case.”).
8 But the Court later lifted this requirement, allowing lower courts to exercise their discretion
9 in this regard. Pearson v. Callahan, 555 U.S. 223, 243 (2009); Reichle v. Howards, 132 S. Ct.
10 2088, 2093 (2012) (stating that Pearson “held that courts may grant qualified immunity on the
11 ground that a purported right was not ‘clearly established’ by prior case law, without resolving the
12 often more difficult question whether the purported right exists at all”). More recently, the Court
13 has “stress[ed] that lower courts ‘should think hard, and then think hard again,’ before addressing
14 both qualified immunity and the merits of an underlying constitutional claim.” Wesby, 138 S. Ct.
15 at 589 (2018) (quoting Camreta v. Greene, 563 U.S. 692, 707 (2011)). As the Court explained in
16 Camreta, “In general, courts should think hard, and then think hard again, before turning small
17 cases into large ones. But it remains true that following the two-step sequence—defining
18 constitutional rights and only then conferring immunity—is sometimes beneficial to clarify the
19 legal standards governing public officials.” 563 U.S. at 707.98
98
See Pearson, 555 U.S. at 236-43 (discussing relevant factors in exercising this
discretion); Plumhoff v. Rickard, 134 S. Ct. 2012 (2014) (addressing whether the officers’
conduct violated the Fourth Amendment and explaining that doing so would be beneficial
in developing constitutional precedent in an area that courts typically consider in cases in
which the defendant asserts a qualified immunity defense); City & Cnty. of San Francisco
v. Sheehan, 135 S. Ct. 1765, 1775 (2015) (declining to address the Fourth Amendment
issue “because this question has not been adequately briefed”); Wesby, 138 S. Ct. at 589,
n.7 (reaching the merits because “a decision on qualified immunity alone would not have
resolved all of the claims”). Compare Zalogo v. Borough of Moosic, 841 F.3d 170, 171
(3d Cir. 2016) (declining to address the merits of the underlying constitutional question,
noting that to do so would require grappling with the tension between the defendant’s
right to speak and the plaintiff’s right to be free of government retaliation, and the
“doctrine of constitutional avoidance counsels against unnecessarily wading into such
muddy terrain”) with Williams v. Sec’y Pennsylvania Dep’t of Corr., 848 F.3d 549, 558
(3d Cir. 2017) (deciding to address the merits of the underlying constitution question
because of its salience “to the ongoing societal debate about solitary confinement” and to
provide “clear statements about what the law allows” to prison officials) and Fields v.
City of Philadelphia, 862 F.3d 353, 357-58 (3d Cir. 2017) (reaching the merits of first
amendment issue because of the recurrence of the issue, the ubiquity of smartphones, the
68
Last updated July 2019
4.7.2 Section 1983 – Qualified Immunity
1 To be clearly established, not only must a legal principle “have a sufficiently clear
2 foundation in then-existing precedent,” but its “contours must be so well defined that it is clear to
3 a reasonable officer that his conduct was unlawful in the situation he confronted.” Wesby, 138 S.
4 Ct. at 589–90 (internal quotation marks and citation omitted). “The contours of the right must be
5 sufficiently clear that a reasonable official would understand that what he is doing violates that
6 right. This is not to say that an official action is protected by qualified immunity unless the very
7 action in question has previously been held unlawful . . . ; but it is to say that in the light of
8 pre-existing law the unlawfulness must be apparent.” Anderson v. Creighton, 483 U.S. 635, 640
9 (1987). “[T]he salient question . . . is whether the state of the law [at the time of the conduct] gave
10 respondents fair warning that their [conduct] was unconstitutional.” Hope v. Pelzer, 536 U.S. 730,
11 741 (2002). See also Brosseau v. Haugen, 543 U.S. 194, 198 (2004) (per curiam) (emphasizing
12 the need for attention to context in judging whether application of a general principle was clear
13 under the circumstances). The court of appeals has explained that “[t]o determine whether a new
14 scenario is sufficiently analogous to previously established law to warn an official that his/her
15 conduct is unconstitutional, we ‘inquir[e] into the general legal principles governing analogous
16 factual situations ... and ... determin[e] whether the official should have related this established
17 law to the instant situation.’ ’ ”” Burns v. PA Dep’t of Corrections, 642 F.3d 163, 177 (3d Cir.
18 2011) (quoting Hicks v. Feeney, 770 F.2d 375, 380 (3d Cir. 1985)).
19
20 Unlawfulness can be apparent “even in novel factual circumstances.” Hope v. Pelzer, 536
21 U.S. 730, 741 (2002); Groh v. Ramirez, 540 U.S. 551, 564 (2004) (“No reasonable officer could
22 claim to be unaware of the basic rule, well established by our cases, that, absent consent or
23 exigency, a warrantless search of the home is presumptively unconstitutional.”); Halsey v. Pfeiffer,
24 750 F.3d 273, 296 (3d Cir. 2014) (holding that even though it had not previously decided on the
25 viability of a stand-alone claim for fabrication of evidence, reasonable officers should have known
26 that “they certainly could not fabricate inculpatory evidence”); Schneyder v. Smith, 653 F.3d 313,
27 330 (3d Cir. 2011) (holding that a prosecutor’s alleged failure to inform a judge of the continuance
28 of a trial for which the judge had ordered a material witness detained presented “one of those
29 exceedingly rare cases in which the existence of the plaintiff's constitutional right is so manifest
30 that it is clearly established by broad rules and general principles”); Abbott v. Latshaw, 164 F.3d
31 141, 148 (3d Cir. 1998) (denying qualified immunity and noting that “it is the domain of the
32 courts,” not law enforcement officers, “to decide who is entitled to possession of property,” that
33 “citizens are to have a meaningful opportunity to be heard as to their rights before they are finally
1 deprived of possession of property,” and that the officer’s “curbside courtroom, in which he
2 decided who was entitled to possession, is precisely the situation and deprivation of rights to be
3 avoided”); cf. Estate of Lagano v. Bergen Cnty. Prosecutor's Office, 769 F.3d 850, 859 (3d Cir.
4 2014) (vacating grant of qualified immunity because plaintiff can overcome qualified immunity
5 “without proving that we have previously issued a binding decision recognizing a state-created
6 danger in the context of the disclosure of a confidential informant's status”); L.R. v. School District
7 of Philadelphia, 836 F.3d 235, 249 (3d Cir. 2016) (holding that a teacher who allowed a
8 kindergarten student to leave the classroom with a stranger violated the clearly established right
9 “to not be removed from a safe environment and placed into one in which it is clear that harm is
10 likely to occur, particularly when the individual may, due to youth or other factors, be especially
11 vulnerable to the risk of harm”); Kedra v. Schroeter, 876 F.3d 424, 450 (3d Cir. 2017) (holding
12 that, under prior precedent, “no reasonable officer who was aware of the lethal risk involved in
13 demonstrating the use of deadly force on another person and who proceeded to conduct the
14 demonstration in a manner directly contrary to known safety protocols could think his conduct was
15 lawful”). See also District of Columbia v. Wesby, 138 S. Ct. 577, 590 (2018) (noting that there can
16 be “the rare ‘obvious case,’ where the unlawfulness of the officer’s conduct is sufficiently clear
17 even though existing precedent does not address similar circumstances, [b]ut ‘a body of relevant
18 case law’ is usually necessary” to overcome qualified immunity when probable cause is at issue)
19 (citation omitted); E. D. v. Sharkey, 928 F.3d 299, 308 (3d Cir. 2019) (noting that Sharkey
20 “committed institutional sexual assault in violation of” a Pennsylvania statute that “forbids an
21 employee of a residential facility serving children and youth from having sexual intercourse with
22 a detainee, regardless of whether the detainee gave consent,” and stating “[t]hat Sharkey’s conduct
23 was illegal renders E.D.’s right to be free from sexual assault so obvious that it could be deemed
24 clearly established even without materially similar cases”) (citations and internal quotation marks
25 omitted); Russell v. Richardson, 905 F.3d 239, 252 (3d Cir. 2018) (finding an “obvious case”
26 where marshal used deadly force against a minor as he exited his bedroom wearing only
27 underwear, and there was no indication the minor “was then engaged in any misconduct beyond
28 disobeying his mother”); Kane v. Barger, 902 F.3d 185 (3d Cir. 2018) (relying on some analogous
29 cases in rejecting qualified immunity for a police officer who touched the victim of a sexual assault
30 and photographed her intimate areas with his personal cell phone for personal gratification rather
31 than investigate ends, but also stating, “given the egregiousness of Barger’s violation of Kane’s
32 personal security and bodily integrity, the right here is so ‘obvious’ that it could be deemed clearly
33 established even without materially similar cases”).
34
35 Courts should not “define clearly established law at a high level of generality” and should
36 not “cherry-pick[]” the aspects of Supreme Court opinions that would weigh in favor of the
37 conclusion that a right was clearly established while ignoring reasons to think the right was not
38 clearly established. Ashcroft v. Al-Kidd, 131 S. Ct. 2074, 2084-85 (2011); Ziglar v. Abbasi, 137 S.
39 Ct. 1843 (2017) (“When courts are divided on an issue so central to the cause of action alleged, a
40 reasonable official lacks the notice required before imposing liability.”); Kisela v. Hughes, 138 S.
41 Ct. 1148 (2018) (noting that even if controlling circuit precedent could constitute clearly
70
Last updated July 2019
4.7.2 Section 1983 – Qualified Immunity
1 established law, the most analogous precedent favored the officer); Safford Unified School Dist.
2 No. 1 v. Redding, 129 S. Ct. 2633, 2644 (2009) (“[T]he cases viewing school strip searches
3 differently from the way we see them are numerous enough, with well-reasoned majority and
4 dissenting opinions, to counsel doubt that we were sufficiently clear in the prior statement of
5 law.”); Stanton v. Sims, 134 S. Ct. 3 (2013) (summarily reversing for failure to recognize qualified
6 immunity and stating that it is “especially troubling” that the court of appeals “would conclude
7 that [the officer] was plainly incompetent – and subject to personal liability in damages – based on
8 actions that were lawful according to courts in the jurisdiction where he acted”); Davenport v.
9 Borough of Homestead, 870 F.3d 273, 282 (3d Cir. 2017) (holding that police officers were
10 protected by qualified immunity because of the “near absence of cases” dealing with the rights of
11 a passenger involved in a dangerous vehicle pursuit); Fields v. City of Philadelphia, 862 F.3d 353,
12 361-62 (3d Cir. 2017) (because other cases recognizing a first amendment right to photograph the
13 police were arguably distinguishable, they did not establish that right clearly enough to overcome
14 qualified immunity); Ray v. Township of Warren, 626 F.3d 170, 177 (3d Cir. 2010) (holding that
15 the inapplicability of the community caretaking doctrine to warrantless entries into homes was not
16 clearly established in light of, inter alia, “the conflicting precedents on this issue from other
17 Circuits); Marcavage v. National Park Serv., 666 F.3d 856, 857, 859-60 (3d Cir. 2012) (holding
18 that plaintiff’s conviction for misdemeanors stemming from events at issue supported qualified
19 immunity defense of arresting officer and his supervisor, even though conviction was later
20 reversed). See also City of Escondido v. Emmons, 139 S. Ct. 500, 502, 504 (2019) (holding that
21 the formulation of the clearly established right by the court of appeals—the “right to be free of
22 excessive force”—“was far too general”); White v. Pauly, 137 S. Ct. 548, 552 (2017) (reiterating
23 the need to avoid a high level of generality and stating that the factual uniqueness of the case “alone
24 should have been an important indication” that the defendant did not violate clearly established
25 law); Mann v. Palmerton Area School District, 872 F.3d 165, 174 (3d Cir. 2017) (holding that “it
26 was not so plainly obvious that requiring a student-athlete, fully clothed in protective gear, to
27 continue to participate in practice after sustaining a violent hit and exhibiting concussion
28 symptoms implicated the student athlete’s constitutional rights”); Barna v. Board of School
29 Directors of the Panther Valley School District, 877 F.3d 136, 144 (3d Cir. 2017) (observing that
30 “there was, at best, disagreement in the Courts of Appeals as to the existence of a clearly
31 established right to participate in school board meetings despite engaging in a pattern of
32 threatening and disruptive behavior”).
33
34 Courts should also be cautious about concluding that the law is clearly established based
35 only on one or two opinions from their own circuit. Taylor v. Barkes, 135 S. Ct. 2042 (2015)
36 (summarily reversing Court of Appeals for the Third Circuit); Carroll v. Carman, 135 S. Ct. 348
37 (2014) (same). See also District of Columbia v. Wesby, 138 S. Ct. 577, 591 n.8 (2018) (noting that
38 the Court has not yet decided what precedents, other than its own, qualify as controlling authority
39 for purposes of qualified immunity); Baloga v. Pittston Area Sch. Dist., 927 F.3d 742, 763 (3d Cir.
40 2019) (concluding, based on a robust consensus in the courts of appeals, that the “right not to face
41 retaliation for [one’s] leadership role in a public union was clearly established at the relevant
71
Last updated July 2019
4.7.2 Section 1983 – Qualified Immunity
1 time”); United States v. Baroni, 909 F.3d 550, 588 (3d Cir. 2018) (applying qualified immunity
2 precedents in a case arising under 18 U.S.C. §§ 241 and 242, and holding that “although four
3 circuits (including our own) have found some form of a constitutional right to intrastate travel,
4 there is hardly a ‘robust consensus’ that the right exists, let alone clarity as to its contours,” and
5 therefore, even though a prior circuit decision “is both clear and binding in our jurisdiction,” that
6 decision did not provide “fair warning” that the “conduct was illegal, especially in view of the
7 state of the law in our sister circuits”), cert. granted, 2019 WL 588845 (June 28, 2019); Barna v.
8 Bd. of Sch. Directors of Panther Valley Sch. Dist., 877 F.3d 136, 144–45 (3d Cir. 2017) (“Even if
9 a right can be clearly established by circuit precedent despite disagreement in the courts of appeals,
10 there does not appear to be any such consensus—much less the robust consensus—that we
11 require”) (internal quotation marks and citation omitted); Mammaro v. New Jersey Div. of Child
12 Prot. & Permanency, 814 F.3d 164, 171 (3d Cir. 2016) (distinguishing its one prior decision,
13 putting aside the question of whether one such case would be sufficient, and noting that the district
14 court was wrong to rely on an unpublished district court decision that postdated the events in the
15 case). But see Sauers v. Borough of Nesquehoning, 905 F.3d 711, 715, 723 (3d Cir. Oct. 2, 2018)
16 (acknowledging circuit split, while stating, “We hope . . . to establish the law clearly now,” and
17 “our opinion today should resolve any ambiguity . . . . within this Circuit.”). Cf. Bryan v. United
18 States, 913 F.3d 356, 363 (3d Cir. 2019) (“For purposes of qualified immunity, a legal principle
19 does not become ‘clearly established’ the day we announce a decision, or even one or two days
20 later.”).
21
22 It is nonetheless possible for a principle of law to be clearly established, even if a member
23 of the court does not believe that principle to be a correct statement of the law at all. In Mack v.
24 Warden Loretto FCI, 839 F.3d 286 (3d Cir. 2016), overruled on other grounds, Bistrian v. Levi,
25 912 F.3d 79, 95-96 (3d Cir. 2018), while acknowledging that it had never before held that a
26 prisoner’s oral grievance was constitutionally protected, the court nevertheless denied qualified
27 immunity, holding that the right of a prisoner to be free from retaliatory termination of his job for
28 exercising his right to petition was clearly established, over a dissent that would have held that, in
29 the context of a prisoner’s retaliation claim, “oral complaints should not be considered protected
30 conduct under the First Amendment.” Id. at 306. See also Groh v. Ramirez, 540 U.S. 551 (2004)
31 (denying qualified immunity in a Fourth Amendment search case, over a dissent that found no
32 constitutional violation).
33
34 Explaining its focus on reasonableness under the circumstances, the Court stated in Saucier
35 that “[b]ecause ‘police officers are often forced to make split-second judgments – in circumstances
36 that are tense, uncertain, and rapidly evolving – about the amount of force that is necessary in a
37 particular situation,’ ... the reasonableness of the officer's belief as to the appropriate level of force
38 should be judged from that on-scene perspective.” Saucier, 533 U.S. at 205 (quoting Graham v.
39 Connor, 490 U.S. 386, 397 (1989)). See also Bland v. City of Newark, 900 F.3d 77 (3d Cir. 2018)
40 (upholding qualified immunity for officers who shot driver of car after it crashed and was
41 entangled in scaffolding because Bland threatened to kill the officers, the officers had reason to
72
Last updated July 2019
4.7.2 Section 1983 – Qualified Immunity
1 believe Bland was armed, and the officers had seen Bland extricate the car he was driving from an
2 earlier crash and continue to flee); Mammaro v. New Jersey Div. of Child Prot. & Permanency,
3 814 F.3d 164, 171 (3d Cir. 2016) (finding child protection caseworkers protected by qualified
4 immunity and noting “that the failure to act quickly and decisively in these situations may have
5 devastating consequences for vulnerable children”). Conversely, the court of appeals has suggested
6 that qualified immunity analysis can take into account the fact that a defendant had time to
7 deliberate before acting. See Reedy v. Evanson, 615 F.3d 197, 224 n.37 (3d Cir. 2010) (in the
8 course of holding that summary judgment on qualified-immunity grounds was inappropriate,
9 noting that “[t]here were no ‘split-second’ decisions made in this case”).
10
11 Even in a context where the underlying constitutional violation requires a showing of
12 objective unreasonableness, the issue of qualified immunity presents a distinct question. As the
13 Court explained in Saucier,
14
15 [t]he concern of the immunity inquiry is to acknowledge that reasonable mistakes
16 can be made as to the legal constraints on particular police conduct. It is sometimes
17 difficult for an officer to determine how the relevant legal doctrine, here excessive
18 force, will apply to the factual situation the officer confronts. An officer might
19 correctly perceive all of the relevant facts but have a mistaken understanding as to
20 whether a particular amount of force is legal in those circumstances. If the officer's
21 mistake as to what the law requires is reasonable, however, the officer is entitled to
22 the immunity defense.
23
24 Saucier, 533 U.S. at 205.99
25
26 Questions relating to qualified immunity should not be put to the jury “routinely”; rather,
27 “[i]mmunity ordinarily should be decided by the court long before trial.” Hunter v. Bryant, 502
28 U.S. 224, 228 (1991) (per curiam). If there are no disputes concerning the relevant historical facts,
29 then qualified immunity presents a question of law to be resolved by the court.
30
31 However, “a decision on qualified immunity will be premature when there are unresolved
32 disputes of historical fact relevant to the immunity analysis.” Curley v. Klem, 298 F.3d 271, 278
99
The Court of Appeals has distinguished between the underlying excessive-force
inquiry and the qualified-immunity inquiry by characterizing the former as a question of fact and
the latter as a question of law. See Curley v. Klem, 499 F.3d 199, 214 (3d Cir. 2007) (“Curley
II”) (“[W]e think the most helpful approach is to consider the constitutional question as being
whether the officer made a reasonable mistake of fact, while the qualified immunity question is
whether the officer was reasonably mistaken about the state of the law.”).
73
Last updated July 2019
4.7.2 Section 1983 – Qualified Immunity
1 (3d Cir. 2002) (“Curley I”); see also Reitz v. County of Bucks, 125 F.3d 139, 147 (3d Cir. 1997).
2 Material disputes of historical fact must be resolved by the jury at trial.100 The question will then
3 arise whether the jury should decide only the questions of historical fact, or whether the jury should
4 also decide the question of objective reasonableness. See Curley I, 298 F.3d at 278 (noting that
5 “the federal courts of appeals are divided on the question of whether the judge or jury should
6 decide the ultimate question of objective reasonableness once all the relevant factual issues have
7 been resolved”). Some Third Circuit decisions have suggested that it can be appropriate to permit
8 the jury to decide objective reasonableness as well as the underlying questions of historical fact.
9 See, e.g., Sharrar v. Felsing, 128 F.3d 810, 830-31 (3d Cir. 1997) (noting with apparent approval
10 that the court in Karnes v. Skrutski, 62 F.3d 485 (3d Cir.1995), “held that a factual dispute relating
11 to qualified immunity must be sent to the jury, and suggested that, at the same time, the jury would
12 decide the issue of objective reasonableness”). On the other hand, the Third Circuit has also noted
13 that the court can “decide the objective reasonableness issue once all the historical facts are no
14 longer in dispute. A judge may use special jury interrogatories, for instance, to permit the jury to
15 resolve the disputed facts upon which the court can then determine, as a matter of law, the ultimate
16 question of qualified immunity.” Curley I, 298 F.3d at 279. And, more recently, the court has
17 suggested that this ultimate question must be reserved for the court, not the jury. See Carswell v.
18 Borough of Homestead, 381 F.3d 235, 242 (3d Cir. 2004) (“The jury ... determines disputed
19 historical facts material to the qualified immunity question.... District Courts may use special
20 interrogatories to allow juries to perform this function.... The court must make the ultimate
21 determination on the availability of qualified immunity as a matter of law.”).101 Most recently, the
22 court has stated that submitting the ultimate question of qualified immunity to the jury constitutes
23 reversible error: “[W]hether an officer made a reasonable mistake of law and is thus entitled to
24 qualified immunity is a question of law that is properly answered by the court, not a jury.... When
100
See, e.g., Estate of Smith v. Marasco, 430 F.3d 140, 152-53 (3d Cir. 2005)
(“Marcantino ... claimed that he gave Fetterolf no directions. At this stage, however, we must
assume that a jury would credit Fetterolf's version. If Marcantino did, in fact, approve the
decision to enter the residence as well as the methods employed to do so, he is not entitled to
qualified immunity.”). See also Tolan v. Cotton, 134 S.Ct. 1861 (2014) (per curiam)
(emphasizing that the fundamental principle of summary judgment practice—that reasonable
inferences should be drawn in favor of the nonmoving party—governs qualified immunity
determinations).
101
Admittedly, this statement in Carswell was dictum: The court in Carswell
affirmed the district court’s grant of judgment as a matter of law at the close of plaintiff’s
case in chief. See Carswell, 381 F.3d at 239, 245. See also Harvey v. Plains Twp. Police
Dept., 421 F.3d 185, 194 n.12 (3d Cir. 2005) (citing Carswell and Curley I with
approval).
74
Last updated July 2019
4.7.2 Section 1983 – Qualified Immunity
1 a district court submits that question of law to a jury, it commits reversible error.” Curley v. Klem,
2 499 F.3d 199, 211 (3d Cir. 2007) (“Curley II”).102
3
4 The court, then, should not instruct the jury on qualified immunity. 103 Rather, the court
5 should determine (in consultation with counsel) what the disputed issues of historical fact are. The
6 court should submit interrogatories to the jury on those questions of historical fact. Often,
7 questions of historical fact will be relevant both to the existence of a constitutional violation and
8 to the question of objective reasonableness; as to such questions, the court should instruct the jury
9 that the plaintiff has the burden of proof.104 (The court may wish to include those interrogatories
10 in the section of the verdict form that concerns the existence of a constitutional violation.) Other
11 questions of historical fact, however, may be relevant only to the question of objective
12 reasonableness; as to those questions, if any, the court should instruct the jury that the defendant
13 has the burden of proof. (The court may wish to include those interrogatories in a separate section
102
Under Carswell’s dictum, in cases where there exist material disputes of
historical fact, the best approach is for the jury to answer special interrogatories
concerning the historical facts and for the court to determine the question of objective
reasonableness consistent with the jury’s interrogatory answers. See Carswell, 381 F.3d
at 242 & n.2; see also Stephenson v. Doe, 332 F.3d 68, 80 n.15, 81 (2d Cir. 2003) (noting
that the difficult nature of qualified immunity doctrine “inherently makes for confusion,”
and stating that on remand the trial court should use special interrogatories if jury
findings are necessary with respect to issues relating to qualified immunity); but see
Sloman v. Tadlock, 21 F.3d 1462, 1468 (9th Cir. 1994) (“[S]ending the factual issues to
the jury but reserving to the judge the ultimate ‘reasonable officer’ determination leads to
serious logistical difficulties. Special jury verdicts would unnecessarily complicate easy
cases, and might be unworkable in complicated ones.”).
103
Though the Curley II court stressed that “that the second step in the Saucier
analysis, i.e., whether an officer made a reasonable mistake about the legal constraints on
police action and is entitled to qualified immunity, is a question of law that is exclusively
for the court,” it noted in dictum the possibility of using the jury, in an advisory capacity,
to determine questions relating to qualified immunity: “When the ultimate question of the
objective reasonableness of an officer's behavior involves tightly intertwined issues of
fact and law, it may be permissible to utilize a jury in an advisory capacity ... but
responsibility for answering that ultimate question remains with the court.” Curley II,
499 F.3d at 211 n.12.
104
For a further discussion of burdens of proof in this context, see supra
Comment 4.2.
75
Last updated July 2019
4.7.2 Section 1983 – Qualified Immunity
1 of the verdict form, after the sections concerning the prima facie case, and may wish to submit
2 those questions to the jury only if the jury finds for the plaintiff on liability.)
3
4 One question that may sometimes arise is whether jury findings on the defendant’s
5 subjective intent are relevant to the issue of qualified immunity. Decisions applying Harlow and
6 Harlow’s progeny emphasize that the test for qualified immunity is an objective one, and that the
7 defendant’s actual knowledge concerning the legality of the conduct is irrelevant.105 Admittedly,
105
See, e.g., Sharrar v. Felsing, 128 F.3d 810, 826 (3d Cir. 1997) (“[T]he
officer's subjective beliefs about the legality of his or her conduct generally ‘are
irrelevant.’”) (quoting Anderson, 483 U.S. at 641); Grant v. City of Pittsburgh, 98 F.3d
116, 123-24 (3d Cir. 1996) (“It is now widely understood that a public official who
knows he or she is violating the constitution nevertheless will be shielded by qualified
immunity if a ‘reasonable public official’ would not have known that his or her actions
violated clearly established law.”)
Justice Brennan’s concurrence in Harlow, quoting language from the majority opinion,
asserted that the Court’s standard “would not allow the official who actually knows that he was
violating the law to escape liability for his actions, even if he could not ‘reasonably have been
expected’ to know what he actually did know . . . . Thus the clever and unusually well-informed
violator of constitutional rights will not evade just punishment for his crimes.” Harlow, 457 U.S.
at 821 (Brennan, J., joined by Marshall & Blackmun, JJ., concurring). The quoted language
from the majority opinion, however, appears to refer to cases in which the defendant’s conduct in
fact violated clearly established law:
If the law was clearly established, the immunity defense ordinarily should
fail, since a reasonably competent public official should know the law governing
his conduct. Nevertheless, if the official pleading the defense claims extraordinary
circumstances and can prove that he neither knew nor should have known of the
relevant legal standard, the defense should be sustained. But again, the
defense would turn primarily on objective factors.
76
Last updated July 2019
4.7.2 Section 1983 – Qualified Immunity
1 the reasons given in Harlow for rejecting the subjective test carry considerably less weight in the
2 context of a court’s immunity decision based on a jury’s findings than they do at earlier points in
3 the litigation: The Court stressed its concerns that permitting a subjective test would doom
4 officials to intrusive discovery, see Harlow, 457 U.S. at 817 (noting that “[j]udicial inquiry into
5 subjective motivation therefore may entail broad-ranging discovery and the deposing of numerous
6 persons, including an official's professional colleagues”), and would impede the use of summary
7 judgment to dismiss claims on qualified immunity grounds, see id. at 818 (noting that “[r]eliance
8 on the objective reasonableness of an official's conduct, as measured by reference to clearly
9 established law, should avoid excessive disruption of government and permit the resolution of
10 many insubstantial claims on summary judgment”). Obviously, once a claim has reached a jury
11 trial, concerns about discovery and summary judgment are moot. In order to reach the trial stage,
12 the plaintiff must have successfully resisted summary judgment on qualified immunity grounds,
13 based on the application of the objective reasonableness test. And the plaintiff must have done so
14 without the benefit of discovery focused on the official’s subjective view of the legality of the
15 conduct. If, at trial, the jury finds that the defendant actually knew the conduct to be illegal, it
16 arguably would not contravene the policies stressed in Harlow if the court were to reject qualified
17 immunity based on such a finding. Nonetheless, the courts’ continuing emphasis on the notion
18 that the qualified immunity test excludes any element of subjective intent 106 raises the possibility
factual and legal circumstances surrounding the arrest, a reasonable officer would not
have relied on the prosecutor's advice.” Id. Cf. Bryan v. United States, 913 F.3d 356, 363
(3d Cir. 2019) (holding, in a case where the challenged action happened within days after
a court of appeals decision recognizing a right, that “a legal principle does not become
‘clearly established’ the day we announce a decision, or even one or two days later,”
rather than holding that the law was clearly established but that in such circumstances the
defendants “neither knew nor should have known of the relevant legal standard”).
106
See, e.g., Berg v. County of Allegheny, 219 F.3d 261, 272 (3d Cir. 2000) (“The
inquiry [concerning qualified immunity] is an objective one; the arresting officer's
subjective beliefs about the existence of probable cause are not relevant.”). However, a
qualified immunity analysis concerning probable cause will take into account what facts
the defendant knew at the relevant time. See Gilles v. Davis, 427 F.3d 197, 206 (3d Cir.
2005) (“[W]hether it was reasonable to believe there was probable cause is in part based
on the limited information that the arresting officer has at the time.”); see also Harvey v.
Plains Twp. Police Dept., 421 F.3d 185, 194 (3d Cir. 2005) (stating in context of a Fourth
Amendment claim that qualified immunity analysis “involv[es] consideration of both the law as
clearly established at the time of the conduct in question and the information within the officer's
possession at that time”); Blaylock v. City of Philadelphia, 504 F.3d 405, 411 (3d Cir. 2007)
(citing Hunter v. Bryant, 502 U.S. 224, 228-29 (1991), and Anderson v. Creighton, 483 U.S. 635,
641 (1987)); Burns v. PA Dep’t of Corrections, 642 F.3d 163, 177 & n.12 (3d Cir. 2011).
77
Last updated July 2019
4.7.2 Section 1983 – Qualified Immunity
1 that reliance on the defendant’s actual knowledge could be held to be erroneous. As the Court has
2 explained, “a defense of qualified immunity may not be rebutted by evidence that the defendant's
3 conduct was malicious or otherwise improperly motivated. Evidence concerning the defendant's
4 subjective intent is simply irrelevant to that defense.” Crawford-El v. Britton, 523 U.S. 574, 588
5 (1998).
6
7 In some cases, however, the defendant’s motivation may be relevant to the plaintiff’s claim.
8 See id. In such cases, the circumstances relevant to the qualified immunity determination may
9 include the defendant’s subjective intent. For example, in a First Amendment retaliation case
10 argued and decided after Crawford-El, the Third Circuit explained:
11
12 The qualified immunity analysis requires a determination as to whether reasonable
13 officials could believe that their conduct was not unlawful even if it was in fact
14 unlawful. . . . In the context of a First Amendment retaliation claim, that
15 determination turns on an inquiry into whether officials reasonably could believe
16 that their motivations were proper even when their motivations were in fact
17 retaliatory. Even assuming that this could be demonstrated under a certain set of
18 facts, it is an inquiry that cannot be conducted without factual determinations as to
19 the officials' subjective beliefs and motivations . . . .
20
21 Larsen v. Senate of Com. of Pa., 154 F.3d 82, 94 (3d Cir. 1998); see also Monteiro v. City of
22 Elizabeth, 436 F.3d 397, 404 (3d Cir. 2006) (“In cases in which a constitutional violation depends
23 on evidence of a specific intent, ‘it can never be objectively reasonable for a government official
24 to act with the intent that is prohibited by law’ ”) (quoting Locurto v. Safir, 264 F.3d 154, 169 (2d
25 Cir. 2001)). In some cases where the plaintiff must meet a stringent test (on the merits) concerning
26 the defendant’s state of mind, the jury’s finding that the defendant had that state of mind forecloses
27 a defense of qualified immunity.107 In those cases, the jury’s decision on the defendant’s state of
107
See Monteiro, 436 F.3d at 405 (“Perkins-Auguste's argument that she could have
conceivably (and constitutionally) ejected Monteiro on the basis of his disruptions is unavailing
in the face of a jury verdict concluding that she acted with a motive to suppress Monteiro's
speech on the basis of viewpoint.”).
Similarly, the Eleventh Circuit noted Saucier’s holding that the qualified immunity
inquiry is distinct from the merits of the claim, but explained:
78
Last updated July 2019
4.7.2 Section 1983 – Qualified Immunity
The Supreme Court’s decision in Saucier does not necessarily undermine the
Third Circuit’s reasoning in Beers-Capitol. Admittedly, the Third Circuit decided Beers-
Capitol a week before the Supreme Court decided Saucier; but Saucier’s holding
(concerning Fourth Amendment excessive force claims) followed the earlier holding in
Anderson v. Creighton, 483 U.S. 635, 640 (1987) (concerning Fourth Amendment search
claims). Anderson and Saucier can be distinguished from Beers-Capitol. Because an
official can make a reasonable mistake as to whether a particular action is reasonable,
qualified immunity is available even where the contours of the relevant constitutional
right depend “upon an assessment of what accommodation between governmental need
and individual freedom is reasonable.” Anderson, 483 U.S. at 644. By contrast, if the
relevant constitutional standard requires that the defendant actually knew of an excessive
risk (as in the case of an Eighth Amendment violation), qualified immunity seems
paradoxical: It is difficult to argue that a reasonable officer in the defendant’s shoes could
not be expected to know the defendant’s conduct was unlawful when the defendant
actually knew of the excessive risk.
However, the Supreme Court’s subsequent decision in Hope v. Pelzer, 536 U.S.
730 (2002), does raise some doubt as to the validity of the Third Circuit’s conclusion. In Hope,
the Court held that the plaintiff’s allegations, if true, established an Eighth Amendment claim.
See id. at 737-38. In doing so, it referred both to deliberate indifference (suggesting that it was
79
Last updated July 2019
4.7.2 Section 1983 – Qualified Immunity
1 Not all Section 1983 defendants will be entitled to assert a qualified immunity defense.
2 See, e.g., Richardson v. McKnight, 521 U.S. 399, 401 (1997) (holding that “prison guards who are
3 employees of a private prison management firm” are not “entitled to a qualified immunity from
4 suit by prisoners charging a violation of 42 U.S.C. § 1983”); Wyatt v. Cole, 504 U.S. 158, 159
5 (1992) (holding that “private defendants charged with 42 U.S.C. § 1983 liability for invoking state
6 replevin, garnishment, and attachment statutes later declared unconstitutional” cannot claim
7 qualified immunity); Owen v. City of Independence, Mo., 445 U.S. 622, 657 (1980) (holding that
8 “municipalities have no immunity from damages liability flowing from their constitutional
9 violations”). But see Filarsky v. Delia, 132 S. Ct. 1657, 1665, 1667-68 (2012) (reasoning that
applying a conditions of confinement analysis) and to the gratuitous infliction of wanton and
unnecessary pain (suggesting that it was applying an excessive force analysis). Id. It then
proceeded to analyze whether it would have been clear to a reasonable official under the
circumstances that the conduct at issue violated a clearly established constitutional right, see id.
at 739. Although the majority ultimately concluded that the defendants were not entitled to
qualified immunity, it did so on the ground that caselaw, a state regulation and a DOJ report
should have made it obvious to a reasonable official that the conduct was unconstitutional. See
id. at 741-42. If a showing of Eighth Amendment deliberate indifference (or the gratuitous
infliction of wanton and unnecessary pain) automatically negates a defendant’s claim of qualified
immunity, then the Court could have relied upon that ground to reverse the grant of
summary judgment to the defendants in Hope; thus, the fact that the Court instead
analyzed the question of qualified immunity without mentioning the possible relevance of
the showing of deliberate indifference (or the gratuitous infliction of wanton and
unnecessary pain) suggests that the Court did not view that showing as dispositive of the
qualified immunity question. On the other hand, the plaintiff in Hope apparently did not
argue that the showing of deliberate indifference (or the gratuitous infliction of wanton
and unnecessary pain) negated the claim of qualified immunity, so it may be that the
Court simply did not consider that theory in deciding Hope. (In Whitley v. Albers, 475
U.S. 312 (1986), the court of appeals had stated that “[a] finding of [Eighth Amendment]
deliberate indifference is inconsistent with a finding of ... qualified immunity,” Albers v.
Whitley, 743 F.2d 1372, 1376 (9th Cir. 1984), but the Supreme Court refused to address
this contention because the Court reversed the judgment on other grounds, see 475 U.S.
at 327-28.) In Young v. Martin, 801 F.3d 172 (3d Cir. 2015), the court of appeals decided
that Hope was best read as an excessive force case, reversed summary judgment for
defendants on the merits of the Eighth Amendment claim, and remanded for
consideration of the qualified immunity question. It did not address whether it is possible
to find that a defendant who gratuitously inflicted wanton and unnecessary pain was
nonetheless entitled to qualified immunity.
80
Last updated July 2019
4.7.2 Section 1983 – Qualified Immunity
1 “immunity under § 1983 should not vary depending on whether an individual working for the
2 government does so as a full-time employee, or on some other basis,” and holding that a private
3 attorney hired by a municipality to help conduct an administrative investigation was entitled to
4 assert qualified immunity).
5
6 The Court has left undecided whether private defendants who cannot claim qualified
7 immunity should be able to claim “good faith” immunity. See Wyatt, 504 U.S. at 169 (“[W]e do
8 not foreclose the possibility that private defendants faced with § 1983 liability ... could be entitled
9 to an affirmative defense based on good faith and/or probable cause or that § 1983 suits against
10 private, rather than governmental, parties could require plaintiffs to carry additional burdens.”);
11 id. at 169-75 (Kennedy, J., joined by Scalia, J., concurring) (arguing in favor of a good faith
12 defense); Richardson, 521 U.S. at 413 (declining to determine “whether or not . . . private
13 defendants . . . might assert, not immunity, but a special ‘good-faith’ defense”). Taking up the
14 issue thus left open in Wyatt, the Third Circuit has held that “private actors are entitled to a defense
15 of subjective good faith.” Jordan v. Fox, Rothschild, O'Brien & Frankel, 20 F.3d 1250, 1277 (3d
16 Cir. 1994). The discussion in Jordan focused on the question in the context of a due process claim
17 arising from a creditor’s execution on a judgment. See id. at 1276 (explaining that “a creditor's
18 subjective appreciation that its act deprives the debtor of his constitutional right to due process”
19 would show an absence of good faith).
81
Last updated July 2019
4.7.3 Release-Dismissal Agreement
109
If the release was oral, the defendant must prove voluntariness by clear and
convincing evidence.
110
The Court of Appeals has not determined the appropriate standard of proof of
voluntariness in the case of a written release.
111
If more than one defendant seeks to assert the release as a defense, the court,
if the plaintiff so requests, should require the jury to consider voluntariness with respect
to potential claims against each specific defendant. See Livingstone v. North Belle
Vernon Borough, 91 F.3d 515, 526 n.13 (3d Cir. 1996).
82
Last updated July 2019
4.7.3 Release-Dismissal Agreement
1 • Whether [plaintiff’s] background and experience helped [plaintiff] to understand the terms
2 of the release;
3 • Whether [plaintiff] was represented by a lawyer, and if so, whether [plaintiff’s] lawyer
4 wrote the release;
5 • Whether [plaintiff] agreed to the release immediately or whether [plaintiff] took time to
6 think about it;
7 • Whether [plaintiff] expressed any unwillingness to enter into the release; and
8 • Whether the terms of the release were clear.
9
10
11 Comment
12
13 The validity of release-dismissal agreements waiving potential Section 1983 claims is
14 reviewed on a case-by-case basis. See Town of Newton v. Rumery, 480 U.S. 386, 392 (1987).112
15 To be enforced, the agreement must be “executed voluntarily, free from prosecutorial misconduct
16 and not offensive to the relevant public interest.” Cain v. Darby Borough, 7 F.3d 377, 380 (3d
17 Cir. 1993) (in banc) (citing Rumery).
18
19 The defense has the burden of showing voluntariness, see Livingstone v. North Belle
20 Vernon Borough, 12 F.3d 1205, 1211 (3d Cir. 1993) (in banc), and if the release was oral rather
21 than written then voluntariness must be proven by clear and convincing evidence, see Livingstone
22 v. North Belle Vernon Borough, 91 F.3d 515, 534-36 (3d Cir. 1996); see also Livingstone, 12 F.3d
23 at 1212-13 (noting reasons why written releases are preferable).113 The inquiry is fact-specific.
24 See Livingstone, 12 F.3d at 1210-11 (listing types of factors relevant to voluntariness). To the
25 extent that the question whether the plaintiff made a “deliberate, informed and voluntary waiver”
26 presents issues of witness credibility concerning the plaintiff’s state of mind, the question should
27 be submitted to the jury. Livingstone, 12 F.3d at 1215 n.9.
28
29 The defense must also show “that upon balance the public interest favors enforcement.”
112
“Whereas . . . the validity of a release-dismissal for a section 1983 claim is
governed exclusively by federal law . . . , the validity of any purported release of . . . state
claims . . . is governed by state law.” Livingstone v. North Belle Vernon Borough, 12
F.3d 1205, 1209 n.6 (1993) (in banc); see also Livingstone, 91 F.3d at 539 (discussing
treatment of release-dismissal agreements under Pennsylvania law).
113
See also Livingstone, 91 F.3d at 536 n.34 (declining to “address the appropriate
standard of proof for enforcement of a written release-dismissal agreement”).
83
Last updated July 2019
4.7.3 Release-Dismissal Agreement
1 Cain, 7 F.3d at 381; see also Livingstone, 12 F.3d at 1215 (discussing possible public interest
2 rationales for releases); Livingstone, 91 F.3d at 527 (noting the “countervailing interest ... in
3 detecting and deterring official misconduct”); id. at 528-29 (assessing possible rationales).114 “The
4 standard for determining whether a release meets the public interest requirement is an objective
5 one, based upon the facts known to the prosecutor when the agreement was reached.” Cain, 7 F.3d
6 at 381. Moreover, “the public interest reason proffered by the prosecutor must be the prosecutor's
7 actual reason for seeking the release.” Id.; see also Livingstone, 91 F.3d at 530 n.17. If, instead,
8 “the decision to pursue a prosecution, or the subsequent decision to conclude a release-dismissal
9 agreement, was motivated by a desire to protect public officials from liability,” the release should
10 not be enforced. Livingstone, 91 F.3d at 533.115
11
12 “[P]rotecting public officials from civil suits may in some cases provide a valid public
13 interest and justify the enforcement of a release-dismissal agreement.” Cain, 7 F.3d at 383. But
14 “there must first be a case-specific showing that the released civil rights claims appeared to be
15 marginal or frivolous at the time the agreement was made and that the prosecutor was in fact
16 motivated by this reason.” Id.116 Whether the claims appeared to be marginal or frivolous should
17 be assessed on the basis of the information that the prosecutor “knew or should have known” at
18 the time. Livingstone, 91 F.3d at 532. If the claims did appear marginal or frivolous based on the
19 information that the prosecutor knew and/or should have known, the court should then address
20 “the further question whether enforcement of a release-dismissal agreement in the face of
21 substantial evidence of police misconduct would be compatible with Rumery and Cain,
22 notwithstanding that the evidence of misconduct was not known, or reasonably knowable, by the
23 prosecutor at the time.” Livingstone, 91 F.3d at 532.
24
114
See also Seth F. Kreimer, Releases, Redress, and Police Misconduct: Reflections on
Agreements to Waive Civil Rights Actions in Exchange for Dismissal of Criminal Charges, 136
U. Pa. L. Rev. 851, 928 (1988) (noting that release-dismissal agreements pose “a substantial cost
to first amendment rights, the integrity of the criminal process, and the purposes served by
section 1983”).
whether enforcing the release would advance the public interest.” Cain, 7 F.3d at 380.
116
“As a general matter, civil rights claims based on substantial evidence of official
misconduct will not be either marginal or frivolous. But this may not be true in every case. For
instance, if the official involved would clearly have absolute immunity for the alleged
misconduct, then a subsequent civil rights suit might indeed be marginal, whether or not there is
substantial evidence that the misconduct occurred.” Livingstone, 91 F.3d at 530 n.18.
84
Last updated July 2019
4.7.3 Release-Dismissal Agreement
1 The objective inquiry (whether there existed a valid public interest in the release) is for the
2 court,117 but the subjective inquiry (whether that interest was the prosecutor’s actual reason) is for
3 the jury. See Livingstone, 12 F.3d at 1215. “The party seeking to enforce the release-dismissal
4 agreement bears the burden of proof on both of these elements.” Livingstone, 91 F.3d at 527.
117
“The process of weighing the evidence of police misconduct against the
prosecutor's asserted reasons for concluding a release-dismissal agreement is part of the
broad task of balancing the public interests that favor and that disfavor enforcement. That
task is one for the court.” Livingstone, 91 F.3d at 533 n.28.
85
Last updated July 2019
4.8.1 Section 1983 –Compensatory Damages
86
Last updated July 2019
4.8.1 Section 1983 –Compensatory Damages
118
“[E]xpert medical evidence is not required to prove emotional distress in
section 1983 cases.” Bolden v. Southeastern Pennsylvania Transp. Authority, 21 F.3d 29,
36 (3d Cir. 1994). However, the plaintiff must present competent evidence showing
emotional distress. See Chainey v. Street, 523 F.3d 200, 216 (3d Cir. 2008). And in suits
filed by prisoners, the court should ensure that the instructions on emotional and mental
injury comply with 42 U.S.C. § 1997e(e). See Comment.
119
The Court of Appeals has not discussed whether and how the jury should be
instructed concerning the present value of future damages in Section 1983 cases. For
instructions concerning present value (and a discussion of relevant issues), see Instruction
5.4.4 and its Comment.
120
This category of damages is not available for an unreasonable search and seizure. See
Hector v. Watt, 235 F.3d 154, 157 (3d Cir. 2000), as amended (Jan. 26, 2001) (“Victims of
unreasonable searches or seizures may recover damages directly related to the invasion of their
privacy – including (where appropriate) damages for physical injury, property damage, injury to
reputation, etc.; but such victims cannot be compensated for injuries that result from the
discovery of incriminating evidence and consequent criminal prosecution.”) (quoting Townes v.
City of New York, 176 F.3d 138, 148 (2d Cir.1999)).
121
See Sample v. Diecks, 885 F.2d 1099, 1112 (3d Cir. 1989) (upholding award of
87
Last updated July 2019
4.8.1 Section 1983 –Compensatory Damages
1 [Each plaintiff has a duty under the law to "mitigate" his or her damages – that means that
2 the plaintiff must take advantage of any reasonable opportunity that may have existed under the
3 circumstances to reduce or minimize the loss or damage caused by the defendant. It is
4 [defendant's] burden to prove that [plaintiff] has failed to mitigate. So if [defendant] persuades
5 you by a preponderance of the evidence that [plaintiff] failed to take advantage of an opportunity
6 that was reasonably available to [him/her], then you must reduce the amount of [plaintiff’s]
7 damages by the amount that could have been reasonably obtained if [he/she] had taken advantage
8 of such an opportunity.]
9
10 [In assessing damages, you must not consider attorney fees or the costs of litigating this
11 case. Attorney fees and costs, if relevant at all, are for the court and not the jury to determine.
12 Therefore, attorney fees and costs should play no part in your calculation of any damages.]
13
14
15 Comment
16
17 “[W]hen § 1983 plaintiffs seek damages for violations of constitutional rights, the level of
18 damages is ordinarily determined according to principles derived from the common law of torts.”
19 Memphis Community School Dist. v. Stachura, 477 U.S. 299, 306 (1986); see also Allah v.
20 Al-Hafeez, 226 F.3d 247, 250 (3d Cir. 2000) (“It is well settled that compensatory damages under
21 § 1983 are governed by general tort-law compensation theory.”).122
compensatory damages for “each day of confinement after the time Sample would have been
released if Diecks had fulfilled his duty to Sample”).
122
The Third Circuit has noted the potential relevance of 42 U.S.C. § 1988 to the
question of damages in Section 1983 cases. See Fontroy v. Owens, 150 F.3d 239, 242 (3d Cir.
1998). The Fontroy court relied on the approach set forth by the Supreme Court in a case
addressing statute of limitations issues:
First, courts are to look to the laws of the United States "so far as such laws are
suitable to carry [the civil and criminal civil rights statutes] into effect." If no suitable
federal rule exists, courts undertake the second step by considering application of state
"common law, as modified and changed by the constitution and statutes" of the forum
State. A third step asserts the predominance of the federal interest: courts are to apply
state law only if it is not "inconsistent with the Constitution and laws of the United
States."
Fontroy, 150 F.3d at 242-43 (quoting Burnett v. Grattan, 468 U.S. 42, 47-48 (1984) (quoting 42
U.S.C. § 1988(a))); compare Seth F. Kreimer, The Source of Law in Civil Rights Actions: Some
88
Last updated July 2019
4.8.1 Section 1983 –Compensatory Damages
1 “[A] Section 1983 plaintiff must demonstrate that the defendant's actions were the
2 proximate cause of the violation of his federally protected right.” Rivas v. City of Passaic, 365
3 F.3d 181, 193 (3d Cir. 2004) (discussing defendants’ contentions that their conduct did not
4 “proximately cause[] [the decedent’s] death”). The requirement is broadly equivalent to the tort
5 law’s concept of proximate cause. See, e.g, Hedges v. Musco, 204 F.3d 109, 121 (3d Cir. 2000)
6 (“It is axiomatic that ‘[a] § 1983 action, like its state tort analogs, employs the principle of
7 proximate causation.’ ”) (quoting Townes v. City of New York, 176 F.3d 138, 146 (2d Cir. 1999));
8 Johnson v. Philadelphia, 837 F.3d 343, 352 (3d Cir. 2016) (holding that even if a police officer
9 acted unreasonably in his initial approach to an obviously disturbed man, the causal chain between
10 that initial approach and the officer’s killing of that man was broken by the man’s “sudden,
11 unexpected attack that instantly forced the officer into a defensive fight for his life” and that
12 included the man attempting to grab the officer’s gun out of its holster). Thus, Instruction 4.8.1
13 reflects general tort principles concerning causation and compensatory damages.
14
15 With respect to future injury, the Eighth Circuit’s model instructions require that the
16 plaintiff prove the injury is “reasonably certain” to occur. See Eighth Circuit (Civil) Instruction
17 4.51. Although the Committee is not aware of Third Circuit caselaw directly addressing this issue,
18 some precedents from other circuits do provide support for such a requirement. See Stengel v.
19 Belcher, 522 F.2d 438, 445 (6th Cir. 1975) (“The Court properly instructed the jury that Stengel
20 could recover damages only for injury suffered as a proximate result of the shooting, and for future
21 damages which were reasonably certain to occur.”), cert. dismissed, 429 U.S. 118 (1976);
22 Henderson v. Sheahan, 196 F.3d 839, 849 (7th Cir. 1999) (“Damages may not be awarded on the
23 basis of mere conjecture or speculation; a plaintiff must prove that there is a reasonable certainty
24 that the anticipated harm or condition will actually result in order to recover monetary
25 compensation.”); cf. Slicker v. Jackson, 215 F.3d 1225, 1232 (11th Cir. 2000) (“[A]n award of
26 nominal damages may be appropriate when the plaintiff's injuries have no monetary value or when
27 they are not quantifiable with reasonable certainty.”). On the other hand, language in some other
28 opinions suggest that something less than “reasonable certainty,” such as “reasonable likelihood,”
29 might suffice. See, e.g., Ruiz v. Gonzalez Caraballo, 929 F.2d 31, 35 (1st Cir. 1991) (in assessing
30 jury’s award of damages, taking into account evidence that the plaintiff’s “post-traumatic stress
31 syndrome would likely require extensive future medical treatment at appreciable cost”); Lawson
Old Light on Section 1988, 133 U. Pa. L. Rev. 601, 620 (1985) (arguing that Section 1988's
reference to “common law” denotes “general common law,” not state common law).
As noted in the text, the Supreme Court has addressed a number of questions relating to
the damages available in Section 1983 actions without making Section 1988 the focus of its
analysis. See, e.g., Carey v. Piphus, 435 U.S. 247, 258 n.13 (1978) (applying the tort principle of
compensation in a procedural due process case and stating in passing, in a footnote, that “42
U.S.C. § 1988 authorizes courts to look to the common law of the States where this is ‘necessary
to furnish suitable remedies’ under § 1983”).
89
Last updated July 2019
4.8.1 Section 1983 –Compensatory Damages
1 v. Dallas County, 112 F. Supp. 2d 616, 636 (N.D. Tex. 2000) (plaintiff is “entitled to recover
2 compensatory damages for the physical injury, pain and suffering, and mental anguish that he has
3 suffered in the past – and is reasonably likely to suffer in the future – because of the defendants'
4 wrongful conduct”), aff’d, 286 F.3d 257 (5th Cir. 2002).
5
6 The court should take care not to suggest that the jury could award damages based on “the
7 abstract value of [the] constitutional right.” Stachura, 477 U.S. at 308. If a constitutional violation
8 has not caused actual damages, nominal damages are the appropriate remedy. See id. at 308 n.11;
9 infra Instruction 4.8.2. However, “compensatory damages may be awarded once the plaintiff
10 shows actual injury despite the fact the monetary value of the injury is difficult to ascertain.”
11 Brooks v. Andolina, 826 F.2d 1266, 1269 (3d Cir. 1987).
12
13 In a few types of cases, “presumed” damages may be available. “When a plaintiff seeks
14 compensation for an injury that is likely to have occurred but difficult to establish ... presumed
15 damages may roughly approximate the harm that the plaintiff suffered and thereby compensate for
16 harms that may be impossible to measure.” Stachura, 477 U.S. at 310-11. However, only a
17 “narrow” range of claims will qualify for presumed damages. Spence v. Board of Educ. of
18 Christina School Dist., 806 F.2d 1198, 1200 (3d Cir. 1986) (noting that “[t]he situations alluded
19 to by the Memphis Court that would justify presumed damages [involved] defamation and the
20 deprivation of the right to vote”).
21
22 If warranted by the evidence, the court can instruct the jury to distinguish between damages
23 caused by legal conduct and damages caused by illegal conduct. Cf. Bennis v. Gable, 823 F.2d
24 723, 734 n.14 (3d Cir. 1987) (“Apportionment [of compensatory damages] is appropriate
25 whenever ‘a factual basis can be found for some rough practical apportionment, which limits a
26 defendant's liability to that part of the harm which that defendant's conduct has been cause in fact.’
27 ”) (quoting Prosser & Keeton, The Law of Torts, § 52, at 345 (5th ed. 1984)); Eazor Express, Inc.
28 v. International Brotherhood of Teamsters, 520 F.2d 951, 967 (3d Cir.1975) (reviewing judgment
29 entered after bench trial in case under Labor Management Relations Act and discussing
30 apportionment of damages between legal and illegal conduct), overruled on other grounds by
31 Carbon Fuel Co. v. United Mine Workers of America, 444 U.S. 212, 215 (1979).
32
33 The court should instruct the jury on the categories of compensatory damages that it should
34 consider. Those categories will often parallel the categories of damages available under tort law.
35 “[O]ver the centuries the common law of torts has developed a set of rules to implement the
36 principle that a person should be compensated fairly for injuries caused by the violation of his
37 legal rights. These rules, defining the elements of damages and the prerequisites for their recovery,
38 provide the appropriate starting point for the inquiry under § 1983 as well.” Carey v. Piphus, 435
90
Last updated July 2019
4.8.1 Section 1983 –Compensatory Damages
1 U.S. 247, 257-258 (1978).123 The Carey Court also noted, however, that “the rules governing
2 compensation for injuries caused by the deprivation of constitutional rights should be tailored to
3 the interests protected by the particular right in question.” Id. at 259.
4
5 The Prison Litigation Reform Act (“PLRA”) provides that “[n]o Federal civil action may
6 be brought by a prisoner confined in a jail, prison, or other correctional facility, for mental or
7 emotional injury suffered while in custody without a prior showing of physical injury.” 42 U.S.C.
8 § 1997e(e). This provision “requir[es] a less-than-significant-but-more-than-de minimis physical
9 injury as a predicate to allegations of emotional injury.” Mitchell v. Horn, 318 F.3d 523, 536 (3d
10 Cir. 2003). However, this provision does not bar the award of nominal and punitive damages. See
11 Allah v. Al-Hafeez, 226 F.3d 247, 252 (3d Cir. 2000) (holding that “[n]either claims seeking
12 nominal damages to vindicate constitutional rights nor claims seeking punitive damages to deter
13 or punish egregious violations of constitutional rights are claims ‘for mental or emotional injury’
14 ” within the meaning of Section 1997e(e)).124 At least one district court has interpreted Section
15 1997e(e) to preclude the award of damages for emotional injury absent a finding of physical injury.
16 See Tate v. Dragovich, 2003 WL 21978141, at *9 (E.D. Pa. 2003) (“Plaintiff was barred from
17 recovering compensatory damages for his alleged emotional and psychological injuries by §
18 803(d)(e) of the PLRA, which requires that proof of physical injury precede any consideration of
19 mental or emotional harm, 42 U.S.C. § 1997e(e) (2003), and the jury was instructed as such.”). In
20 a case within Section 1997e(e)’s ambit,125 the court should incorporate this consideration into the
123
Compensatory damages in a Section 1983 case “may include not only
out-of-pocket loss and other monetary harms, but also such injuries as ‘impairment of
reputation ..., personal humiliation, and mental anguish and suffering.’” Memphis
Community School Dist. v. Stachura, 477 U.S. 299, 307 (1986) (quoting Gertz v. Robert
Welch, Inc., 418 U.S. 323, 350 (1974)); see also Coleman v. Kaye, 87 F.3d 1491, 1507
(3d Cir. 1996) (in sex discrimination case, holding that plaintiff could recover damages
under Section 1983 for “personal anguish she suffered as a result of being passed over for
promotion”); Chainey v. Street, 523 F.3d 200, 216 (3d Cir. 2008) (discussing proof of
damages for emotional distress).
124
One court has held that Section 1997e’s reference to “mental or emotional injury”
does not encompass physical pain. See Perez v. Jackson, 2000 WL 893445, at *2 (E.D.Pa. June
30, 2000) (“Physical pain wantonly inflicted in a manner which violates the Eighth Amendment
is a sufficient ‘physical injury’ to permit recovery under § 1983. Plaintiff also has not pled a
claim for emotional or mental injury.”).
125
“[T]he applicability of the personal injury requirement of 42 U.S.C. § 1997e(e) turns
on the plaintiff's status as a prisoner, not at the time of the incident, but when the lawsuit is
91
Last updated July 2019
4.8.1 Section 1983 –Compensatory Damages
1 instructions.126
2
3 The Third Circuit has held that the district court has discretion to award prejudgment
4 interest in Section 1983 cases. See Savarese v. Agriss, 883 F.2d 1194, 1207 (3d Cir. 1989).
5 Accordingly, it appears that the question of prejudgment interest need not be submitted to the jury.
6 Compare Cordero v. De Jesus-Mendez, 922 F.2d 11, 13 (1st Cir. 1990) (“[I]n an action brought
7 under 42 U.S.C. § 1983, the issue of prejudgment interest is so closely allied with the issue of
8 damages that federal law dictates that the jury should decide whether to assess it.”).
9
10 There appears to be no uniform practice regarding the use of an instruction that warns the
11 jury against speculation on attorney fees and costs. In Collins v. Alco Parking Corp., 448 F.3d
12 652 (3d Cir. 2006), the district court gave the following instruction: “You are instructed that if
13 plaintiff wins on his claim, he may be entitled to an award of attorney fees and costs over and
14 above what you award as damages. It is my duty to decide whether to award attorney fees and
15 costs, and if so, how much. Therefore, attorney fees and costs should play no part in your
16 calculation of any damages.” Id. at 656-57. The Court of Appeals held that the plaintiff had not
17 properly objected to the instruction, and, reviewing for plain error, found none: “We need not and
18 do not decide now whether a district court commits error by informing a jury about the availability
19 of attorney fees in an ADEA case. Assuming arguendo that an error occurred, such error is not
20 plain, for two reasons.” Id. at 657. First, “it is not ‘obvious’ or ‘plain’ that an instruction directing
21 the jury not to consider attorney fees” is irrelevant or prejudicial; “it is at least arguable that a jury
22 tasked with computing damages might, absent information that the Court has discretion to award
23 attorney fees at a later stage, seek to compensate a sympathetic plaintiff for the expense of
24 litigation.” Id. Second, it is implausible “that the jury, in order to eliminate the chance that Collins
25 might be awarded attorney fees, took the disproportionate step of returning a verdict against him
26 even though it believed he was the victim of age discrimination, notwithstanding the District
filed.” Abdul-Akbar v. McKelvie, 239 F.3d 307, 314 (3d Cir. 2001) (en banc).
126
It is not entirely clear that Section 1997e(e) precludes an award of damages for
emotional injury absent a jury finding of physical injury; rather, the statute focuses upon the
pretrial stage, by precluding the prisoner from bringing an action seeking damages for emotional
injury absent a prior showing of physical injury. A narrow reading of the statute’s language
arguably accords with the statutory purpose of decreasing the number of inmate suits and
enabling the pretrial dismissal of such suits where only emotional injury is alleged: Under this
view, if a plaintiff has survived summary judgment by pointing to evidence that would enable a
reasonable jury to find physical injury, it would not offend the statute’s purpose to permit the
jury to award damages for emotional distress even if the jury did not find physical injury.
However, because it is far from clear that this view will ultimately prevail, the safer course may
be to incorporate the physical injury requirement into the jury instructions.
92
Last updated July 2019
4.8.1 Section 1983 –Compensatory Damages
1 Court's clear instructions to the contrary.” Id.; see also id. at 658 (distinguishing Fisher v. City of
2 Memphis, 234 F.3d 312, 319 (6th Cir. 2000), and Brooks v. Cook, 938 F.2d 1048, 1051 (9th Cir.
3 1991)).
93
Last updated July 2019
4.8.2 Section 1983 – Nominal Damages
94
Last updated July 2019
4.8.2 Section 1983 – Nominal Damages
1 that evidence is undisputed,127 it is error to instruct the jury on nominal damages, at least if the
2 nominal damages instruction is emphasized to the exclusion of appropriate instructions on
3 compensatory damages.128 In Pryer v. C.O. 3 Slavic, the district court granted a new trial, based
4 partly on the ground that because the plaintiff had presented “undisputed proof of actual injury, an
5 instruction on nominal damages was inappropriate.” Pryer v. C.O. 3 Slavic, 251 F.3d 448, 452
6 (3d Cir. 2001). In upholding the grant of a new trial, the Court of Appeals noted that “nominal
7 damages may only be awarded in the absence of proof of actual injury.” See id. at 453. The court
8 observed that the district court had “recognized that he had erroneously instructed the jury on
9 nominal damages and failed to inform it of the availability of compensatory damages for pain and
10 suffering.” Id. Accordingly, the court held that “[t]he court's error in failing to instruct as to the
11 availability of damages for such intangible harms, coupled with its emphasis on nominal damages,
12 rendered the totality of the instructions confusing and misleading.” Id. at 454.
127
Cf. Slicker v. Jackson, 215 F.3d 1225, 1232 (11th Cir. 2000) (“[N]ominal
damages may be appropriate where a jury reasonably concludes that the plaintiff's
evidence of injury is not credible.”).
128
Cf. Brooks v. Andolina, 826 F.2d 1266, 1269-70 (3d Cir. 1987) (in case tried
without a jury, holding that it was error to award only nominal damages because the
plaintiff “demonstrated that he suffered actual injury” by testifying “that while in punitive
segregation he lost his regular visiting and phone call privileges, his rights to recreation
and to use the law library, and his wages from his job”).
95
Last updated July 2019
4.8.3 Section 1983 – Punitive Damages
129
See Comment for alternative language tailored to Eighth Amendment
excessive force claims.
130
The Court of Appeals has not addressed the question of the appropriate
standard of proof for punitive damages with respect to Section 1983 claims, but at least
one district court in the Third Circuit has applied the preponderance standard. See
Hopkins v. City of Wilmington, 615 F. Supp. 1455, 1465 (D. Del. 1985); cf., e.g., White v.
Burlington Northern & Santa Fe R. Co., 364 F.3d 789, 805 (6th Cir. 2004) (en banc)
(“[T]he appropriate burden of proof on a claim for punitive damages under Title VII is a
preponderance of the evidence . . . .”), aff’d, 126 S. Ct. 2405 (2006); compare Pacific
96
Last updated July 2019
4.8.3 Section 1983 – Punitive Damages
1 maliciously or wantonly in violating [plaintiff’s] federal rights, then you may award punitive
2 damages [against that defendant].131 However, an award of punitive damages is discretionary; that
3 is, if you find that the legal requirements for punitive damages are satisfied, then you may decide
4 to award punitive damages, or you may decide not to award them. I will now discuss some
5 considerations that should guide your exercise of this discretion. But remember that you cannot
6 award punitive damages unless you have found that [defendant] [the defendant in question] acted
7 maliciously or wantonly in violating [plaintiff’s] federal rights.
8
9 If you have found that [defendant] [the defendant in question] acted maliciously or
10 wantonly in violating [plaintiff’s] federal rights, then you should consider the purposes of punitive
11 damages. The purposes of punitive damages are to punish a defendant for a malicious or wanton
12 violation of the plaintiff’s federal rights, or to deter the defendant and others like the defendant
13 from doing similar things in the future, or both. Thus, you may consider whether to award punitive
14 damages to punish [defendant]. You should also consider whether actual damages standing alone
15 are sufficient to deter or prevent [defendant] from again performing any wrongful acts [he/she]
16 may have performed. Finally, you should consider whether an award of punitive damages in this
17 case is likely to deter other persons from performing wrongful acts similar to those [defendant]
18 may have committed.
19
20 If you decide to award punitive damages, then you should also consider the purposes of
21 punitive damages in deciding the amount of punitive damages to award. That is, in deciding the
22 amount of punitive damages, you should consider the degree to which [defendant] should be
23 punished for [his/her] wrongful conduct toward [plaintiff], and the degree to which an award of
24 one sum or another will deter [defendant] or others from committing similar wrongful acts in the
25 future.
26
27 In considering the purposes of punishment and deterrence, you should consider the nature
28 of the defendant’s action. For example, you are entitled to consider [include any of the following
29 that are warranted by the evidence] [whether a defendant’s act was violent or non-violent; whether
Mut. Life Ins. Co. v. Haslip, 499 U.S. 1, 23 n.11 (1991) (noting that “[t]here is much to be
said in favor of a State's requiring . . . a standard of ‘clear and convincing evidence’ or,
even, ‘beyond a reasonable doubt’” for punitive damages, but holding that “the lesser
standard prevailing in Alabama – ‘reasonably satisfied from the evidence’ – when
buttressed . . . by [other] procedural and substantive protections . . . is constitutionally
sufficient”).
131
Use “a particular defendant” and “against that defendant” in cases involving
multiple defendants.
97
Last updated July 2019
4.8.3 Section 1983 – Punitive Damages
1 the defendant’s act posed a risk to health or safety; whether the defendant acted in a deliberately
2 deceptive manner; and whether the defendant engaged in repeated misconduct, or a single act.]
3 You should also consider the amount of harm actually caused by the defendant’s act, [as well as
4 the harm the defendant’s act could have caused]132 and the harm that could result if such acts are
5 not deterred in the future.
6
7 [Bear in mind that when considering whether to use punitive damages to punish
8 [defendant], you should only punish [defendant] for harming [plaintiff], and not for harming
9 people other than [plaintiff]. As I have mentioned, in considering whether to punish [defendant],
10 you should consider the nature of [defendant]’s conduct – in other words, how blameworthy that
11 conduct was. In some cases, evidence that a defendant’s conduct harmed other people in addition
12 to the plaintiff can help to show that the defendant’s conduct posed a substantial risk of harm to
13 the general public, and so was particularly blameworthy. But if you consider evidence of harm
14 [defendant] caused to people other than [plaintiff], you must make sure to use that evidence only
15 to help you decide how blameworthy the defendant’s conduct toward [plaintiff] was. Do not
16 punish [defendant] for harming people other than [plaintiff].]133
17
18 [The extent to which a particular amount of money will adequately punish a defendant, and
19 the extent to which a particular amount will adequately deter or prevent future misconduct, may
20 depend upon the defendant’s financial resources. Therefore, if you find that punitive damages
21 should be awarded against [defendant], you may consider the financial resources of [defendant] in
22 fixing the amount of such damages.]
23
24
25 Comment
26
27 Punitive damages are not available against municipalities. See City of Newport v. Fact
28 Concerts, Inc., 453 U.S. 247, 271 (1981).
29
30 “The purpose of punitive damages is to punish the defendant for his willful or malicious
132
This clause may be most appropriate for cases in which a dangerous act luckily turns
out to cause less damage than would have been reasonably expected. See TXO Production Corp.
v. Alliance Resources Corp., 509 U.S. 443, 459 (1993) (Stevens, J., joined by Rehnquist, C.J.,
and Blackmun, J.) (noting a state court’s description of an example in which a person shoots into
a crowd but fortuitously injures no one).
133
Include this paragraph only when appropriate. See Comment for a discussion of
Philip Morris USA v. Williams, 127 S.Ct. 1057 (2007).
98
Last updated July 2019
4.8.3 Section 1983 – Punitive Damages
1 conduct and to deter others from similar behavior.” Memphis Community School Dist. v. Stachura,
2 477 U.S. 299, 306 n.9 (1986). “A jury may be permitted to assess punitive damages in an action
3 under § 1983 when the defendant's conduct is shown to be motivated by evil motive or intent, or
4 when it involves reckless or callous indifference to the federally protected rights of others.” Smith
5 v. Wade, 461 U.S. 30, 56 (1983).134 “While the Smith Court determined that it was unnecessary to
6 show actual malice to qualify for a punitive award . . . , its intent standard, at a minimum, required
7 recklessness in its subjective form. The Court referred to a ‘subjective consciousness’ of a risk of
8 injury or illegality and a ‘ “criminal indifference to civil obligations. ” ’ ” Kolstad v. American
9 Dental Ass'n, 527 U.S. 526, 536 (1999) (discussing Smith in the context of a Title VII case).135
10
11 The Supreme Court has imposed some due process limits on both the size of punitive
12 damages awards and the process by which those awards are determined and reviewed. 136 In
13 performing the substantive due process review of the size of punitive awards, a court must consider
14 three factors: “the degree of reprehensibility of” the defendant’s conduct; “the disparity between
15 the harm or potential harm suffered by” the plaintiff and the punitive award; and the difference
16 between the punitive award “and the civil penalties authorized or imposed in comparable cases.”
17 BMW of North America, Inc. v. Gore, 517 U.S. 559, 575 (1996). The Supreme Court’s due process
18 precedents have a dual relevance in Section 1983 cases. First, those precedents presumably govern
19 a court’s review of punitive damages awards in Section 1983 cases; there is no reason to think that
134
See, e.g., Coleman v. Kaye, 87 F.3d 1491, 1509 (3d Cir. 1996) (in sex
discrimination case, holding that “the jury's finding of two acts of intentional
discrimination, after having been put on notice of a prior act of discrimination against the
same plaintiff, evinces the requisite ‘reckless or callous indifference’ to [the plaintiff’s]
federally protected rights”); Springer v. Henry, 435 F.3d 268, 281 (3d Cir. 2006) (“A jury
may award punitive damages when it finds reckless, callous, intentional or malicious
conduct.”).
135
See also Savarese v. Agriss, 883 F.2d 1194, 1204 (3d Cir. 1989) (“[F]or a
plaintiff in a section 1983 case to qualify for a punitive award, the defendant's conduct
must be, at a minimum, reckless or callous. Punitive damages might also be allowed if
the conduct is intentional or motivated by evil motive, but the defendant's action need not
necessarily meet this higher standard.”).
136
See Cooper Indus., Inc. v. Leatherman Tool Group, Inc., 532 U.S. 424, 436
(2001) (holding that “courts of appeals should apply a de novo standard of review when
passing on district courts' determinations of the constitutionality of punitive damages
awards”).
99
Last updated July 2019
4.8.3 Section 1983 – Punitive Damages
1 a different constitutional standard applies to Section 1983 cases137 (though the Gore factors may
2 well apply differently in such cases than they do in cases under state tort law). Second, the
3 concerns elaborated by the Court in the due process cases may also provide some guidance
4 concerning the Court’s likely views on the substantive standards that should guide juries in Section
5 1983 cases. Though the Court has not held that juries hearing state-law tort claims must be
6 instructed to consider the Gore factors, it is possible that the Court might in the future approve the
7 use of analogous considerations in instructing juries in Section 1983 cases.
8
9 The Court’s due process decisions, of course, concern the outer limits placed on punitive
10 awards by the Constitution. It is also possible that the Court may in future cases develop
11 subconstitutional principles of federal law that further constrain punitive awards in Section 1983
12 cases. An example of the application of such principles in a different area of substantive federal
13 law is provided by Exxon Shipping Co. v. Baker, 128 S. Ct. 2605 (2008). In Exxon, the plaintiffs
14 sought compensatory and punitive damages from Exxon Mobil Corp. and its subsidiary arising
15 from the Exxon Valdez oil spill. The jury awarded $ 5 billion in punitive damages against Exxon.
16 See id. at 2614. The court of appeals remitted the punitive award to $ 2.5 billion. See id. A
17 divided Supreme Court ordered a further reduction of the punitive award to $ 507.5 million on the
18 ground that under the circumstances the appropriate ratio of punitives to compensatories was 1:1.
19 See id. at 2634. The Exxon Court applied this ratio as a matter of federal “maritime common law,”
20 see id. at 2626, but the Court’s concern with the predictability and consistency of punitive awards,
21 see id. at 2627, may apply to Section 1983 cases as well.
22
23 However, the particular ratio chosen by the Exxon Court is unlikely to constrain all such
24 awards in Section 1983 cases. The Exxon Court stressed that based on the jury’s findings the
25 conduct in the Exxon case involved “no earmarks of exceptional blameworthiness” such as
26 “intentional or malicious conduct” or “behavior driven primarily by desire for gain,” and that the
27 case was not one in which the compensatory damage award was small or in which the defendant’s
28 conduct was unlikely to be detected. Id. at 2633. The Exxon Court likewise noted that some areas
29 of law were distinguishable from the Exxon case in that those areas implicated a regulatory goal
30 of “induc[ing] private litigation to supplement official enforcement that might fall short if
31 unaided.” See id. at 2622. These observations suggest why the Exxon Court’s 1:1 ratio may well
32 not translate to the context of a Section 1983 claim. Moreover, the Exxon Court did not state that
33 a ratio such as the one it applied in the Exxon case should be included in jury instructions rather
137
See Exxon Shipping Co. v. Baker, 128 S. Ct. 2605, 2626 (2008) (“The Court’s
response to outlier punitive damages awards has thus far been confined by [sic] claims at the
constitutional level, and our cases have announced due process standards that every award must
pass.”) (citing State Farm and Gore).
100
Last updated July 2019
4.8.3 Section 1983 – Punitive Damages
1 than simply being applied by the judge during review of the jury award. 138 However, given the
2 possibility that courts may in the future apply analogous principles in the Section 1983 context,
3 counsel may wish to seek the submission to the jury of interrogatories that elicit the jury’s view
4 on relevant factual matters such as whether the conduct qualifying for the punitive award was
5 merely reckless or whether it involved some greater degree of culpability.
6
7 The Court’s due process precedents indicate a concern that vague jury instructions may
8 increase the risk of arbitrary punitive damages awards. See State Farm Mutual Automobile Ins.
9 Co. v. Campbell, 538 U.S. 408, 418 (2003) (“Vague instructions, or those that merely inform the
10 jury to avoid ‘passion or prejudice,’ . . . do little to aid the decisionmaker in its task of assigning
11 appropriate weight to evidence that is relevant and evidence that is tangential or only
12 inflammatory”). However, as noted above, the Court has not held that due process requires jury
13 instructions to reflect Gore’s three-factor approach.139 To the contrary, the Court has upheld
14 against a due process challenge an award rendered by a jury that had received instructions that
15 were much less specific. See Pacific Mutual Life Ins. Co. v. Haslip, 499 U.S. 1, 6 n.1 (1991)
16 (quoting jury instruction); id. at 43 (O’Connor, J., dissenting) (arguing that “the trial court's
17 instructions in this case provided no meaningful standards to guide the jury's decision to impose
18 punitive damages or to fix the amount”). It is not clear that it would be either feasible or advisable
19 to import all three Gore factors into jury instructions on punitive damages in Section 1983 cases.
20
21 The first factor – the reprehensibility of the defendant’s conduct – may appropriately be
138
Admittedly, the Court explained that its use of a ratio was preferable to setting
a numerical cap on punitive awards because the ratio “leave[s] the effects of inflation to
the jury or judge who assesses the value of actual loss, by pegging punitive to
compensatory damages using a ratio or maximum multiple.” Exxon, 128 S. Ct. at 2629.
However, this statement need not be read to mean that the jury should be instructed to
apply the relevant ratio; it can as easily be taken as an observation that by “pegging
punitive to compensatory damages” the ratio will incorporate the jury’s stated view on
the appropriate amount of compensatory damages.
139
To date, one of the few specific requirements imposed by the Court is that “[a]
jury must be instructed . . . that it may not use evidence of out of state conduct to punish a
defendant for action that was lawful in the jurisdiction where it occurred.” State Farm,
538 U.S. at 422. This requirement stems from the concern that a state should not impose
punitive damages based on a defendant’s legal out-of-state conduct; that concern, of
course, does not arise in the context of Section 1983 suits.
The Court’s decision in Philip Morris, 127 S. Ct. 1057 (2007) – which addresses
the jury’s consideration of harm to third parties – is discussed below.
101
Last updated July 2019
4.8.3 Section 1983 – Punitive Damages
1 included in the instruction. The model instruction lists that consideration among the factors that
2 the jury may consider in determining whether to award punitive damages and in determining the
3 size of such damages. In assessing reprehensibility, a jury can take into account, for instance,
4 whether an offense was violent or nonviolent; whether the offense posed a risk to health or safety;
5 or whether a defendant was deceptive. See Gore, 517 U.S. at 576.140 The jury can also take into
6 account that “repeated misconduct is more reprehensible than an individual instance of
7 malfeasance.” Id. at 577.141 Where supported by the facts, the jury may also consider a plaintiff’s
8 improper conduct as mitigating the need for a high punitive damages award. Brand Marketing
9 Group v. Interteck Testing, 801 F.3d 347, 363 (3d Cir. 2015).
10
11 In considering reprehensibility, the jury can also be instructed to consider the harm actually
12 caused by the defendant’s act, as well as the harm the defendant’s act could have caused and the
13 harm that could result if such acts are not deterred in the future.142 However, the Court’s decision
14 in Philip Morris USA v. Williams, 127 S. Ct. 1057 (2007), underscores the need for caution with
140
See also CGB Occupational Therapy, Inc. v. RHA Health Services, Inc., 499 F.3d
184, 190 (3d Cir. 2007) (“In evaluating the degree of Sunrise's reprehensibility in this case, we
must consider whether: ‘[1] the harm caused was physical as opposed to economic; [2] the
tortious conduct evinced an indifference to or reckless disregard of the health or safety of others;
[3] the target of the conduct had financial vulnerability; [4] the conduct involved repeated actions
or was an isolated incident; and [5] the harm was the result of intentional malice, trickery, or
deceit, or mere accident.’”) (quoting Campbell, 538 U.S. at 419); Cortez v. Trans Union, LLC,
617 F.3d 688, 718 n.37 (3d Cir. 2010) (in Fair Credit Reporting Act case, noting in dictum that
there was “nothing wrong with a jury focusing on a ‘defendant's seeming insensitivity’ in
deciding how much to award as punitive damages”).
141
In considering whether the defendant was a recidivist malefactor, the jury should
consider only misconduct similar to that directed against the plaintiff. See State Farm, 538 U.S.
at 424 (“[B]ecause the Campbells have shown no conduct by State Farm similar to that which
harmed them, the conduct that harmed them is the only conduct relevant to the reprehensibility
analysis.”); Brand Marketing Group v. Interteck Testing, 801 F.3d 347, 365 (3d Cir. 2015)
(holding State Farm “does not prohibit the consideration of potential public harm in addition to
the plaintiff’s injury. It prohibits only the consideration of conduct that is unrelated to the
plaintiff’s case.”).
142
See TXO Production Corp. v. Alliance Resources Corp., 509 U.S. 443, 460 (1993)
(Stevens, J., joined by Rehnquist, C.J., and Blackmun, J.) (“It is appropriate to consider the
magnitude of the potential harm that the defendant's conduct would have caused to its intended
victim if the wrongful plan had succeeded, as well as the possible harm to other victims that
might have resulted if similar future behavior were not deterred.”) (emphasis in original).
102
Last updated July 2019
4.8.3 Section 1983 – Punitive Damages
1 respect to such an instruction in a case where the jury might consider harm to people other than
2 the plaintiff. If a jury bases a punitive damages award “in part upon its desire to punish the
3 defendant for harming persons who are not before the court (e.g., victims whom the parties do not
4 represent),” that award “amount[s] to a taking of ‘property’ from the defendant without due
5 process.” Philip Morris, 127 S. Ct. at 1060. The Court reasoned that permitting a jury to punish
6 the defendant for harm caused to non-plaintiffs would deprive the defendant of the chance to
7 defend itself and would invite standardless speculation by the jury:
8
9 [A] defendant threatened with punishment for injuring a nonparty victim has no
10 opportunity to defend against the charge, by showing, for example in a case such
11 as this, that the other victim was not entitled to damages because he or she knew
12 that smoking was dangerous or did not rely upon the defendant's statements to the
13 contrary. For another [thing], to permit punishment for injuring a nonparty victim
14 would add a near standardless dimension to the punitive damages equation. How
15 many such victims are there? How seriously were they injured? Under what
16 circumstances did injury occur? The trial will not likely answer such questions as
17 to nonparty victims. The jury will be left to speculate. And the fundamental due
18 process concerns to which our punitive damages cases refer – risks of arbitrariness,
19 uncertainty and lack of notice – will be magnified.
20
21 Philip Morris, 127 S. Ct. at 1063.
22
23 However, the Philip Morris Court conceded that “harm to other victims ... is relevant to a
24 different part of the punitive damages constitutional equation, namely, reprehensibility”: In other
25 words, “[e]vidence of actual harm to nonparties can help to show that the conduct that harmed the
26 plaintiff also posed a substantial risk of harm to the general public, and so was particularly
27 reprehensible – although counsel may argue in a particular case that conduct resulting in no harm
28 to others nonetheless posed a grave risk to the public, or the converse.” Id. at 1064. But the Court
29 stressed that “a jury may not go further than this and use a punitive damages verdict to punish a
30 defendant directly on account of harms it is alleged to have visited on nonparties.” Id. States143
31 must ensure “that juries are not asking the wrong question, i.e., seeking, not simply to determine
32 reprehensibility, but also to punish for harm caused strangers.” Id. “[W]here the risk of that
33 misunderstanding is a significant one – because, for instance, of the sort of evidence that was
34 introduced at trial or the kinds of argument the plaintiff made to the jury – a court, upon request,
35 must protect against that risk.” Id. at 1065.
143
Philip Morris concerned a state-law claim litigated in state court and thus the
Court focused on the limits imposed by the Fourteenth Amendment’s Due Process Clause
on state governments. Presumably, the Fifth Amendment’s Due Process Clause imposes
a similar constraint with respect to federal claims litigated in federal court.
103
Last updated July 2019
4.8.3 Section 1983 – Punitive Damages
1
2 Accordingly, where evidence or counsel’s argument to the jury indicates that the
3 defendant’s conduct harmed people other than the plaintiff, Philip Morris requires the court – upon
4 request – to ensure that the jury is not confused as to the use it can make of this information in
5 assessing punitive damages. The Philip Morris Court did not specify how the trial court should
6 prevent jury confusion on this issue. The penultimate paragraph in Instruction 4.8.3 attempts to
7 explain the distinction between permissible and impermissible uses of information relating to harm
8 to third parties. This paragraph is bracketed to indicate that it should be given only when
9 necessitated by the evidence or argument presented to the jury.
10
11 The model does not state that reprehensibility is a prerequisite to the award of punitive
12 damages,144 because precedent in civil rights cases indicates that the jury can award punitive
13 damages if it finds the defendant maliciously or wantonly violated the plaintiff’s rights, without
14 separately finding that the defendant’s conduct was egregious. In Kolstad, the Supreme Court
15 interpreted a statutory requirement that the jury must find the defendant acted “with malice or with
16 reckless indifference to the federally protected rights of an aggrieved individual” in order to award
17 punitive damages under Title VII. See Kolstad, 527 U.S. at 534 (quoting 42 U.S.C. § 1981a(b)(1)).
18 Reasoning that “[t]he terms ‘malice’ and ‘reckless’ ultimately focus on the actor's state of mind,”
19 the Court rejected the view “that eligibility for punitive damages can only be described in terms of
20 an employer's ‘egregious’ misconduct.” Kolstad, 527 U.S. at 534-35. Since the Kolstad Court
21 drew on the Smith v. Wade standard in delineating the punitive damages standard under Title VII,
22 Kolstad’s reasoning seems equally applicable to the standard for punitive damages under Section
23 1983. The Third Circuit has applied Kolstad’s definition of recklessness to a Section 1983 case,
24 albeit in a non-precedential opinion. See Whittaker v. Fayette County, 65 Fed. Appx. 387, 393 (3d
25 Cir. April 9, 2003) (non-precedential opinion); see also Schall v. Vazquez, 322 F. Supp. 2d 594,
26 602 (E.D. Pa. 2004) (in a Section 1983 case, applying Kolstad’s holding “that a defendant's state
27 of mind and not the egregious conduct is determinative in awarding punitive damages”).
28
29 It is far less clear that the jury should be instructed to consider the second Gore factor (the
30 ratio of actual to punitive damages).145 Though the Court has “decline[d] to impose a bright line
144
Some sets of model instructions include a reference to “extraordinary
misconduct” or equivalent terms. See Eighth Circuit (Civil) Instruction 4.53
(“extraordinary misconduct”); Sand Instruction 87-92 (“extreme or outrageous conduct”).
One reason for the inclusion of this language may be that the instruction approved in
Smith v. Wade referred to “extraordinary misconduct.” Smith, 461 U.S. at 33.
145
It is also unclear how a court would instruct a jury on the third Gore factor in
the context of a Section 1983 suit; the model instruction omits any reference to this
104
Last updated July 2019
4.8.3 Section 1983 – Punitive Damages
1 ratio which a punitive damages award cannot exceed,” it has stated that “in practice, few awards
2 exceeding a single digit ratio between punitive and compensatory damages, to a significant degree,
3 will satisfy due process.” State Farm, 538 U.S. at 425. However, the analysis is complicated by
4 the possibility that the permissible ratio will vary inversely to the size of the compensatory
5 damages award.146 See id. (stating that “ratios greater than those we have previously upheld may
6 comport with due process” where an especially reprehensible act causes only small damages, and
7 that conversely, “[w]hen compensatory damages are substantial, then a lesser ratio, perhaps only
8 equal to compensatory damages, can reach the outermost limit of the due process guarantee”).147
9 Instructing a jury that its punitive damages award must not exceed some multiple of its
10 compensatory damages award might have undesirable effects. Though such a directive might
factor.
146
Indeed, an inflexible ratio would conflict with the well-established principle
that compensatory damages are not a prerequisite for the imposition of punitive damages
in civil rights cases. See Allah v. Al-Hafeez, 226 F.3d 247, 251 (3d Cir. 2000) ("Punitive
damages may . . . be awarded based solely on a constitutional violation, provided the
proper showing is made."); cf. Alexander v. Riga, 208 F.3d 419, 430 (3d Cir. 2000) (in
suit under Fair Housing Act and Civil Rights Act of 1866, noting that "beyond a doubt,
punitive damages can be awarded in a civil rights case where a jury finds a constitutional
violation, even when the jury has not awarded compensatory or nominal damages."); see
also Williams v. Kaufman County, 352 F.3d 994, 1016 (5th Cir. 2003) (“Because actions
seeking vindication of constitutional rights are more likely to result only in nominal
damages, strict proportionality would defeat the ability to award punitive damages at
all.”).
The Court of Appeals has also suggested that the denominator used by a
reviewing court might sometimes be larger than the amount of compensatory damages
actually awarded by the jury. See CGB Occupational, 499 F.3d at 192 n.4 (citing with
apparent approval a case in which the court “measur[ed] $150,000 punitive damages
award against $135,000 award in attorney fees and costs, rather than against $2,000
compensatory award” and a case in which the court “consider[ed] expert testimony of
potential loss to plaintiffs in the amount of $769,895, in addition to compensatory
damages awarded for past harm, as part of ratio's denominator”).
147
See also Exxon Shipping Co. v. Baker, 128 S. Ct. 2605, 2622 (2008) (noting
that “heavier punitive awards have been thought to be justifiable ... when the value of
injury and the corresponding compensatory award are small (providing low incentives to
sue)”).
105
Last updated July 2019
4.8.3 Section 1983 – Punitive Damages
1 constrain some punitive damages awards, in other cases (where a jury would otherwise be inclined
2 to award only a small amount of punitive damages) calling the jury’s attention to a multiple of the
3 compensatory award might anchor the jury’s deliberations at a higher figure. In addition, it is
4 possible that a jury that wished to award a particular total sum to a plaintiff might redistribute its
5 award between compensatory and punitive damages in order to comply with the stated ratio.
6
7 Due to the complexities and potential downsides of a proportionality instruction, the
8 Committee has not included proportionality language in the model instruction. However, in a case
9 in which the compensatory damages will be substantial (such as a wrongful death case), it may be
10 useful to instruct the jury to consider the relationship between the amount of any punitive award
11 and the amount of harm the defendant caused to the plaintiff.148 In such a case, instructing the jury
12 to consider that relationship would not unduly confine a punitive award but could help to ensure
13 that any such award is not unconstitutionally excessive.
14
15 The Court’s due process cases also raise some question about the implications of evidence
16 concerning a defendant’s financial resources. The Court has stated that such evidence will not
17 loosen the limits imposed by due process on the size of a punitive award. See State Farm, 538
18 U.S. at 427 (“The wealth of a defendant cannot justify an otherwise unconstitutional punitive
19 damages award.”).149 Elsewhere, the Court has noted its concern that evidence of wealth could
148
A jury instructed to consider this ratio should be directed, for this purpose, to consider
the harm the defendant caused the plaintiff, not harm caused to third parties. See Philip Morris,
127 S.Ct. at 1063 (describing the second Gore factor as “whether the award bears a reasonable
relationship to the actual and potential harm caused by the defendant to the plaintiff”).
149
In the same discussion, however, the Court quoted with apparent approval Justice
Breyer’s concurrence in Gore: “[Wealth] provides an open ended basis for inflating awards when
the defendant is wealthy .... That does not make its use unlawful or inappropriate; it simply
means that this factor cannot make up for the failure of other factors, such as 'reprehensibility,' to
constrain significantly an award that purports to punish a defendant's conduct.” State Farm, 538
U.S. at 427-28 (quoting Gore, 517 U.S. at 591 (Breyer, J., joined by O’Connor & Souter, JJ.,
concurring)). Although the State Farm Court’s quotation of this passage suggests the Court did
not consider wealth an impermissible factor in the award of punitive damages, Justice Ginsburg
posited that the Court’s reasoning might “unsettle” that principle. See State Farm, 538 U.S. at
438 n.2 (Ginsburg, J., dissenting).
The Court of Appeals has considered the defendant’s wealth as a factor relevant to its due
process analysis; the court noted that a rich defendant may be more difficult to deter and that in
some cases a rich defendant may engage in litigation misconduct in order to wear down
an impecunious plaintiff. See CGB Occupational, 499 F.3d at 194 (“What sets this case
106
Last updated July 2019
4.8.3 Section 1983 – Punitive Damages
1 trigger jury bias: “Jury instructions typically leave the jury with wide discretion in choosing
2 amounts, and the presentation of evidence of a defendant's net worth creates the potential that
3 juries will use their verdicts to express biases against big businesses, particularly those without
4 strong local presences.” Honda Motor Co., Ltd. v. Oberg, 512 U.S. 415, 432 (1994). Although
5 those concerns may be salient in products liability cases brought against wealthy corporations, in
6 Section 1983 cases, evidence of an individual defendant’s financial resources may be more likely
7 to constrain than to inflate a punitive damages award. However, the possibility that a government
8 employer might indemnify an individual defendant complicates the analysis.
9
10 “[E]vidence of a tortfeasor's wealth is traditionally admissible as a measure of the amount
11 of punitive damages that should be awarded.” Fact Concerts, 453 U.S. at 270.150 If an individual
12 defendant will not be indemnified for an award of punitive damages, it seems clear that evidence
13 of the defendant’s financial resources is relevant and admissible on the question of punitive
14 damages. See Fact Concerts, 453 U.S. at 269 (“By allowing juries and courts to assess punitive
15 damages in appropriate circumstances against the offending official, based on his personal
16 financial resources, [Section 1983] directly advances the public's interest in preventing repeated
17 constitutional deprivations.”).
18
19 If the individual defendant will be indemnified, however, the relevance of the individual
20 defendant’s limited financial resources becomes more complex. Arguably, there may be an even
21 more pressing need to ensure that jury awards are not inflated. In a partial dissent in Keenan v.
22 City of Philadelphia, 983 F.2d 459 (3d Cir. 1992), Judge Higginbotham argued that when an
23 individual defendant will be indemnified by his or her government employer, the plaintiff should
24 be required to submit evidence of the individual defendant’s net worth in order to obtain punitive
25 damages. See id. at 484 (Higginbotham, J., dissenting in part). Judge Higginbotham asserted that
26 without such evidence, a jury might be too inclined to award large punitive damages, to the
27 detriment of innocent taxpayers. See id. at 477. Judge Higginbotham’s view, however, has not
28 become circuit precedent. An earlier Third Circuit panel had stated that “evidence of [the
apart and makes it, we hope, truly unusual is the repeated use of procedural devices to
grind an opponent down, without regard for whether those devices advanced any
legitimate interest.”). The court suggested, however, that a jury might have more
difficulty than judges would in assessing litigation misconduct and its possible relevance
to a punitive damages analysis. See id. at 194 n.7.
150
See Cortez v. Trans Union, LLC, 617 F.3d 688, 718 n.37 (3d Cir. 2010) (in a
Fair Credit Reporting Act case, stating in dictum that “[a] jury can consider the relative
wealth of a defendant in deciding what amount is sufficient to inflict the intended
punishment”).
107
Last updated July 2019
4.8.3 Section 1983 – Punitive Damages
1 defendant’s] financial status” is not “a prerequisite to the imposition of punitive damages.” Bennis
2 v. Gable, 823 F.2d 723, 734 n.14 (3d Cir. 1987). Though Judge Higginbotham rejected Bennis’s
3 statement as “dicta,” Keenan, 983 F.2d at 482 (Higginbotham, J., dissenting in part), Judge Becker
4 disagreed, see id. at 472 n.12 (footnote by Becker, J.) (describing Bennis as “circuit precedent”),
5 and a later district court opinion has taken the view that Judge Higginbotham’s approach is not
6 binding, see Garner v. Meoli, 19 F. Supp. 2d 378, 392 (E.D. Pa. 1998) (rejecting “defendants
7 argument, based on Judge Higginbotham's dissent in Keenan . . . , that a prerequisite to the
8 awarding of punitive damages is evidence of defendants' net worth and that the burden for
9 producing such evidence must be carried by plaintiffs”). Thus, it appears that under current Third
10 Circuit law the plaintiff need not submit evidence of the defendant’s net worth in order to obtain
11 punitive damages in a Section 1983 case.151 Accordingly, the last paragraph of the model is
12 bracketed because it should be omitted in cases where no evidence is presented concerning the
13 defendant’s finances.
14
15 The definition of “malicious” in Instruction 4.8.3 (with respect to punitive damages) differs
16 from that provided in Instruction 4.10 (with respect to Eighth Amendment excessive force claims).
17 If the jury finds that the defendant acted “maliciously and sadistically, for the purpose of causing
18 harm” (such that the defendant violated the Eighth Amendment by employing excessive force),
19 that finding should also establish that the defendant “acted maliciously or wantonly in violating
20 the plaintiff’s federal rights,” so that the jury has discretion to award punitive damages. Thus, in
21 an Eighth Amendment excessive force case involving only one claim and one defendant, the
22 Committee suggests that the court substitute the following for the first three paragraphs of
23 Instruction 4.8.3:
24
25 If you have found that [defendant] violated the Eighth Amendment by using force
26 against [plaintiff] maliciously and sadistically, for the purpose of causing harm,
27 then you may consider awarding punitive damages in addition to nominal or
28 compensatory damages. A jury may award punitive damages to punish a defendant,
29 or to deter the defendant and others like [him/her] from committing such conduct
30 in the future. Where appropriate, the jury may award punitive damages even if the
31 plaintiff suffered no actual injury. However, bear in mind that an award of punitive
151
One commentator has argued that if an indemnified defendant submits evidence of
limited personal means, the plaintiff should be permitted to submit evidence that the defendant
will be indemnified. See Martin A. Schwartz, Should Juries Be Informed that Municipality Will
Indemnify Officer's § 1983 Liability for Constitutional Wrongdoing?, 86 IOWA L. REV. 1209,
1247-48 (2001) (“If a defendant introduces evidence of personal financial circumstances in order
to persuade the jury to award low punitive damages, when in fact the defendant's punitive
damages will be indemnified, failure to inform the jury about indemnification seriously misleads
the jury.”). The Third Circuit has not addressed this question.
108
Last updated July 2019
4.8.3 Section 1983 – Punitive Damages
1 damages is discretionary; that is, you may decide to award punitive damages, or
2 you may decide not to award them.
3
4 However, in Eighth Amendment excessive force cases that also involve other types of claims (or
5 that involve claims against other defendants, such as for failure to intervene), the court should not
6 omit the first three paragraphs of Instruction 4.8.3. Rather, the court should modify the first bullet
7 point in the second paragraph, so that it begins: “! For purposes of considering punitive damages,
8 a violation is malicious if ....”
109
Last updated July 2019
4.9 Section 1983 – Excessive Force – “Seizure”
110
Last updated July 2019
4.9 Section 1983 – Excessive Force – “Seizure”
1 • whether the physical force applied was of such an extent as to lead to unnecessary injury.
2
3 The reasonableness of [defendant’s] acts must be judged from the perspective of a
4 reasonable officer on the scene. The law permits the officer to use only that degree of force
5 necessary to [make the arrest] [conduct the stop]. However, not every push or shove by a police
6 officer, even if it may later seem unnecessary in the peace and quiet of this courtroom, constitutes
7 excessive force. The concept of reasonableness makes allowance for the fact that police officers
8 are often forced to make split-second judgments in circumstances that are sometimes tense,
9 uncertain, and rapidly evolving, about the amount of force that is necessary in a particular situation.
10
11 As I told you earlier, [plaintiff] must prove that [defendant] intended to commit the acts in
12 question; but apart from that requirement, [defendant’s] actual motivation is irrelevant. If the force
13 [defendant] used was unreasonable, it does not matter whether [defendant] had good motivations.
14 And an officer’s improper motive will not establish excessive force if the force used was
15 objectively reasonable.
16
17 What matters is whether [defendant’s] acts were objectively reasonable in light of the facts
18 and circumstances confronting the defendant.
19
20
21 Comment
22
23 Applicability of the Fourth Amendment standard for excessive force. Claims of “excessive
24 force in the course of making an arrest, investigatory stop, or other ‘seizure’ ” are analyzed under
25 the Fourth Amendment. Graham v. Connor, 490 U.S. 386, 388 (1989). By contrast, claims of
26 excessive force that arise after a criminal defendant has been convicted and sentenced are analyzed
27 under the Eighth Amendment, see id. at 392 n.6; see also Torres v. McLaughlin, 163 F.3d 169,
28 174 (3d Cir. 1998) (holding that “post-conviction incarceration cannot be a seizure within the
29 meaning of the Fourth Amendment”). The Supreme Court “ha[s] not resolved the question
30 whether the Fourth Amendment continues to provide individuals with protection against the
31 deliberate use of excessive physical force beyond the point at which arrest ends and pretrial
32 detention begins.” Graham, 490 U.S. at 395 n.10; compare Fuentes v. Wagner, 206 F.3d 335,
33 347 (3d Cir. 2000) (holding that the Fourth Amendment objective reasonableness test did not apply
34 to “a pretrial detainee's excessive force claim arising in the context of a prison disturbance”
35 (emphasis in original)). “It is clear, however, that the Due Process Clause protects a pretrial
36 detainee from the use of excessive force that amounts to punishment.” Graham, 490 U.S. at 395
37 n.10.
38
39 Because the excessive force standards differ depending on the source of the constitutional
40 protection, it will be necessary to determine which standard ought to apply. The Fourth
111
Last updated July 2019
4.9 Section 1983 – Excessive Force – “Seizure”
1 Amendment excessive force standard attaches at the point of a “seizure.” See Abraham v. Raso,
2 183 F.3d 279, 288 (3d Cir. 1999) (“To state a claim for excessive force as an unreasonable seizure
3 under the Fourth Amendment, a plaintiff must show that a ‘seizure’ occurred and that it was
4 unreasonable.”). A “seizure” occurs when a government official has, “by means of physical force
5 or show of authority, . . . in some way restrained [the person’s] liberty.” Terry v. Ohio, 392 U.S.
6 1, 19 n.16 (1968); see also Brower v. County of Inyo, 489 U.S. 593, 596 (1989); Berg v. County of
7 Allegheny, 219 F.3d 261, 269 (3d Cir. 2000) (per curiam) (“A person is seized for Fourth
8 Amendment purposes only if he is detained by means intentionally applied to terminate his
9 freedom of movement.”).
10
11 The Fourth Amendment excessive force standard continues to apply during the process of
12 the arrest. In U.S. v. Johnstone, the court held that a Fourth Amendment excessive force instruction
13 was proper where “the excessive force committed by Johnstone took place during the arrests of
14 Sudziarski, Perez, and Blevins, even if those victims were in handcuffs.” U.S. v. Johnstone, 107
15 F.3d 200, 205 (3d Cir. 1997). As the Johnstone Court explained,
16
17 a ‘seizure’ can be a process, a kind of continuum, and is not necessarily a discrete
18 moment of initial restraint. Graham shows us that a citizen can remain "free" for
19 Fourth Amendment purposes for some time after he or she is stopped by police and
20 even handcuffed. Hence, pre-trial detention does not necessarily begin the moment
21 that a suspect is not free to leave; rather, the seizure can continue and the Fourth
22 Amendment protection against unreasonable seizures can apply beyond that point.
23
24 Johnstone, 107 F.3d at 206-07; see also id. at 206 (holding that “Johnstone's assault on Perez in
25 the police station garage, after he had been transported from the scene of the initial beating ... also
26 occurred during the course of Perez's arrest”).
27
28 A passenger shot by an officer during a vehicular pursuit may seek relief under the Fourth
29 Amendment, not under substantive due process. Davenport v. Borough of Homestead, 870 F.3d
30 273 (3d Cir. 2017).
31
32 The model is designed for cases in which it is not in dispute that the challenged conduct
33 occurred during a “seizure.”
34
35 The content of the Fourth Amendment standard for excessive force. The Fourth
36 Amendment permits the use of “reasonable” force. Graham, 490 U.S. at 396. “[E]ach case
37 alleging excessive force must be evaluated under the totality of the circumstances.” Sharrar v.
38 Felsing, 128 F.3d 810, 822 (3d Cir. 1997); see also Rivas v. City of Passaic, 365 F.3d 181, 198
39 (3d Cir. 2004) (“While some courts ‘freeze the time frame’ and consider only the facts and
40 circumstances at the precise moment that excessive force is applied, other courts, including this
41 one, have considered all of the relevant facts and circumstances leading up to the time that the
112
Last updated July 2019
4.9 Section 1983 – Excessive Force – “Seizure”
1 officers allegedly used excessive force.”); Abraham, 183 F.3d at 291 (expressing “disagreement
2 with those courts which have held that analysis of ‘reasonableness’ under the Fourth Amendment
3 requires excluding any evidence of events preceding the actual ‘seizure’ ”); Curley v. Klem, 499
4 F.3d 199, 212 (3d Cir. 2007) (“Curley II”) (noting with approval the district court’s view “that the
5 analysis in this case could not properly be shrunk into the few moments immediately before Klem
6 shot Curley, but instead must be decided in light of all the events which had taken place over the
7 course of the entire evening”).152 Determining reasonableness “requires careful attention to the
8 facts and circumstances of each particular case, including the severity of the crime at issue, whether
9 the suspect poses an immediate threat to the safety of the officers or others, and whether he is
10 actively resisting arrest or attempting to evade arrest by flight.” Graham, 490 U.S. at 396.153 Other
11 relevant factors may include “the possibility that the persons subject to the police action are violent
12 or dangerous, the duration of the action, whether the action takes place in the context of effecting
13 an arrest, the possibility that the suspect may be armed, and the number of persons with whom the
14 police officers must contend at one time.” Kopec v. Tate, 361 F.3d 772, 777 (3d Cir. 2004). See
15 also Davenport v. Borough of Homestead, 870 F.3d 273, 280 (3d Cir. 2017) (holding that a police
16 shooting was reasonable because “video evidence indisputably shows a heavy pedestrian presence
17 during the course of the pursuit,” and the driver “continuously swerved between inbound and
18 outbound lanes, which ultimately led to his colliding with three other vehicles”).
19
152
However, the court of appeals has rejected the contention that a lack of probable
cause to make an arrest in itself establishes that the force used in making the arrest was
excessive. See Snell v. City of York, 564 F.3d 659, 672 (3d Cir. 2009) (rejecting plaintiff’s
argument “that the force applied was excessive solely because probable cause was lacking for his
arrest”).
153
This inquiry should be based on the facts that the officer reasonably believed to be
true at the time of the encounter. See Saucier v. Katz, 533 U.S. 194, 205 (2001) (“If an officer
reasonably, but mistakenly, believed that a suspect was likely to fight back ... the officer would
be justified in using more force than in fact was needed.”); Estate of Smith v. Marasco, 318 F.3d
497, 516-17 (3d Cir. 2003) (analyzing Fourth Amendment excessive force claim based on
officers’ knowledge or “objectively reasonable belief” concerning relevant facts); Curley v.
Klem, 298 F.3d 271, 280 (3d Cir. 2002) (“Curley I”) (holding that, viewed in light most
favorable to plaintiff, evidence established excessive force because “under [plaintiff]'s account of
events, it was unreasonable for [defendant] to fire at [plaintiff] based on his unfounded, mistaken
conclusion that [plaintiff] was the suspect in question”). One ground for finding an officer’s
belief unreasonable is that a reasonable officer would have taken a step that would have revealed
the belief to be erroneous. See Curley I, 298 F.3d at 281 (analyzing qualified immunity question
based on the assumption “that a reasonable officer in Klem's position would have looked inside
the Camry upon arriving at the scene”).
113
Last updated July 2019
4.9 Section 1983 – Excessive Force – “Seizure”
1 Physical injury is relevant but it is not a prerequisite of an excessive force claim. See
2 Sharrar, 128 F.3d at 822 (“We do not agree that the absence of physical injury necessarily signifies
3 that the force has not been excessive, although the fact that the physical force applied was of such
4 an extent as to lead to injury is indeed a relevant factor to be considered as part of the totality.”);
5 see also Mellott v. Heemer, 161 F.3d 117, 123 (3d Cir. 1998) (citing “the lack of any physical
6 injury to the plaintiffs” as one of the factors supporting court’s conclusion that force used was
7 objectively reasonable).
8
9 In the past, the court of appeals treated the use of deadly force as subject to more
10 particularized rules. See Abraham, 183 F.3d at 289 (citing Graham and Tennessee v. Garner, 471
11 U.S. 1, 3 (1985)). Accordingly, an instruction was provided for use in cases where Garner’s deadly
12 force analysis was appropriate. See infra Instruction 4.9.1. The Supreme Court has cautioned,
13 however, that some uses of deadly force—such as an officer’s decision to stop a fleeing driver by
14 ramming the car—are not amenable to Garner analysis because their facts differ significantly from
15 those in Garner; such cases should receive the more general Graham reasonableness analysis. See
16 Scott v. Harris, 127 S. Ct. 1769, 1777 (2007) (“Garner did not establish a magical on/off switch
17 that triggers rigid preconditions whenever an officer's actions constitute ‘deadly force.’ Garner
18 was simply an application of the Fourth Amendment's ‘reasonableness’ test . . . , to the use of a
19 particular type of force in a particular situation.”); Plumhoff v. Rickard, 134 S. Ct. 2012 (2014)
20 (following Scott where officers shot the driver rather than ramming his car, after a collision brought
21 him to a near standstill, because a reasonable police officer would have concluded that the driver
22 “was intent on resuming his flight and that, if he was allowed to do so, he would again pose a
23 deadly threat to others on the road”); Mullenix v. Luna, 136 S. Ct. 305 (2015) (relying on Scott v.
24 Harris and Plumhoff v. Rickard in concluding that a police officer who shot at a fleeing car in an
25 effort to disable the car, but hit and killed the driver, was protected by qualified immunity). See
26 also Cty. of Los Angeles, Calif. v. Mendez, 137 S. Ct. 1539, 1547 (2017) (“The framework for
27 analyzing excessive force claims is set out in Graham.”) (emphasis in original).
28
29 Moreover, in Johnson v. Philadelphia, 837 F.3d 343, 349 (3d Cir. 2016), the court of
30 appeals stated, “Scott abrogates our use of special standards in deadly-force cases and reinstates
31 ‘reasonableness’ as the ultimate—and only—inquiry.” However, it immediately added, “This is
32 not to say that the considerations enumerated in Garner are irrelevant to the reasonableness
33 analysis; to the contrary, in many cases, including this one, a proper assessment of the threat of
34 injury or the risk of flight is crucial to identifying the magnitude of the governmental interests at
35 stake. But such considerations are simply the means by which we approach the ultimate inquiry,
36 not the constitutional requirements in their own right.” Id. at 349-50. (In Davenport v. Homestead,
37 870 F.3d 273, 281 (3d Cir. 2017), without citing Johnson, the court of appeals stated that the
38 Supreme Court “has applied Garner’s ‘general’ test for excessive force in only the ‘obvious’ case,”
39 but in context, this appears to be a statement about when qualified immunity is overcome.)
40 A literal reading of Johnson suggests that Instruction 4.9 should be used in all excessive
114
Last updated July 2019
4.9 Section 1983 – Excessive Force – “Seizure”
1 force cases. Nevertheless, there may be cases in which it would be appropriate to incorporate some
2 of the considerations from Instruction 4.9.1 into Instruction 4.9. So, too, the discussion of relevant
3 considerations in Comment 4.9.1 may be helpful in some cases. Accordingly, Instruction 4.9.1 and
4 Comment 4.9.1 have not been deleted, but instead are provided as an additional resource.
5 Reasonableness “must be judged from the perspective of a reasonable officer on the scene,
6 rather than with the 20/20 vision of hindsight”; and the decisionmaker must consider “that police
7 officers are often forced to make split second judgments – in circumstances that are tense,
8 uncertain, and rapidly evolving – about the amount of force that is necessary in a particular
9 situation.” Graham, 490 U.S. at 396-97.
10
11 The defendant’s actual “intent or motivation” is irrelevant; what matters is whether the
12 defendant’s acts were “‘objectively reasonable’ in light of the facts and circumstances
13 confronting” the defendant. Id. at 397; see also Estate of Smith v. Marasco, 318 F.3d 497, 515 (3d
14 Cir. 2003) (“[I]f a use of force is objectively unreasonable, an officer's good faith is irrelevant;
15 likewise, if a use of force is objectively reasonable, any bad faith motivation on the officer's part
16 is immaterial.”).154 (However, evidence that the defendant disliked the plaintiff can be considered
17 when weighing the credibility of the defendant’s testimony. See Graham, 490 U.S. at 399 n.12.)
18
19 An otherwise reasonable use of force does not become unreasonable because the officers
20 had committed a separate Fourth Amendment violation that contributed to the need to use force.
21 Cty. of Los Angeles, Calif. v. Mendez, 137 S. Ct. 1539, 1546 (2017) (rejecting the provocation rule
22 because it has a “fundamental flaw” of using “another constitutional violation to manufacture an
23 excessive force claim where one would not otherwise exist”).
24
25 Even when it is undisputed that some one of a group of officers committed a constitutional
26 violation, a plaintiff must prove that a particular defendant used excessive force; if there is no
27 evidence identifying the particular actor, the excessive force claim fails. Jutrowski v. Twp. of
28 Riverdale, 904 F.3d 280 (3d Cir. 2018). In such cases, however, there may be a viable claim for
29 an after-the-fact conspiracy to deny the plaintiff his constitutional right of access to the courts.
30
154
Of course, a defendant will not be liable for using excessive force if she did not
intend to commit the acts that constituted the excessive force. Thus, in holding that “the district
court erred by instructing the jury as to ‘deliberate indifference’” in the context of a Fourth
Amendment excessive force claim, the Third Circuit noted that “there is no dispute that Wilson
committed intentional acts when he arrested Mosley and used physical force against him.
Whether he intended to violate his civil rights in the process is irrelevant.” Mosley v. Wilson,
102 F.3d 85, 95 (3d Cir. 1996).
115
Last updated July 2019
4.9 Section 1983 – Excessive Force – “Seizure”
1 Heck v. Humphrey. If a convicted prisoner must show that his or her conviction was
2 erroneous in order to establish a Section 1983 unlawful arrest claim, then the plaintiff cannot
3 proceed with the claim until the conviction has been reversed or otherwise invalidated. See Heck
4 v. Humphrey, 512 U.S. 477, 486-87 & n.6 (1994) (giving the example of a conviction “for the
5 crime of resisting arrest, defined as intentionally preventing a peace officer from effecting a lawful
6 arrest”).155 In Lora-Pena v. F.B.I., 529 F.3d 503 (3d Cir. 2008), the court of appeals held that Heck
7 did not bar excessive force claims by a plaintiff who had been convicted of assault on a federal
8 officer and resisting arrest; the court reasoned that the plaintiff’s “convictions for resisting arrest
9 and assaulting officers would not be inconsistent with a holding that the officers, during a lawful
10 arrest, used excessive (or unlawful) force in response to his own unlawful actions.” Id. at 506.
155
See generally Comment 4.12 (discussing the implications of Heck).
116
Last updated July 2019
4.9.1 Section 1983 – Garner-Type Deadly Force Cases
117
Last updated July 2019
4.9.1 Section 1983 – Garner-Type Deadly Force Cases
1 In this case, [plaintiff] claims that [defendant] violated [plaintiff’s] Fourth Amendment
2 rights by using deadly force against [plaintiff] [plaintiff’s decedent].
3
4 An officer may not use deadly force to prevent a suspect from escaping unless deadly force
5 is necessary to prevent the escape and the officer has probable cause to believe that the suspect
6 poses a significant threat of death or serious physical injury to the officer or others. Also, the
7 officer must give the suspect a warning before using deadly force, if it is feasible under the
8 circumstances to give such a warning.
9
10 In order to establish that [defendant] violated the Fourth Amendment by using deadly force,
11 [plaintiff] must prove that [defendant] intentionally committed acts that constituted deadly force
12 against [plaintiff]. If you find that [defendant] [describe nature of deadly force alleged by
13 plaintiff], then you have found that [defendant] used deadly force. In addition, [plaintiff] must
14 prove [at least one of the following things]156:
15
16 • deadly force was not necessary to prevent [plaintiff’s] escape; or
17 • [defendant] did not have probable cause to believe that [plaintiff] posed a significant threat
18 of serious physical injury to [defendant] or others; or
19 • it would have been feasible for [defendant] to give [plaintiff] a warning before using deadly
20 force, but [defendant] did not do so.
21
22 You should consider all the relevant facts and circumstances (leading up to the time of the
23 encounter) that [defendant] reasonably believed to be true at the time of the encounter. The
24 reasonableness of [defendant’s] acts must be judged from the perspective of a reasonable officer
25 on the scene. The concept of reasonableness makes allowance for the fact that police officers are
26 often forced to make split-second judgments in circumstances that are sometimes tense, uncertain,
27 and rapidly evolving, about the amount of force that is necessary in a particular situation.
28
29 As I told you earlier, [plaintiff] must prove that [defendant] intended to commit the acts in
30 question; but apart from that requirement, [defendant’s] actual motivation is irrelevant. If the force
31 [defendant] used was unreasonable, it does not matter whether [defendant] had good motivations.
32 And an officer’s improper motive will not establish excessive force if the force used was
33 objectively reasonable.
34
35
36 Comment
156
Include all bullet points that are warranted by the evidence. Include the
bracketed language if listing more than one bullet point.
118
Last updated July 2019
4.9.1 Section 1983 – Garner-Type Deadly Force Cases
1 The Fourth Amendment excessive force standard discussed in Comment 4.9, supra, applies
2 to cases arising from the use of deadly force; but such cases have also generated some more
3 specific guidance from the Supreme Court and the Court of Appeals. As discussed in this
4 Comment, in some cases involving the use of deadly force the court should use Instruction 4.9
5 (and not Instruction 4.9.1), while other cases may parallel the facts of Tennessee v. Garner, 471
6 U.S. 1, 3 (1985), closely enough to warrant the use of Instruction 4.9.1 instead.
7
8 The Supreme Court has held that deadly force may not be used “to prevent the escape of
9 an apparently unarmed suspected felon . . . . unless it is necessary to prevent the escape and the
10 officer has probable cause to believe that the suspect poses a significant threat of death or serious
11 physical injury to the officer or others.” Tennessee v. Garner, 471 U.S. 1, 3 (1985).157 “Where
12 the suspect poses no immediate threat to the officer and no threat to others, the harm resulting from
13 failing to apprehend him does not justify the use of deadly force to do so.” Garner, 471 U.S. at
14 11.
15
16 However, “[w]here the officer has probable cause to believe that the suspect poses a threat
17 of serious physical harm, either to the officer or to others, it is not constitutionally unreasonable to
18 prevent escape by using deadly force.” Garner, 471 U.S. at 11. Accordingly, “if the suspect
19 threatens the officer with a weapon or there is probable cause to believe that he has committed a
20 crime involving the infliction or threatened infliction of serious physical harm, deadly force may
21 be used if necessary to prevent escape, and if, where feasible, some warning has been given.”
22 Garner, 471 U.S. at 11-12.
23
24 The Court of Appeals has summed up the standard as follows: “Giving due regard to the
25 pressures faced by the police, was it objectively reasonable for the officer to believe, in light of
26 the totality of the circumstances, that deadly force was necessary to prevent the suspect's escape,
27 and that the suspect posed a significant threat of death or serious physical injury to the officer or
28 others?” Abraham v. Raso, 183 F.3d 279, 289 (3d Cir. 1999) (citing Graham v. Connor, 490 U.S.
29 386 (1989), and Garner).
30
31 It is important to note that the Garner test will not apply to all uses of deadly force. As
32 noted in Comment 4.9, the Supreme Court has cautioned that some types of deadly force – such
33 as an officer’s decision to stop a fleeing driver by ramming the car – are not amenable to Garner
34 analysis because their facts differ significantly from those in Garner; such cases should receive
35 the more general Graham reasonableness analysis. See Scott v. Harris, 127 S. Ct. 1769, 1777
36 (2007) (“Garner did not establish a magical on/off switch that triggers rigid preconditions
37 whenever an officer's actions constitute ‘deadly force.’ Garner was simply an application of the
157
“[T]here can be no question that apprehension by the use of deadly force is a seizure
subject to the reasonableness requirement of the Fourth Amendment.” Garner, 471 U.S. at 7.
119
Last updated July 2019
4.9.1 Section 1983 – Garner-Type Deadly Force Cases
1 Fourth Amendment's ‘reasonableness’ test . . . , to the use of a particular type of force in a particular
2 situation.”). After a detailed analysis of the circumstances of the car chase in Scott, the Court
3 concluded on the facts of that case that “[a] police officer's attempt to terminate a dangerous
4 high-speed car chase that threatens the lives of innocent bystanders does not violate the Fourth
5 Amendment, even when it places the fleeing motorist at risk of serious injury or death.” Scott, 127
6 S. Ct. at 1779. In Plumhoff v. Rickard, 134 S. Ct. 2012 (2014), the Supreme Court saw “no basis
7 for reaching a different conclusion” than in Scott, even though the officers shot the driver who had
8 led them on a dangerous high-speed chase car chase. Plumhoff demonstrates that the line between
9 Garner-type deadly force cases and other deadly force cases is not fixed by whether police officers
10 shoot a person (rather than ram his car). It may suggest more broadly that more cases should be
11 assimilated to the general standards of Section 4.9, with fewer governed by the particularized
12 standards of Section 4.9.1. See also Mullenix v. Luna, 136 S. Ct. 305 (2015) (relying on Scott v.
13 Harris and Plumhoff v. Rickard in concluding that a police officer who shot at a fleeing car in an
14 effort to disable the car, but hit and killed the driver, was protected by qualified immunity).
15 Nevertheless, particularly since Plumhoff and Mullenix, like Scott, involved a car chase, it remains
16 true, as noted above, that other cases may parallel the facts of Tennessee v. Garner, 471 U.S. 1, 3
17 (1985), closely enough to warrant the use of Instruction 4.9.1.
18
19 What constitutes deadly force.158 Although Garner concerned a shooting, the Court’s
20 reasoning potentially extends to other types of lethal force. See Garner, 471 U.S. at 31 (O’Connor,
21 J., joined by Burger, C.J., and Rehnquist, J., dissenting) (“By declining to limit its holding to the
22 use of firearms, the Court unnecessarily implies that the Fourth Amendment constrains the use of
23 any police practice that is potentially lethal, no matter how remote the risk.”).
24
25 The Court of Appeals has not provided much guidance on the scope and nature of the term
26 “deadly force.”159 In re City of Philadelphia Litigation is the only case in which the Court of
27 Appeals has so far confronted the question of defining deadly force for Garner purposes.160 The
158
As noted above, some uses of deadly force will give rise to cases in which a
Garner-type instruction, such as Instruction 4.9.1, is not appropriate. The remainder of
this Comment uses the term “deadly force” to refer to deadly force used under
circumstances which render a Garner-type instruction appropriate.
159
For a summary of cases in other circuits, see Avery, Rudovsky & Blum § 2.22
(“The use of instrumentalities other than firearms may constitute the deployment of
deadly force. Police cars have been held to be instruments of deadly force. The lower
federal courts have split on the question of whether police dogs constitute deadly force.”).
160
Compare In re City of Philadelphia Litigation, 49 F.3d 945, 966 (3d Cir.
1995) (opinion of Greenberg, J.) (concluding that defendants’ actions in dropping
120
Last updated July 2019
4.9.1 Section 1983 – Garner-Type Deadly Force Cases
1 extraordinary facts of that case, coupled with the fact that none of the opinions handed down
2 clearly commanded a majority of the panel on the definitional question,161 render it difficult to
3 distill principles from that case that can be applied more generally. However, at least two members
4 of the panel in City of Philadelphia relied upon the Model Penal Code’s definition of deadly force
5 “as ‘force which the actor uses with the purpose of causing or which he knows to create a
6 substantial risk of causing death or serious bodily harm,’ ”162 and one district court has since
7 followed the MPC definition, see Schall v. Vazquez, 322 F. Supp. 2d 594, 600 (E.D. Pa. 2004)
8 (holding that “[p]ointing a loaded gun at another person is a display of deadly force”).
9
10 In some cases, there may be a jury question as to whether the force employed was “deadly.”
11 See, e.g., Marley v. City of Allentown, 774 F. Supp. 343, 346 (E.D. Pa. 1991) (rejecting contention
12 “that the court erred in instructing the jury to determine whether or not the force Officer Effting
13 used was ‘deadly’ ”), aff’d without opinion, 961 F.2d 1567 (3d Cir. 1992). In such cases, it may
14 be necessary to instruct the jury both on deadly force and on excessive force more generally. See
explosive on roof of house and allowing ensuing fire to burn did not constitute “deadly
force” so as to trigger Garner standard), and id. at 973 n.1 (opinion of Scirica, J.)
(“Although I believe the police may have used deadly force against the MOVE members,
that confrontation is readily distinguishable from the situation in Garner.”), with id. at
978 n.1 (opinion of Lewis, J.) (“I believe that Garner controls, and under Garner, it is
clear to me that the deadly force used here was excessive as a matter of law and,
therefore, unlawful.”). The panel members’ debate, in In re City of Philadelphia
Litigation, over whether Garner was the appropriate standard to apply prefigured the
Supreme Court’s decision, in Scott v. Harris, to limit the reach of the Garner test.
The Court of Appeals has decided other cases involving use of deadly force, but
because those cases involved shootings, see, e.g., Carswell v. Borough of Homestead,
381 F.3d 235, 237 (3d Cir. 2004), the court did not have occasion to consider what other
types of force could fall within the definition of “deadly force.”
161
The portion of Judge Greenberg’s opinion that addressed the definition of
deadly force was joined by Judge Scirica, “but only for the limited purpose of agreeing
that Tennessee v. Garner is inapplicable and that the appropriate inquiry is the
reasonableness of the city defendants’ acts.” In re City of Philadelphia Litigation, 49
F.3d at 964-65.
162
In re City of Philadelphia Litigation, 49 F.3d at 966 (opinion of Greenberg, J.)
(quoting Model Penal Code § 3.11(2) (1994) and finding no deadly force); see also id. at
977 (opinion of Lewis, J.) (quoting same section of MPC and finding deadly force).
121
Last updated July 2019
4.9.1 Section 1983 – Garner-Type Deadly Force Cases
1 id. However, if the court can resolve as a matter of law whether the force used was deadly or not,
2 the court should rule on this question and should provide either Instruction 4.9 or Instruction 4.9.1
3 but not both.
4
5 Probable cause to believe suspect dangerous. Probable cause to believe a suspect has
6 committed a burglary does not, “without regard to the other circumstances, automatically justify
7 the use of deadly force.” Garner, 471 U.S. 21 (stating that “the fact that an unarmed suspect has
8 broken into a dwelling at night does not automatically mean he is physically dangerous”). The
9 Garner Court did not elaborate the range of circumstances that would provide the requisite
10 showing of probable cause to believe the suspect dangerous. See Garner, 471 U.S. at 32
11 (O’Connor, J., joined by Burger, C.J., and Rehnquist, J., dissenting) (“Police are given no guidance
12 for determining which objects, among an array of potentially lethal weapons ranging from guns to
13 knives to baseball bats to rope, will justify the use of deadly force.”).163
14
15 It is clear, however, that the relevant danger can be either to the officer164 or to a third
16 person. 165
The jury should “determine, after deciding what the real risk . . . was, what was
163
In Brosseau v. Haugen, 543 U.S. 194 (2004) (per curiam), the Court characterized the
choice facing the defendant as “whether to shoot a disturbed felon, set on avoiding capture
through vehicular flight, when persons in the immediate area are at risk from that flight,” and the
Court held that the defendant’s decision to shoot did not violate a clearly established right, see id.
at 200.
Justice Stevens believed the qualified immunity issue in Brosseau presented a jury
question; as he pointed out, “[r]espondent Haugen had not threatened anyone with a weapon, and
petitioner Brosseau did not shoot in order to defend herself. Haugen was not a person who had
committed a violent crime; nor was there any reason to believe he would do so if permitted to
escape. Indeed, there is nothing in the record to suggest he intended to harm anyone.” Brosseau,
543 U.S. at 204 (Stevens, J., dissenting) (footnote omitted); see id. at 207 n.5 (“The factual
issues relate only to the danger that [Haugen] posed while in the act of escaping.”).
See Abraham, 183 F.3d at 293 (assessing “whether a court can decide on summary
164
122
Last updated July 2019
4.9.1 Section 1983 – Garner-Type Deadly Force Cases
1 objectively reasonable for an officer in [the defendant]’s position to believe . . . , giving due regard
2 to the pressures of the moment.” Abraham, 183 F.3d at 294. An officer is not justified in using
3 deadly force at a point in time when there is no longer probable cause to believe the suspect
4 dangerous, even if deadly force would have been justified at an earlier point in time. See id. (“A
5 passing risk to a police officer is not an ongoing license to kill an otherwise unthreatening
6 suspect.”).166 Thus, for example, the Court of Appeals cited with approval a Ninth Circuit case
7 holding that “the fact that a suspect attacked an officer, giving the officer reason to use deadly
8 force, did not necessarily justify continuing to use lethal force” at a time when “[t]he officer knew
9 help was on the way, had a number of weapons besides his gun, could see that [the suspect] was
10 unarmed and bleeding from multiple gunshot wounds, and had a number of opportunities to evade
11 him.” Abraham, 183 F.3d at 295 (discussing Hopkins v. Andaya, 958 F.2d 881 (9th Cir.1992));
12 see also Lamont ex rel. Estate of Quick v. New Jersey, 637 F.3d 177, 184 (3d Cir. 2011) (“Even
13 where an officer is initially justified in using force, he may not continue to use such force after it
14 has become evident that the threat justifying the force has vanished.”).
15
16 Conduct giving rise to a need for deadly force. In Grazier v. City of Philadelphia, then-
17 Chief Judge Becker argued in dissent that “it was an abuse of discretion for the trial judge not to
18 explain to the jury at least the general principle that conduct on the officers' part that unreasonably
19 precipitated the need to use deadly force may provide a basis for holding that the eventual use of
20 deadly force was unreasonable in violation of the Fourth Amendment.” Grazier v. City of
21 Philadelphia, 328 F.3d 120, 130 (3d Cir. 2003) (Becker, C.J., dissenting) (citing Estate of Starks
22 v. Enyart, 5 F.3d 230, 234 (7th Cir.1993), and Gilmere v. City of Atlanta, 774 F.2d 1495, 1501
23 (11th Cir.1985) (en banc)).167 The Grazier majority, noting that the plaintiffs had not requested
166
Compare id. at 294-95 (“We can, of course, readily imagine circumstances
where a fleeing suspect would have posed such a dire threat to an officer, thereby
demonstrating that the suspect posed a serious threat to others, that the officer could
justifiably use deadly force to stop the suspect's flight even after the officer escaped
harm's way.”).
167
As Chief Judge Becker noted, the facts in Grazier included the following:
“[T]he defendants were plain-clothes officers, forbidden by Regulations to make traffic
stops, and . . . were driving an unmarked car (in a high crime neighborhood) which they
pulled perpendicularly in front of plaintiffs' car to make a traffic stop, also in violation of
department policy,” Grazier, 328 F.3d at 131 (Becker, C.J., dissenting) – with the result,
according to the plaintiff driver’s testimony, that he believed he was being carjacked, see
id. at 123 (majority opinion). Compare Bodine v. Warwick, 72 F.3d 393, 400 (3d Cir.
1995) (stating that officers who entered a dwelling unlawfully Awould not be liable for
harm produced by a ‘superseding cause,’ . . . . [a]nd they certainly would not be liable for
harm that was caused by their non-tortious, as opposed to their tortious, ‘conduct,’ such
123
Last updated July 2019
4.9.1 Section 1983 – Garner-Type Deadly Force Cases
1 that particular charge, reviewed the district court’s charge under a plain error standard. See id. at
2 127. The majority found no plain error:
3
4 Our Court has not endorsed the doctrine discussed in Gilmere and Starks and, in
5 fact, has recognized disagreement among circuit courts on this issue. See Abraham
6 v. Raso, 183 F.3d 279, 295-96 (3d Cir.1999). In Abraham, we announced that “[w]e
7 will leave for another day how these cases should be reconciled.” Id. at 296. In this
8 context, the District Court did not abuse its discretion by refusing to instruct the
9 jury on a doctrine that our Circuit has not adopted. As such, plain error of course
10 did not occur.
11
12 Grazier, 328 F.3d at 127.
13
14 Municipal liability. In discussing municipal liability, the Supreme Court has noted that
15
16 city policymakers know to a moral certainty that their police officers will be
17 required to arrest fleeing felons. The city has armed its officers with firearms, in
18 part to allow them to accomplish this task. Thus, the need to train officers in the
19 constitutional limitations on the use of deadly force ... can be said to be “so
20 obvious,” that failure to do so could properly be characterized as “deliberate
21 indifference” to constitutional rights.
22
23 City of Canton, Ohio v. Harris, 489 U.S. 378, 390 n.10 (1989).
24
25 In some cases, the question may arise whether a municipality can be held liable for failure
26 to equip its officers with an alternative to deadly force. See Carswell v. Borough of Homestead,
27 381 F.3d 235, 245 (3d Cir. 2004) (“[W]e have never recognized municipal liability for a
28 constitutional violation because of failure to equip police officers with non-lethal weapons. We
29 decline to do so on the record before us.”); compare id. at 250 (McKee, J., dissenting in relevant
30 part) (arguing that plaintiff had viable claim against municipality based on plaintiff’s contention
31 that municipality’s “policy of requiring training only in using deadly force and equipping officers
32 only with a lethal weapon, caused Officer Snyder to use lethal force even though he did not think
33 it reasonable or necessary to do so”).
as the use of reasonable force to arrest [the plaintiff]”); Lamont ex rel. Estate of Quick v.
New Jersey, 637 F.3d 177, 186 (3d Cir. 2011) (following Bodine and holding that “the
troopers’ decision to enter the woods did not proximately cause Quick's death. Rather,
Quick's noncompliant, threatening conduct in the woods was a superseding cause that
served to break the chain of causation ....”).
124
Last updated July 2019
4.10 Section 1983 – Excessive Force – Convicted Prisoner
168
See Comment for a discussion of whether harm (and physical injury in particular),
constitutes an element of this claim.
125
Last updated July 2019
4.10 Section 1983 – Excessive Force – Convicted Prisoner
1 Applicability of the Eighth Amendment standard for excessive force. The Eighth
2 Amendment’s “Cruel and Unusual Punishments Clause ‘was designed to protect those convicted
3 of crimes,’ . . . and consequently the Clause applies ‘only after the State has complied with the
4 constitutional guarantees traditionally associated with criminal prosecutions.’ ” Whitley v. Albers,
5 475 U.S. 312, 318 (1986) (quoting Ingraham v. Wright, 430 U.S. 651, 671 n.40 (1977)). It appears
6 that the Eighth Amendment technically does not apply to a convicted prisoner until after the
7 prisoner has been sentenced. See Graham v. Connor, 490 U.S. 386, 392 n.6 (1989) (stating in
8 dictum that the view that “the Eighth Amendment's protections [do] not attach until after
9 conviction and sentence” was “confirmed by Ingraham v. Wright, 430 U.S. 651, 671 n.12740[?]
10 (1977)”); Fuentes v. Wagner, 206 F.3d 335, 347 (3d Cir. 2000) (holding that the status under the
11 Constitution of a convicted inmate awaiting sentence is “that of a pretrial detainee”).
12
13 In Kingsley v. Hendrickson, 135 S. Ct. 2466 (2015), the Supreme Court held that a pretrial
14 detainee must show only that the force used was “objectively unreasonable” in order to prevail on
15 an excessive force claim. It noted that, as to the defendant’s “physical acts,” such as swinging a
16 fist into a face, the defendant “must possess a purposeful, a knowing, or possibly a reckless state
17 of mind.” Id. at 2472. But in determining the proper interpretation of that force—whether it is
18 constitutionally excessive—the proper inquiry is one of objective reasonableness, with no need to
19 find that the defendant, as a subjective matter, acted maliciously and sadistically to cause harm.
20
21 Kingsley would appear to overrule Fuentes v. Wagner, 206 F.3d 335, 347 (3d Cir. 2000),
22 which had explicitly rejected the objective reasonableness standard and held that the Eighth
23 Amendment standard of “maliciously and sadistically for the very purpose of causing harm”
24 applied to pretrial detainees.
25
26 In what may prove to be quite significant for the future, Kingsley noted, “We acknowledge
27 that our view that an objective standard is appropriate in the context of excessive force claims
28 brought by pretrial detainees pursuant to the Fourteenth Amendment may raise questions about
29 the use of a subjective standard in the context of excessive force claims brought by convicted
30 prisoners.” 135 S. Ct. at 2476. However, it added, “We are not confronted with such a claim,
31 however, so we need not address that issue today.” Id. Until that happens, the Instruction and
32 following commentary remain good law. Readers should be aware, however, that Kingsley could
33 eventually result in a major change to this area of law.
34
35 Content of the Eighth Amendment standard for excessive force. “The infliction of pain in
36 the course of a prison security measure ... does not amount to cruel and unusual punishment simply
37 because it may appear in retrospect that the degree of force authorized or applied for security
38 purposes was unreasonable.” Whitley, 475 U.S. at 319. Rather, “whenever prison officials stand
39 accused of using excessive physical force in violation of the Cruel and Unusual Punishments
40 Clause,” the issue is “whether force was applied in a good faith effort to maintain or restore
41 discipline, or maliciously and sadistically to cause harm.” Hudson v. McMillian, 503 U.S. 1, 6-7
126
Last updated July 2019
4.10 Section 1983 – Excessive Force – Convicted Prisoner
1 (1992).169 The Court has stressed that prison officials’ decisions are entitled to deference; although
2 this deference “does not insulate from review actions taken in bad faith and for no legitimate
3 purpose, . . . it requires that neither judge nor jury freely substitute their judgment for that of
4 officials who have made a considered choice.” Whitley, 475 U.S. at 322.
5
6 The factors relevant to the jury’s inquiry include “the need for the application of force, the
7 relationship between the need and the amount of force that was used, [and] the extent of injury
8 inflicted,” Whitley, 475 U.S. at 321 (quoting Johnson v. Glick, 481 F.2d 1028, 1033 (2d Cir. 1973)).
9 “But equally relevant are such factors as the extent of the threat to the safety of staff and inmates,
10 as reasonably perceived by the responsible officials on the basis of the facts known to them, and
11 any efforts made to temper the severity of a forceful response.” Id. See, e.g., Giles v. Kearney,
12 571 F.3d 318, 326, 328-29 (3d Cir. 2009) (if true, testimony that inmate “was kicked in the ribs
13 and punched in the head while restrained on the ground, after he ceased to resist” established
14 Eighth Amendment violation; however, district court did not commit clear error in finding no
15 excessive force with respect to other aspects of guards’ interactions with the inmate).
16
17 In assessing the use of force, “the extent of injury suffered by [the] inmate is one factor,”
18 but a plaintiff can establish an Eighth Amendment excessive force claim even without showing
19 “serious injury.” Hudson, 503 U.S. at 7; see also Wilkins v. Gaddy, 130 S. Ct. 1175, 1177, 1178
20 (2010) (per curiam) (rejecting Fourth Circuit’s requirement of “a showing of significant injury in
21 order to state an excessive force claim,” and reiterating “Hudson's direction to decide excessive
22 force claims based on the nature of the force rather than the extent of the injury”). “When prison
23 officials maliciously and sadistically use force to cause harm, contemporary standards of decency
24 always are violated. . . . This is true whether or not significant injury is evident.” Id. at 9.
25 Although “the Eighth Amendment does not protect an inmate against an objectively de minimis
26 use of force, .... de minimis injuries do not necessarily establish de minimis force.” Smith v.
169
The Third Circuit has held that, in instructing a jury under Hudson and
Whitley, it is not error to state that the use of force must “shock the conscience.” See
Fuentes, 206 F.3d at 348-49. (Fuentes applied the Hudson and Whitley standard to a
prisoner with the constitutional status of a pretrial detainee—a holding apparently
overruled by Kingsley—but its teaching about the content of the Hudson and Whitley
remains good law.) See Young v. Martin, 801 F.3d 172 (3d Cir. 2015) (resolving issue,
left open by Fuentes, whether the use of mechanical restraints should be analyzed under
the excessive force line of cases or the conditions of confinement line of cases, by
concluding that excessive force analysis is appropriate, and distinguishing Fuentes on the
facts). The model instruction does not include the “shocks the conscience” language,
because – assuming that “shocks the conscience” describes a standard equivalent to that
described in Hudson – the “shocks the conscience” language is redundant.
127
Last updated July 2019
4.10 Section 1983 – Excessive Force – Convicted Prisoner
1 Mensinger, 293 F.3d 641, 648-49 (3d Cir. 2002).170 “[T]he degree of injury is relevant for any
2 Eighth Amendment analysis, [but] there is no fixed minimum quantum of injury that a prisoner
3 must prove that he suffered through objective or independent evidence in order to state a claim for
4 wanton and excessive force.” Brooks v. Kyler, 204 F.3d 102, 104 (3d Cir. 2000). “Although the
5 extent of an injury provides a means of assessing the legitimacy and scope of the force, the focus
6 always remains on the force used (the blows).” Id. at 108.
7
8 In Young v. Martin, 801 F.3d 172 (3d Cir. 2015), the court of appeals held that there was a
9 genuine dispute of material fact as to whether prison guards violated the Eighth Amendment by
10 securing a mentally ill prisoner in a four-point restraint chair, naked, for fourteen hours. The court
11 concluded that a reasonable jury could find that prison officials subjected him to a substantial risk
12 of physical harm and unnecessary pain, given the tightness of the restraints, the length of time
13 restrained, his nakedness, the cold air blowing on him, and his inability to hold his own weight
14 once released.
15
16 Other sets of model instructions include a requirement that plaintiff suffered harm as a
17 result of the defendant’s use of force. See, e.g., Fifth Circuit (Civil) Instruction 10.5; Eighth Circuit
18 (Civil) Instruction 4.30; Ninth Circuit (Civil) Instruction 11.9; Eleventh Circuit (Civil) 2.3.1;
19 O’Malley Instruction 166.23; Schwartz & Pratt Instruction 11.01.1. The model also includes this
20 requirement, although there does not appear to be Third Circuit caselaw that specifically addresses
21 whether harm in general (as distinct from physical injury) is an element of an Eighth Amendment
22 excessive force claim.171 Assuming that the plaintiff must prove some harm, proof of physical
170
Drawing on the framework for excessive force claims set forth in Hudson v.
McMillan, 503 U.S. 1 (1992), the court of appeals has held that sexual abuse of prisoners can
violate the Constitution. Ricks v. Shover, 891 F.3d 468 (3d Cir. 2018). In these circumstances,
the subjective prong depends on whether the official had a legitimate penological purpose or
acted maliciously and sadistically for the very purpose of causing harm. The objective prong
does not insist on “zero tolerance for all minor sexualized touching in prison,” Ricks, 891 F.3d at
477, but objectively serious sexual contact does include “sexualized fondling, coerced sexual
activity, combinations of ongoing harassment and abuse, and exchanges of sexual activity for
special treatment or to avoid discipline.” Id. at 478. See also E. D. v. Sharkey, 928 F.3d 299, 306-
07 (3d Cir. 2019) (holding that “immigration detainees are entitled to the same due process
protections” as pretrial detainees and have the “right to not be sexually assaulted by a state
employee while in confinement”) (internal quotation marks and citations omitted).
171
The instruction given in Douglas v. Owens, 50 F.3d 1226 (3d Cir. 1995), did
not include harm as an element. See id. at 1232 n.13. However, the defendants did not
request that harm be included as an element, and did not raise the issue on appeal. Thus,
128
Last updated July 2019
4.10 Section 1983 – Excessive Force – Convicted Prisoner
1 injury clearly suffices. In the light of the Supreme Court’s indication that the Eighth Amendment
2 is designed to protect against torture, see Hudson, 503 U.S. at 9, proof of physical pain or intense
3 fear or emotional pain should also suffice, even absent significant physical injury.172
4
5 42 U.S.C. § 1997e(e) provides that “[n]o Federal civil action may be brought by a prisoner
6 confined in a jail, prison, or other correctional facility, for mental or emotional injury suffered
7 while in custody without a prior showing of physical injury.” As noted in the Comment to
8 Instruction 4.8.1, this statute requires a showing of “more-than-de minimis physical injury as a
9 predicate to allegations of emotional injury.” Mitchell v. Horn, 318 F.3d 523, 536 (3d Cir. 2003).
10 However, Section 1997e(e) does not preclude the award of nominal and punitive damages. See
11 Allah v. Al-Hafeez, 226 F.3d 247, 252 (3d Cir. 2000). Moreover, it appears that a plaintiff can
12 recover damages for physical pain caused by an Eighth Amendment excessive force violation,
13 without showing physical injury—either because the pain itself counts as physical injury, or
14 because the pain does not count as mental or emotional injury. See Perez v. Jackson, 2000 WL
15 893445, at *2 (E.D. Pa. June 30, 2000). (Perez, however, was decided prior to Mitchell, and it is
16 unclear whether Perez’s holding accords with the Third Circuit’s requirement of “more-than-de
17 minimis physical injury.”) To the extent that Section 1997e(e) requires some physical injury (other
18 than physical pain) in order to permit recovery of damages for mental or emotional injury, the jury
19 instructions on damages should reflect this requirement.
20
21 However, not all Eighth Amendment excessive force claims will fall within the scope of
22 Section 1997e(e). “[T]he applicability of the personal injury requirement of 42 U.S.C. § 1997e(e)
23 turns on the plaintiff's status as a prisoner, not at the time of the incident, but when the lawsuit is
24 filed.” Abdul-Akbar v. McKelvie, 239 F.3d 307, 314 (3d Cir. 2001) (en banc).
25
26 Some sets of model instructions state explicitly that the jury must give deference to prison
27 officials’ judgments concerning the appropriateness of force in a given situation. See Fifth Circuit
28 (Civil) Instruction 10.5; Ninth Circuit (Civil) Instruction 11.9; O’Malley Instruction 166.23;
29 Schwartz & Pratt Instruction 11.01.2. However, in Douglas v. Owens, 50 F.3d 1226 (3d Cir. 1995),
30 the district court gave an instruction that omitted any explicit mention of deference, see id. at 1232
31 n.13 (quoting instruction), and the Court of Appeals held the instruction “was proper and adequate
the Douglas court may not have had occasion to consider the question.
172
In Rhodes v. Robinson, 612 F.2d 766, 771-72 (3d Cir. 1979), the plaintiff
claimed emotional distress as a result of hearing guards beat another inmate; the court
refused to “find Rhodes's claim insufficient because it alleges emotional rather than
physical harm,” but held that the claim failed because the plaintiff could not establish
“the requisite state of mind” on the part of the defendants.
129
Last updated July 2019
4.10 Section 1983 – Excessive Force – Convicted Prisoner
1 under the facts of this case” because the district court’s reference to “force . . . applied in a good
2 faith effort to maintain or restore discipline” indicated to the jury that the defendants should not
3 necessarily be held liable merely because they used force that “is later determined to have been
4 unnecessary,” id. at 1233.173
173
In Douglas, the defendants “argue[d] that the charge given by the district court [wa]s
inadequate because it fail[ed] to convey the notion that ‘force is not constitutionally “excessive”
just because it turns out to have been unnecessary in hindsight.’” Id. at 1233. As noted in the
text, the court rejected this contention. The model instruction does state that the plaintiff cannot
prove an Eighth Amendment violation “merely by showing that, in hindsight, the amount of
force seems unreasonable.” Though the Douglas court held that such language was not required,
it did not suggest that the language was inaccurate or misleading.
130
Last updated July 2019
4.11 Section 1983 – Conditions of Confinement – Convicted Prisoner
131
Last updated July 2019
4.11.1 Section 1983 – Denial of Adequate Medical Care
174
See Comment for a discussion of whether harm (and physical injury in
particular), constitutes an element of this claim.
132
Last updated July 2019
4.11.1 Section 1983 – Denial of Adequate Medical Care
1 Second, [plaintiff] must show that [defendant] was deliberately indifferent to that serious
2 medical need. [Plaintiff] must show that [defendant] knew of an excessive risk to [plaintiff’s]
3 health, and that [defendant] disregarded that risk by failing to take reasonable measures to address
4 it.
5
6 [Plaintiff] must show that [defendant] actually knew of the risk. If [plaintiff] proves that
7 there was a risk of serious harm to [him/her] and that the risk was obvious, you are entitled to infer
8 from the obviousness of the risk that [defendant] knew of the risk. [However, [defendant] claims
9 that even if there was an obvious risk, [he/she] was unaware of that risk. If you find that
10 [defendant] was unaware of the risk, then you must find that [he/she] was not deliberately
11 indifferent.]175
12
13 There are a number of ways in which a plaintiff can show that a defendant was deliberately
14 indifferent, including the following. Deliberate indifference occurs when: [include any of the
15 following examples, or others, that are warranted by the evidence]
16
17 • A prison official denies a reasonable request for medical treatment, and the official knows
18 that the denial exposes the inmate to a substantial risk of pain or permanent injury;
19
20 • A prison official knows that an inmate needs medical treatment, and intentionally refuses
21 to provide that treatment;
22
23 • A prison official knows that an inmate needs medical treatment, and delays the medical
24 treatment for non-medical reasons;
25
26 • A prison official knows that an inmate needs medical treatment, and imposes arbitrary and
27 burdensome procedures that result in delay or denial of the treatment;
28
29 • A prison official knows that an inmate needs medical treatment, and refuses to provide that
30 treatment unless the inmate is willing and able to pay for it;
31
32 • A prison official refuses to let an inmate see a doctor capable of evaluating the need for
33 treatment of an inmate’s serious medical need;
34
35 • A prison official persists in a particular course of treatment even though the official knows
36 that the treatment is causing pain and creating a risk of permanent injury.
175
It is unclear who has the burden of proof with respect to a defendant’s claim of lack
of awareness of an obvious risk. See Comment.
133
Last updated July 2019
4.11.1 Section 1983 – Denial of Adequate Medical Care
1 [In this case, [plaintiff] was under medical supervision. Thus, to show that [defendant], a
2 non-medical official, was deliberately indifferent, [plaintiff] must show that [defendant] knew that
3 there was reason to believe that the medical staff were mistreating (or not treating) [plaintiff].]
4
5 [Mere errors in medical judgment do not show deliberate indifference. Thus, a plaintiff
6 cannot prove that a doctor was deliberately indifferent merely by showing that the doctor chose a
7 course of treatment that another doctor disagreed with. [However, a doctor is deliberately
8 indifferent if [he/she] knows what the appropriate treatment is and decides not to provide it for
9 some non-medical reason.] [However, a doctor is deliberately indifferent by arbitrarily interfering
10 with a treatment, if the doctor knows that the treatment has worked for the inmate in the past and
11 that another doctor prescribed that specific course of treatment for the inmate based on a judgment
12 that other treatments would not work or would be harmful.]]
13
14
15 Comment
16
17 Applicability of the Eighth Amendment standard for denial of adequate medical care. The
18 Eighth Amendment applies only to convicted prisoners,176 see, e.g., Whitley v. Albers, 475 U.S.
19 312, 318 (1986), and it appears that the Amendment does not apply to a convicted prisoner until
20 after the prisoner has been sentenced, see Graham v. Connor, 490 U.S. 386, 392 n.6 (1989)
21 (dictum).177 Instruction 4.11 reflects the Eighth Amendment standard concerning the denial of
22 medical care.
23
24 The Eighth Amendment standard may be more difficult for plaintiffs to meet than the
176
Betts v. New Castle Youth Development Center, 621 F.3d 249 (3d Cir. 2010),
applied Eighth Amendment standards to a claim arising from injuries to a youth who had
been “adjudicated delinquent” and “had been committed to ... a maximum security
program for serious [juvenile] offenders,” id. at 252, 256 n.8.
177
Addressing substantive and procedural due process claims arising from
placement in restrictive confinement, the Court of Appeals has treated as pretrial
detainees two plaintiffs who – during the relevant period – were awaiting resentencing
after the vacatur of their death sentences. See Stevenson v. Carroll, 495 F.3d 62, 67 (3d
Cir. 2007) (“Although both Stevenson and Manley had been convicted at the time of their
complaint, they are classified as pretrial detainees for purposes of our constitutional
inquiry.... Their initial sentences had been vacated and they were awaiting resentencing at
the time of their complaint and for the duration during which they allege they were
subjected to due process violations.... The Warden does not contest the status of the
appellants as pretrial detainees for purposes of this appeal.”).
134
Last updated July 2019
4.11.1 Section 1983 – Denial of Adequate Medical Care
1 standard that applies to claims regarding treatment of pretrial detainees or of prisoners who have
2 been convicted but not yet sentenced. Although “the contours of a state's due process obligations
3 to [pretrial] detainees with respect to medical care have not been defined by the Supreme
4 Court. . . . , it is clear that detainees are entitled to no less protection than a convicted prisoner is
5 entitled to under the Eighth Amendment.” A.M. v. Luzerne County Juvenile Detention Center, 372
6 F.3d 572, 584 (3d Cir. 2004); see City of Revere v. Massachusetts General Hosp., 463 U.S. 239,
7 244 (1983) (stating that the “due process rights of a person [injured while being apprehended by
8 police] are at least as great as the Eighth Amendment protections available to a convicted
9 prisoner”); County of Sacramento v. Lewis, 523 U.S. 833, 850 (1998) (“Since it may suffice for
10 Eighth Amendment liability that prison officials were deliberately indifferent to the medical needs
11 of their prisoners . . . it follows that such deliberately indifferent conduct must also be enough to
12 satisfy the fault requirement for due process claims based on the medical needs of someone jailed
13 while awaiting trial.”).
14
15 In Hubbard v. Taylor, a nonmedical conditions-of-confinement case, the Third Circuit held
16 that the district court committed reversible error by analyzing the pretrial detainee plaintiffs’
17 claims under Eighth Amendment standards. Hubbard v. Taylor, 399 F.3d 150, 166-67 (3d Cir.
18 2005). The Hubbard court stressed that while the Eighth Amendment standards have been taken
19 to establish a floor below which treatment of pretrial detainees cannot sink, those standards do not
20 preclude the application of a more protective due process standard to pretrial detainees under Bell
21 v. Wolfish, 441 U.S. 520 (1979). See Hubbard, 399 F.3d at 165-66. While Hubbard was a
22 nonmedical conditions-of-confinement case, the Hubbard court suggested that its analysis would
23 apply to all conditions-of-confinement cases, including those claiming denial of adequate medical
24 care. See id. at 166 n.22.178
178
On some prior occasions, the Third Circuit has indicated that the standard for pretrial
detainees is identical to that for convicted prisoners. See Groman v. Township of Manalapan, 47
F.3d 628, 637 (3d Cir. 1995) (“Failure to provide medical care to a person in custody can rise to
the level of a constitutional violation under § 1983 only if that failure rises to the level of
deliberate indifference to that person's serious medical needs.”). In other cases, the court has
noted, but not decided, the question whether pretrial detainees should receive more protection
(under the Due Process Clauses) than convicted prisoners do under the Eighth Amendment. See,
e.g., Kost v. Kozakiewicz, 1 F.3d 176, 188 n.10 (3d Cir. 1993) (“It appears that no determination
has as yet been made regarding how much more protection unconvicted prisoners should receive.
The appellants, however, have not raised this issue, and therefore we do not address it.”); Natale
v. Camden County Correctional Facility, 318 F.3d 575, 581 n.5 (3d Cir. 2003); Woloszyn v.
County of Lawrence, 396 F.3d 314, 320 n.5 (3d Cir. 2005) (“[I]n developing our jurisprudence
on pre-trial detainees' suicides we looked to the Eighth Amendment ... because the due process
rights of pre-trial detainees are at least as great as the Eighth Amendment rights of convicted and
sentenced prisoners”); Wharton v. Danberg, 854 F.3d 234, 247 (3d Cir. 2017) (noting that “while
135
Last updated July 2019
4.11.1 Section 1983 – Denial of Adequate Medical Care
1 Content of the Eighth Amendment standard for denial of adequate medical care. Because
2 inmates “must rely on prison authorities to treat [their] medical needs,” the government has an
3 “obligation to provide medical care for those whom it is punishing by incarceration.” Estelle v.
4 Gamble, 429 U.S. 97, 103 (1976). Eighth Amendment claims concerning denial of adequate
5 medical care constitute a subset of claims concerning prison conditions. In order to prove an
6 Eighth Amendment violation arising from the conditions of confinement, the plaintiff must show
7 that the condition was “sufficiently serious,” Wilson v. Seiter, 501 U.S. 294, 298 (1991), and also
8 that the defendant was “‘deliberate[ly] indifferen[t]’ to inmate health or safety,” Farmer v.
9 Brennan, 511 U.S. 825, 834 (1994). Deliberate indifference to the inmate’s serious medical needs
10 violates the Eighth Amendment, “whether the indifference is manifested by prison doctors in their
11 response to the prisoner's needs or by prison guards in intentionally denying or delaying access to
12 medical care or intentionally interfering with the treatment once prescribed.” Estelle, 429 U.S. at
13 104-05.
14
15 As noted, in cases regarding medical care, the first (or objective) prong of the Eighth
16 Amendment test requires that the plaintiff show a serious medical need. A medical condition that
17 “has been diagnosed by a physician as requiring treatment” is a serious medical need. Atkinson v.
18 Taylor, 316 F.3d 257, 266 (3d Cir. 2003). So is a medical problem “that is so obvious that a lay
19 person would easily recognize the necessity for a doctor's attention.” Monmouth County
20 Correctional Institutional Inmates v. Lanzaro, 834 F.2d 326, 347 (3d Cir. 1987) (quoting Pace v.
21 Fauver, 479 F. Supp. 456, 458 (D.N.J.1979), aff'd, 649 F.2d 860 (3d Cir. 1981)). The serious
22 medical need prong is also met in cases where “[n]eedless suffering result[s] from a denial of
23 simple medical care, which does not serve any penological purpose.” Atkinson, 316 F.3d at 266.
24 Likewise, “where denial or delay causes an inmate to suffer a life long handicap or permanent loss,
25 the medical need is considered serious.” Lanzaro, 834 F.2d at 347. Denial of access to potable
26 water for two or three days, especially when the prisoner is menstruating, can constitute an Eight
27 Amendment violation, as can the denial of sanitary napkins and medications for migraines and
28 menstrual cramps. Chavarriaga v. N.J. Dept. of Corr., 806 F.3d 210 (3d Cir. 2015). Cf. Michtavi
29 v. Scism, 808 F.3d 203, 207 (3d Cir. 2015) (“Because there is no authority establishing—let alone
the detention of sentenced inmates is governed by the Eight Amendment, the treatment of
pretrial detainees is governed by the Due Process Clause,” but finding no need to delve into any
differences, because the suit was against supervisory officials for the creation of policies and
practices, which requires deliberate indifference, and there was no genuine dispute of material
fact as to deliberate indifference). See also E. D. v. Sharkey, 928 F.3d 299, 306-07 (3d Cir. 2019)
(holding that “immigration detainees are entitled to the same due process protections” as pretrial
detainees).
136
Last updated July 2019
4.11.1 Section 1983 – Denial of Adequate Medical Care
1 ‘clearly’ establishing—a right for prisoners to receive treatment for conditions resulting in
2 impotence and/or infertility, such as retrograde ejaculation or erectile dysfunction, Appellants are
3 entitled to qualified immunity.”).
4 As to the second (or subjective) prong of the Eighth Amendment test, mere errors in
5 medical judgment or other negligent behavior do not meet the mens rea requirement. See Estelle,
6 429 U.S. at 107.179 Rather, the plaintiff must show subjective recklessness on the defendant’s part.
7 “[A] prison official cannot be found liable under the Eighth Amendment for denying an inmate
8 humane conditions of confinement unless the official knows of and disregards an excessive risk to
9 inmate health or safety; the official must both be aware of facts from which the inference could
10 be drawn that a substantial risk of serious harm exists, and he must also draw the inference.”
11 Farmer, 511 U.S. at 837.180 However, the plaintiff “need not show that a prison official acted or
12 failed to act believing that harm actually would befall an inmate; it is enough that the official acted
13 or failed to act despite his knowledge of a substantial risk of serious harm.” Id. at 842. In sum, “a
14 prison official may be held liable under the Eighth Amendment for denying humane conditions of
15 confinement only if he knows that inmates face a substantial risk of serious harm and disregards
16 that risk by failing to take reasonable measures to abate it.” Id. at 847.
17
18 The plaintiff can use circumstantial evidence to prove subjective recklessness: The jury is
179
By contrast, a plaintiff can prove deliberate indifference by showing that a
physician knew what the appropriate treatment was and decided not to provide that
treatment for a non-medical reason such as cost-cutting. See Durmer v. O’Carroll, 991
F.2d 64, 69 (3d Cir. 1993) (“[I]f the inadequate care was a result of an error in medical
judgment on Dr. O'Carroll's part, Durmer's claim must fail; but, if the failure to provide
adequate care in the form of physical therapy was deliberate, and motivated by non
medical factors, then Durmer has a viable claim.”).
Similarly, though “mere disagreements over medical judgment do not state Eighth
Amendment claims,” White v. Napoleon, 897 F.2d 103, 110 (3d Cir. 1990), a prison
doctor violates the Eighth Amendment when he or she “deliberately and arbitrarily . . .
‘interfer[es] with modalities of treatment prescribed by other physicians, including
specialists, even though these modalities of treatment ha[ve] proven satisfactory,’” id. at
111 (quoting amended complaint).
180
The subjective “deliberate indifference” standard for Eighth Amendment
conditions of confinement claims is distinct from the objective “deliberate indifference”
standard for municipal liability through inadequate training, supervision or screening.
See Farmer, 511 U.S. at 840-41 (distinguishing City of Canton v. Harris, 489 U.S. 378
(1989)); supra Instruction 4.6.7 cmt. & Instruction 4.6.8 cmt.
137
Last updated July 2019
4.11.1 Section 1983 – Denial of Adequate Medical Care
1 entitled to “conclude that a prison official knew of a substantial risk from the very fact that the risk
2 was obvious.” Id. at 842. However, the jury need not draw that inference; “it remains open to the
3 officials to prove that they were unaware even of an obvious risk to inmate health or safety.” Id.
4 at 844. The defendants “might show, for example, that they did not know of the underlying facts
5 indicating a sufficiently substantial danger and that they were therefore unaware of a danger, or
6 that they knew the underlying facts but believed (albeit unsoundly) that the risk to which the facts
7 gave rise was insubstantial or nonexistent.” Id.181
8
9 Two bracketed sentences in the model reflect the fact that a defendant will escape liability
10 if the jury finds that even though the risk was obvious, the defendant was unaware of the risk. A
11 footnote appended to those sentences notes some uncertainty concerning the burden of proof on
12 this point. On the one hand, the Farmer Court’s references to defendants “prov[ing]” and
13 “show[ing]” lack of awareness suggest that once a plaintiff proves that a risk was obvious, the
14 defendant then has the burden of proving lack of awareness of that obvious risk. On the other
15 hand, the factual issues concerning the risk’s obviousness and the defendant’s awareness of the
16 risk may be closely entwined, rendering it confusing to present the latter issue as one on which the
17 defendant has the burden of proof. Accordingly, the model does not explicitly address the question
18 of burden of proof concerning that issue.
19
20 “[E]ven officials who actually knew of a substantial risk to inmate health or safety may be
21 found free from liability if they responded reasonably to the risk, even if the harm ultimately was
22 not averted”; a defendant “who act[ed] reasonably cannot be found liable under the Cruel and
23 Unusual Punishments Clause.” Id. at 844-45.
24
25 The Third Circuit has enumerated a number of ways in which a plaintiff could show
26 deliberate indifference. Deliberate indifference exists, for example:
27
28 • “[w]here prison authorities deny reasonable requests for medical treatment ... and such
29 denial exposes the inmate ‘to undue suffering or the threat of tangible residual injury’ ”;182
181
However, a defendant “would not escape liability if the evidence showed that he
merely refused to verify underlying facts that he strongly suspected to be true, or declined to
confirm inferences of risk that he strongly suspected to exist.” Id. at 843 n.8.
182
Monmouth County Correctional Inst. Inmates v. Lanzaro, 834 F.2d 326, 346
(3d Cir. 1987) (quoting Westlake v. Lucas, 537 F.2d 857, 860 (6th Cir.1976)); see
Pearson v. Prison Health Serv., 850 F.3d 526, 540 (3d Cir. 2017) (reversing summary
judgment for a nurse who was told that prisoner was suffering from excruciating pain at a
time he was not being treated by a physician, refused to examine him in his cell, forced
him to crawl to a wheelchair to obtain medical treatment, and did nothing but order him
138
Last updated July 2019
4.11.1 Section 1983 – Denial of Adequate Medical Care
1
2 • “where ‘knowledge of the need for medical care [is accompanied by the] ... intentional
3 refusal to provide that care’ ”;183
4
5 • where “necessary medical treatment [i]s ... delayed for non-medical reasons”;184
6
7 • “where prison officials erect arbitrary and burdensome procedures that ‘result[] in
8 interminable delays and outright denials of medical care to suffering inmates’ ”;185
9
10 • where prison officials “condition provision of needed medical services on the inmate's
11 ability or willingness to pay”;186
139
Last updated July 2019
4.11.1 Section 1983 – Denial of Adequate Medical Care
1
2 • where prison officials “deny access to [a] physician capable of evaluating the need for ...
3 treatment” of a serious medical need;187
4 • “where the prison official persists in a particular course of treatment ‘in the face of resultant
5 pain and risk of permanent injury.’ ”188
6
7 When a prisoner is under medical supervision, “absent a reason to believe (or actual knowledge)
8 that prison doctors or their assistants are mistreating (or not treating) a prisoner, a non-medical
9 prison official ... will not be chargeable with the Eighth Amendment scienter requirement of
10 deliberate indifference.” Spruill v. Gillis, 372 F.3d 218, 236 (3d Cir. 2004). The “same division
11 of labor concerns that underlie that rule apply when a nurse knows that a prisoner is under a
12 physician’s care and has no reason to believe the doctor is mistreating the prisoner.” Pearson v.
13 Prison Health Serv., 850 F.3d 526, 540 n.4 (3d Cir. 2017).
14
15 Other sets of model instructions include, as an element of the claim, that the defendant’s
16 deliberate indifference to the plaintiff’s serious medical need caused harm to the plaintiff. See,
17 e.g., Fifth Circuit (Civil) Instruction 10.6; Eighth Circuit (Civil) Instruction 4.31; Ninth Circuit
18 (Civil) Instruction 11.11. It is somewhat difficult to discern from the caselaw whether harm is a
19 distinct element of an Eighth Amendment denial-of-medical-care claim, because courts often
20 discuss harm (or the prospect of harm) in assessing whether the plaintiff showed a serious medical
21 need.189 Assuming that the plaintiff must prove some harm, proof of physical injury clearly
“the plaintiffs' argument that charging inmates for medical care is per se
unconstitutional”).
187
Lanzaro, 834 F.2d at 347 (quoting Inmates of Allegheny County Jail v. Pierce,
612 F.2d 754, 762 (3d Cir.1979)).
188
Rouse v. Plantier, 182 F.3d 192, 197 (3d Cir. 1999) (quoting White v.
Napoleon, 897 F.2d 103, 109 (3d Cir. 1990)).
189
For example, the court in Brooks v. Kyler, 204 F.3d 102 (3d Cir. 2000) rejected a
medical-needs claim based on the following reasoning:
140
Last updated July 2019
4.11.1 Section 1983 – Denial of Adequate Medical Care
1 suffices. Proof of physical pain should also suffice, even absent other significant physical injury.
2 Cf. Atkinson, 316 F.3d at 266 (“Needless suffering resulting from a denial of simple medical care,
3 which does not serve any penological purpose, is inconsistent with contemporary standards of
4 decency and thus violates the Eighth Amendment.”). It is less clear whether emotional distress
5 resulting from an increased risk of future physical injury gives rise to a damages claim for denial
6 of medical care.
7
8 Addressing a claim for injunctive relief, the Supreme Court has held that “the Eighth
9 Amendment protects against future harm to inmates.” Helling v. McKinney, 509 U.S. 25, 33
10 (1993). In Helling, the Court held that the plaintiff validly stated a claim “by alleging that
11 petitioners have, with deliberate indifference, exposed him to levels of [environmental tobacco
12 smoke] that pose an unreasonable risk of serious damage to his future health.” Id. at 35. The Third
13 Circuit, however, has held that “the Helling Court's reasoning concerning injunctive relief does
14 not translate to a claim for monetary relief.” Fontroy v. Owens, 150 F.3d 239, 243 (3d Cir. 1998).
15 Fontroy addressed whether an inmate “can recover damages ... for emotional distress allegedly
16 caused by his exposure to asbestos, even though he presently manifests no physical injury.” Id. at
17 240. Reasoning that “[i]n a conditions of confinement case, ‘extreme deprivations are required to
18 make out a . . . claim[,]’ ” id. at 244 (quoting Hudson, 503 U.S. at 9), the Third Circuit held that
19 “[f]ederal law does not provide inmates, who suffer no present physical injury, a cause of action
20 for damages for emotional distress allegedly caused by exposure to asbestos,” id. More recently,
21 however, a different Third Circuit panel seemed to depart from Fontroy in a case involving an
22 inmate’s claim regarding a risk of future injury from environmental tobacco smoke (ETS). In
23 Atkinson v. Taylor, 316 F.3d 257, 259-60, 262 (3d Cir. 2003), the plaintiff alleged both current
24 physical symptoms and a risk of future harm from exposure to ETS. The Atkinson court
25 distinguished the plaintiff’s claim concerning future harm from the claim concerning present
26 physical injury, and analyzed each separately. See id. at 262. The panel majority held that the
27 defendants were not entitled to qualified immunity on the plaintiff’s future injury claim. See id. at
28 264. In a footnote, the panel majority stated:
29
30 If appellee can produce evidence of future harm, he may be able to recover
31 monetary damages. See Fontroy, 150 F.3d at 244. However, the problematic
32 quantification of those future damages is not relevant to the present inquiry
1, 9 (1992) (“Because society does not expect that prisoners will have unqualified
access to health care, deliberate indifference to medical needs amounts to
an Eighth Amendment violation only if those needs are serious.”).
Id. at 105 n.4; see also Lanzaro, 834 F.2d at 347 (“The seriousness of an inmate's medical need
may also be determined by reference to the effect of denying the particular treatment.”).
141
Last updated July 2019
4.11.1 Section 1983 – Denial of Adequate Medical Care
190
Atkinson accords with a pre-Helling case, White v. Napoleon, 897 F.2d 103 (3d Cir.
1990), in which one of the plaintiffs alleged that a prison doctor’s “sadistic and deliberate
indifference to his serious medical needs . . . caused him needless anxiety . . . and intentionally
and needlessly put him at a substantially increased risk of peptic ulcer,” id. at 108. Though the
plaintiff had not alleged that his physical condition actually worsened as a result of the doctor’s
conduct, the court held that he had stated an Eighth Amendment claim. In so ruling, the court
stated that it was “not prepared to hold that inflicting mental anxiety alone cannot constitute
cruel and unusual punishment.” Id. at 111. The plaintiffs in White sought both injunctive and
monetary relief, and the court did not resolve whether the plaintiff who suffered mental anxiety
and increased risk of future harm (but no present physical injury) could obtain damages. See id.
at 111 (“What damages, if any, flow from the alleged conduct is an issue for later proceedings.”).
191
The Court explained: “The complaint stated that Dr. Bloor's decision to
remove petitioner from his prescribed hepatitis C medication was ‘endangering [his]
life.’... It alleged this medication was withheld ‘shortly after’ petitioner had commenced a
treatment program that would take one year, that he was ‘still in need of treatment for this
disease,’ and that the prison officials were in the meantime refusing to provide
treatment.... This alone was enough to satisfy Rule 8(a)(2).” Id.
142
Last updated July 2019
4.11.1 Section 1983 – Denial of Adequate Medical Care
1 while in custody without a prior showing of physical injury.” For discussion of this limitation, see
2 the Comments to Instructions 4.8.1 and 4.10. To the extent that Section 1997e(e) requires some
3 physical injury (other than physical pain) in order to permit recovery of damages for mental or
4 emotional injury, the jury instructions on damages should reflect this requirement. However, not
5 all Eighth Amendment denial-of-medical-care claims fall within the scope of Section 1997e(e).
6 “[T]he applicability of the personal injury requirement of 42 U.S.C. § 1997e(e) turns on the
7 plaintiff's status as a prisoner, not at the time of the incident, but when the lawsuit is filed.”
8 Abdul-Akbar v. McKelvie, 239 F.3d 307, 314 (3d Cir. 2001) (en banc).
143
Last updated July 2019
4.11.2 Section 1983 – Failure to Protect from Suicidal Action
192
This Instruction is based on Farmer v. Brennan, 511 U.S. 825, 837 (1994),
which rejected “an objective test for deliberate indifference” under the Eighth
Amendment and held that such a claim requires that “the official knows of and disregards
an excessive risk.” Readers should be aware that in Palakovic v. Wetzel, 854 F.3d 209 (3d
Cir. 2017), however, the court of appeals stated that the district court “erroneously
applied a subjective test,” by examining what the officials were actually aware of as
opposed to what they should have been aware of and that “our case law is clear: It is not
necessary for the custodian to have a subjective appreciation of the detainee’s particular
144
Last updated July 2019
4.11.2 Section 1983 – Failure to Protect from Suicidal Action
1 knew of facts that [he/she] strongly suspected to be true, and those facts indicated a substantial
2 risk of serious harm to an inmate, the official cannot escape liability merely because [he/she]
3 refused to take the opportunity to confirm those facts. But keep in mind that mere carelessness or
4 negligence is not enough to make an official liable. It is not enough for [plaintiff] to show that a
5 reasonable person would have known, or that [defendant] should have known, of the risk to
6 [plaintiff]. [Plaintiff] must show that [defendant] actually knew of the risk.]
7
8 If [plaintiff] proves that the risk of a suicide attempt by [decedent] was obvious, you are
9 entitled to infer from the obviousness of the risk that [defendant] knew of the risk. [However,
10 [defendant] claims that even if there was an obvious risk, [he/she] was unaware of that risk. If you
11 find that [defendant] was unaware of the risk, then you must find that [he/she] was not deliberately
12 indifferent.]193
13
14
15 Comment
16
17 A Section 1983 claim arising from a prisoner’s suicide (or attempted suicide) falls within
18 the general category of claims concerning denial of medical care. See, e.g., Woloszyn v. County
19 of Lawrence, 396 F.3d 314, 320 (3d Cir. 2005) (“A particular vulnerability to suicide represents a
20 serious medical need.”). For an overview of the Eighth Amendment standard for denial of
21 adequate medical care, see Comment 4.11.1, supra. A specific instruction is provided here for
22 suicide cases because the Court of Appeals has articulated a distinct framework for analyzing such
23 claims.
24
25 Vulnerability to suicide. The plaintiff must show that the decedent “had a ‘particular
26 vulnerability to suicide.’ ” Woloszyn, 396 F.3d at 319 (quoting Colburn v. Upper Darby Township,
27 946 F.2d 1017, 1023 (3d Cir. 1991)). “[T]here must be a strong likelihood, rather than a mere
28 possibility, that self-inflicted harm will occur.” Woloszyn, 396 F.3d at 320 (quoting Colburn, 946
29 F.2d at 1024). This requirement does not “demand a heightened showing at the pleading stage . . .
30 that the plaintiff’s suicide was temporally imminent or somehow clinically inevitable.” Palakovic
31 v. Wetzel, 854 F.3d 209, 230 (3d Cir. 2017) (noting that the detainee’s “suicidal propensities were
32 so readily apparent that his fellow inmates nicknamed him ‘Suicide.’ ”).
145
Last updated July 2019
4.11.2 Section 1983 – Failure to Protect from Suicidal Action
1 Deliberate indifference. Prior to the Supreme Court’s decision in Farmer v. Brennan, 511
2 U.S. 825 (1994), the court of appeals had articulated an objective test for prison suicide cases:
3 “[A] plaintiff in a prison suicide case has the burden of establishing three elements: (1) the detainee
4 had a ‘particular vulnerability to suicide,’ (2) the custodial officer or officers knew or should have
5 known of that vulnerability, and (3) those officers ‘acted with reckless indifference’ to the
6 detainee's particular vulnerability.” Colburn v. Upper Darby Township, 946 F.2d 1017, 1023 (3d
7 Cir. 1991). Colburn involved a pre-trial detainee, whose claim was governed by the Due Process
8 Clause rather than the Eighth Amendment, but the court of appeals drew on Eighth Amendment
9 jurisprudence to fashion this test. It explained that the “should have known” requirement is a
10 “phrase of art with a meaning distinct from its usual meaning in the context of the law of torts. . .
11 . It connotes something more than a negligent failure to appreciate the risk of suicide presented by
12 the particular detainee, though something less than subjective appreciation of that risk.” Id. at
13 1025. The court of appeals applied the Colburn standard in an Eighth Amendment case. Young v.
14 Quinlan, 960 F.2d 351, 360 (3d Cir. 1992).
15
16 In Farmer, the Supreme Court granted certiorari “because Courts of Appeals had adopted
17 inconsistent tests for ‘deliberate indifference,’ ” and pointed to a decision from the Seventh Circuit
18 requiring a “subjective standard” and the Young case from the Third Circuit adopting the “knows
19 or should have known” standard. 511 U.S. at 832. In resolving this conflict, Farmer expressly held
20 that “a prison official cannot be found liable under the Eighth Amendment for denying an inmate
21 humane conditions of confinement unless the official knows of and disregards an excessive risk to
22 inmate health or safety; . . . . an official’s failure to alleviate a significant risk that he should have
23 perceived but did not, while no cause for commendation, cannot under our cases be condemned as
24 the infliction of punishment.” 511 U.S. at 837-38. It explained that a “factfinder may conclude that
25 a prison official knew of a substantial risk from the very fact that the risk was obvious,” but
26 cautioned: “When instructing juries in deliberate indifference cases with such issues of proof,
27 courts should be careful to ensure that the requirement of subjective culpability is not lost. It is not
28 enough to find that a reasonable person would have known, or that the defendant should have
29 known, and juries should be instructed accordingly.” 511 U.S. at 842-43 & n.8.
30
31 The court of appeals applied Farmer’s requirement of actual knowledge in a subsequent
32 Eighth Amendment prison suicide case. Singletary v. Pennsylvania Dept. of Corrections, 266 F.3d
33 186, 192 n.2 (3d Cir. 2001); see also Comments 4.11.1 & 4.11.3. The model instruction is
34 designed for use in Eighth Amendment cases and it employs the Farmer standard.
35
36 In Woloszyn v. County of Lawrence, 396 F.3d 314 (3d Cir. 2005), the court of appeals
37 confronted a suicide case involving a pretrial detainee. Claims regarding pretrial detainees are
38 substantive due process claims, and it is not clear whether such claims should be analyzed under
39 Farmer’s stringent Eighth Amendment test. See Comment 4.11.1 (noting that the substantive due
40 process test for claims concerning treatment of pretrial detainees may be less rigorous than the
41 Eighth Amendment test for claims concerning treatment of convicted prisoners); see also Owens
146
Last updated July 2019
4.11.2 Section 1983 – Failure to Protect from Suicidal Action
1 v. City of Philadelphia, 6 F. Supp. 2d 373, 380 n.6 (E.D. Pa. 1998) (“The Eighth Amendment's
2 cruel and unusual punishments clause – which underpins the subjective ‘criminal recklessness’
3 standard articulated in Farmer – seems rather remote from the values appropriate for determining
4 the due process rights of those who, although in detention, have not been convicted of any crime.”).
5 The court of appeals in Woloszyn observed that Farmer did not “directly control” the analysis
6 because Farmer involved the Eighth Amendment and a pre-trial detainee’s claim arises under the
7 Due Process Clause. It nevertheless suggested that “ ‘deliberate indifference’ may be equivalent
8 to the ‘should have known’ element required” by Colburn, but did “not attempt to reconcile those
9 two phrases . . . because there is no evidence . . . that Woloszyn had a particular vulnerability to
10 suicide,” and therefore the first element of the claim could not be established. Woloszyn, 396 F.3d
11 at 321.
12
13 In Palakovic v. Wetzel, 854 F.3d 209, 223 (3d Cir. 2017), an Eighth Amendment case
14 involving the suicide of a sentenced prisoner, the court of appeals cited this passage from Woloszyn
15 and stated that the Eighth Amendment “deliberate indifference” standard is “probably” equivalent
16 to the “should have known” standard for pretrial detainees. It declared that the Due Process and
17 Eight Amendment claims are “essentially equivalent,” and that “whether a pre-trial detainee or a
18 convicted prisoner,” a plaintiff needs to show:
19
20 (1) that the individual had a particular vulnerability to suicide, meaning that there
21 was a “strong likelihood, rather than a mere possibility,” that a suicide would be
22 attempted; (2) that the prison official knew or should have known of the individual's
23 particular vulnerability; and (3) that the official acted with reckless or deliberate
24 indifference, meaning something beyond mere negligence, to the individual's
25 particular vulnerability.
26
27 Palakovic v. Wetzel, 854 F.3d 209, 223–24 (3d Cir. 2017) (footnote omitted).
28
29 It found it unnecessary to determine whether there is any difference between deliberate
30 indifference and reckless indifference, because something beyond mere negligence is required
31 under both formulations. 854 F.3d at 224 n.15.
32
33 But Palakovic was clear that the district court “erroneously applied a subjective test,” by
34 examining what the officials were actually aware of as opposed to what they should have been
35 aware of. Citing Colburn and Woloszyn—both pre-trial detainee cases—it held that “our case law
36 is clear: It is not necessary for the custodian to have a subjective appreciation of the detainee’s
37 particular vulnerability.” Id. at 231. It did not explain how this standard is consistent with Farmer,
38 perhaps because the defendants took the position that Colburn governed. See Brief for Correction
39 Officers, 2016 WL 5846656, at *23 (quoting Colburn as “set[ting] forth a clear standard for
40 establishing liability in prison suicide cases”); Brief for Dr. Rathore, Dr. Eidsvoog, and MHM,
41 Inc., 2016 WL 5845936, at *14 & n.5 (relying on Colburn and noting that while it was a pre-trial
147
Last updated July 2019
4.11.2 Section 1983 – Failure to Protect from Suicidal Action
1 detainee case, it “still applies to a convicted prisoner whose Eighth Amendment protections have
2 attached”). See also Mullin v. Balicki, 875 F.3d 140, 149, 158-59 (3d Cir. 2017) (describing
3 Palakovic as “clarify[ying] our vulnerability-to-suicide precedent,” and explaining that a
4 “vulnerability-to-suicide claim, which is simply a more specific articulation of the Eighth
5 Amendment rule that prison officials must not be deliberately indifferent to a prisoner's serious
6 medical needs, requires showing (1) the existence of a particular vulnerability to suicide, (2) that
7 a prison official knew or should have known of the individual's particularly vulnerability, and (3)
8 that the official acted with reckless or deliberate indifference to the particular vulnerability.”);
9 Kedra v. Schroeter, 876 F.3d 424, 440 (3d Cir. 2017) (describing Palakovic as holding that the
10 deliberate indifference standard in the prison suicide context is objective and that “the relevant
11 inquiry for both substantive due process claims and Eighth Amendment claims [is] whether the
12 prison official knew or should have known of the individual's particular vulnerability.”)
13
14 In light of the apparent tension between the decision in Farmer and the decisions in
15 Palakovic, Mullin, and Kedra, the committee has decided to retain the Instruction’s actual
16 knowledge requirement, and to offer an alternative in the relevant footnote to the Instruction.
17
18 Under the Farmer deliberate indifference standard, even “officials who actually knew of a
19 substantial risk to inmate health or safety may be found free from liability if they responded
20 reasonably to the risk, even if the harm ultimately was not averted.” Farmer, 511 U.S. at 844.
21
22 Causation. Although the standard stated in Woloszyn does not explicitly include an element
23 of causation, district court opinions have applied a causation test. See, e.g., Foster v. City of
24 Philadelphia, 2004 WL 225041, at *7 (E.D. Pa. 2004) (“[B]ecause Massey's failure to act
25 consistent with Police Department Directives on High-Risk Suicide Detainees (requiring
26 communication of suicidal tendencies to the supervisor and all other police officials coming into
27 contact with the detainee) could be found to be found to be a factor contributing to Foster's suicide
28 attempt, Plaintiff has made the requisite causal nexus.”); id. at *8 (“Because a reasonable jury
29 could find that Foster's suicide attempt could have been prevented had Moore monitored Foster
30 more closely, Plaintiff has made the requisite causal nexus.”); Owens, 6 F. Supp. 2d at 382-83
31 (“Because the omissions complained of could be found to have been among the factors resulting
32 in the non-deliverance of the pass [to see a psychiatrist] at a time contemporaneous to the last
33 sighting of Gaudreau alive, plaintiffs have made a showing of the requisite causal nexus.”).
34 Including the element of causation seems appropriate; as the Court of Appeals stated regarding
35 claims of failure to protect from attack, “to survive summary judgment on an Eighth Amendment
36 claim asserted under 42 U.S.C. § 1983, a plaintiff is required to produce sufficient evidence of (1)
37 a substantial risk of serious harm; (2) the defendants' deliberate indifference to that risk; and (3)
38 causation.” Hamilton v. Leavy, 117 F.3d 742, 746 (3d Cir. 1997).
39
40 Liability of supervisory officials. A prison administrator can be held liable for his own
41 deliberate indifference to the risk of suicide even if he has no specific knowledge of any particular
148
Last updated July 2019
4.11.2 Section 1983 – Failure to Protect from Suicidal Action
1 inmate, because a “high-ranking prison official can expose an inmate to danger by failing to correct
2 serious known deficiencies in the provision of medical care to the inmate population.” Barkes v.
3 First Correctional Medical, 766 F.3d 307, 324 (3d Cir. 2014), rev’d on other grounds, 135 S. Ct.
4 2042, 2043 (2015). There was evidence in Barkes that “serious deficiencies in the provision of
5 medical care by a private, third-party provided resulted in an inmate’s suicide,” id. at 310, that
6 prison officials “were aware of an unreasonable risk that [the contractor’s] declining performance
7 would result in a failure to treat or a mistreatment of an inmate's serious medical condition,” and
8 that by failing to enforce compliance with the standards required by their contract, the prison
9 officials “were deliberately indifferent to the risk that [the contractor’s] flagging quality would
10 result in a violation of an inmate's constitutional rights.” Id. at 331. See also Comment 4.6.1
11 (discussing supervisory liability). When the Supreme Court reversed on the issue of qualified
12 immunity, it did not reach the merits of the constitutional claim itself. Taylor v. Barkes, 135 S. Ct.
13 2042, 2043 (2015). It did, however, express some skepticism, noting that “the weight of authority
14 at the time of Barkes’s death suggested that such a right did not exist.” Id. at 2044-45 (citing cases
15 from the Fourth, Fifth, Sixth, and Eleventh Circuits).
149
Last updated July 2019
4.11.3 Section 1983 – Failure to Protect from Attack
194
If the plaintiff’s claim concerns a fatal attack on an inmate, the name of the
decedent (rather than the plaintiff’s name) should be inserted in appropriate places in this
instruction.
195
For a discussion of whether physical injury is an element of this claim, see the
Comment to this Instruction, below, and the Comments to Instructions 4.8.1 and 4.10.
150
Last updated July 2019
4.11.3 Section 1983 – Failure to Protect from Attack
1 indicated a substantial risk of serious harm to an inmate, the official cannot escape liability merely
2 because [he/she] refused to take the opportunity to confirm those facts. But keep in mind that mere
3 carelessness or negligence is not enough to make an official liable. It is not enough for [plaintiff]
4 to show that a reasonable person would have known, or that [defendant] should have known, of
5 the risk to [plaintiff]. [Plaintiff] must show that [defendant] actually knew of the risk.]
6
7 If [plaintiff] proves that there was a risk of serious harm to [him/her] and that the risk was
8 obvious, you are entitled to infer from the obviousness of the risk that [defendant] knew of the
9 risk. [However, [defendant] claims that even if there was an obvious risk, [he/she] was unaware
10 of that risk. If you find that [defendant] was unaware of the risk, then you must find that [he/she]
11 was not deliberately indifferent.]196
12
13
14 Comment
15
16 Applicability of the Eighth Amendment standard for failure to protect from attack. As
17 noted above (see Comment 4.11.1), the Eighth Amendment applies to claims by convicted
18 prisoners. Failure-to-protect claims by arrestees or pretrial detainees proceed under a substantive
19 due process theory, and prior decisions by the court of appeals indicated that the standard for
20 arrestees or pretrial detainees is at least as protective as the Eighth Amendment standard.197 Most
21 recently, the court of appeals has stated simply, “This Court has applied the same standard to a
22 failure-to-prevent claim under the Fourteenth Amendment as under the Eighth Amendment.”
23 Thomas v. Cumberland County, 749 F.3d 217, 223 n.4 (3d Cir. 2014).
24
25 Content of the Eighth Amendment standard for failure to protect from attack.
26 “‘[P]rison officials have a duty ... to protect prisoners from violence at the hands of other
196
It is unclear who has the burden of proof with respect to a defendant’s claim
of lack of awareness of an obvious risk. See Comment 4.11.1.
197
See, e.g., Urrutia v. Harrisburg County Police Dept., 91 F.3d 451, 456 (3d Cir. 1996)
(vacating dismissal of claim concerning alleged police failure to protect arrestee from attack by
third party, on the grounds that plaintiff “is certainly entitled to the level of protection provided
by the Eighth Amendment”); A.M. ex rel. J.M.K. v. Luzerne County Juvenile Detention Center,
372 F.3d 572, 587 (3d Cir. 2004) (reversing grant of summary judgment to child care workers,
and applying Eighth Amendment standard to claim that those workers failed to protect juvenile
detainee from attack); id. at 587 n.4 (noting that the substantive due process standard has “not
been defined” but that “detainees are entitled to no less protection than a convicted prisoner”);
Bistrian v. Levi, 696 F.3d 352, 367 (3d Cir. 2012).
151
Last updated July 2019
4.11.3 Section 1983 – Failure to Protect from Attack
1 prisoners.’ ” Farmer v. Brennan, 511 U.S. 825, 833 (1994) (quoting Cortes-Quinones v.
2 Jimenez-Nettleship, 842 F.2d 556, 558 (1st Cir. 1988)).198 “Being violently assaulted in prison is
3 simply not ‘part of the penalty that criminal offenders pay for their offenses against society.’ ” Id.
4 at 834 (quoting Rhodes v. Chapman, 452 U.S. 337, 347 (1981)).
5
6 Eighth Amendment claims concerning failure to protect from attack constitute a subset of
7 claims concerning prison conditions. In order to prove an Eighth Amendment violation arising
8 from the conditions of confinement, the plaintiff must show that the condition was “sufficiently
9 serious,” Wilson v. Seiter, 501 U.S. 294, 298 (1991), and also that the defendant was
10 “‘deliberate[ly] indifferen[t]’ to inmate health or safety,” Farmer, 511 U.S. at 834. The plaintiff
11 must also show causation. See Hamilton v. Leavy, 117 F.3d 742, 746 (3d Cir. 1997).
12
13 First element: substantial risk of serious harm. The first (or objective) prong of the Eighth
14 Amendment test requires that the plaintiff show “that he is incarcerated under conditions posing a
15 substantial risk of serious harm.” Farmer, 511 U.S. at 834; Shelton v. Bledsoe, 775 F.3d 554, 564-
16 65 (3d Cir. 2015) (emphasizing that “the Eighth Amendment . . . protects against the risk—not
17 merely the manifestation—of harm”).
18
19 Second element: deliberate indifference. Regarding the second (or subjective) prong of the
20 Eighth Amendment test, the plaintiff must show subjective recklessness on the defendant’s part.
21 “[A] prison official cannot be found liable under the Eighth Amendment for denying an inmate
22 humane conditions of confinement unless the official knows of and disregards an excessive risk to
23 inmate health or safety; the official must both be aware of facts from which the inference could be
24 drawn that a substantial risk of serious harm exists, and he must also draw the inference.” Id. at
25 837.199 However, the plaintiff “need not show that a prison official acted or failed to act believing
26 that harm actually would befall an inmate; it is enough that the official acted or failed to act despite
27 his knowledge of a substantial risk of serious harm.” Id. at 842. In sum, “a prison official may be
198
“Having incarcerated ‘persons [with] demonstrated proclivit[ies] for antisocial
criminal, and often violent, conduct,’ ... having stripped them of virtually every means of
self-protection and foreclosed their access to outside aid, the government and its officials are not
free to let the state of nature take its course.” Farmer, 511 U.S. at 833 (quoting Hudson v.
Palmer, 468 U.S. 517, 526 (1984)).
199
The subjective “deliberate indifference” standard for Eighth Amendment
conditions of confinement claims is distinct from the objective “deliberate indifference”
standard for municipal liability through inadequate training, supervision or screening.
See Farmer, 511 U.S. at 840-41 (distinguishing City of Canton v. Harris, 489 U.S. 378
(1989)); Comment 4.6.7 & Comment 4.6.8, supra.
152
Last updated July 2019
4.11.3 Section 1983 – Failure to Protect from Attack
1 held liable under the Eighth Amendment for denying humane conditions of confinement only if
2 he knows that inmates face a substantial risk of serious harm and disregards that risk by failing to
3 take reasonable measures to abate it.” Id. at 847.
4
5 The plaintiff can use circumstantial evidence to prove subjective recklessness: The jury is
6 entitled to “conclude that a prison official knew of a substantial risk from the very fact that the risk
7 was obvious.” Id. at 842.200 For example, if the “plaintiff presents evidence showing that a
8 substantial risk of inmate attacks was ‘longstanding, pervasive, well-documented, or expressly
9 noted by prison officials in the past, and the circumstances suggest that the defendant-official being
10 sued had been exposed to information concerning the risk and thus “must have known” about it,
11 then such evidence could be sufficient to permit a trier of fact to find that the defendant-official
12 had actual knowledge of the risk.’ ” Id. at 842-43 (quoting respondents’ brief).201
13
14 Even if the plaintiff does present circumstantial evidence supporting an inference of
15 subjective recklessness, “it remains open to the officials to prove that they were unaware even of
16 an obvious risk to inmate health or safety.” Id. at 844. The defendants “might show, for example,
17 that they did not know of the underlying facts indicating a sufficiently substantial danger and that
18 they were therefore unaware of a danger, or that they knew the underlying facts but believed (albeit
19 unsoundly) that the risk to which the facts gave rise was insubstantial or nonexistent.” Id.
20
21 However, a defendant “would not escape liability if the evidence showed that he merely
22 refused to verify underlying facts that he strongly suspected to be true, or declined to confirm
23 inferences of risk that he strongly suspected to exist (as when a prison official is aware of a high
24 probability of facts indicating that one prisoner has planned an attack on another but resists
25 opportunities to obtain final confirmation . . . ).” Id. at 843 n.8.202
200
The fact that the plaintiff did not notify the defendant in advance concerning
the risk of attack does not preclude a finding of subjective recklessness. See Farmer, 511
U.S. at 848; Hamilton v. Leavy, 117 F.3d 742, 747 (3d Cir. 1997).
201
See also Hamilton v. Leavy, 117 F.3d 742, 748 (3d Cir. 1997) (holding that
such evidence precluded summary judgment for defendant). As the Court of Appeals has
stated the standard, “using circumstantial evidence to prove deliberate indifference
requires more than evidence that the defendants should have recognized the excessive
risk and responded to it; it requires evidence that the defendant must have recognized the
excessive risk and ignored it.” Beers-Capitol v. Whetzel, 256 F.3d 120, 138 (3d Cir.
2001).
202
After noting this issue, the Court continued: “When instructing juries in deliberate
indifference cases with such issues of proof, courts should be careful to ensure that the
153
Last updated July 2019
4.11.3 Section 1983 – Failure to Protect from Attack
1 Likewise, it is not a valid defense “that, while [the defendant] was aware of an obvious,
2 substantial risk to inmate safety, he did not know that the complainant was especially likely to be
3 assaulted by the specific prisoner who eventually committed the assault.” Id. at 843. As the Court
4 explained, “it does not matter whether the risk comes from a single source or multiple sources, any
5 more than it matters whether a prisoner faces an excessive risk of attack for reasons personal to
6 him or because all prisoners in his situation face such a risk.” Id.
7
8 Even “officials who actually knew of a substantial risk to inmate health or safety may be
9 found free from liability if they responded reasonably to the risk, even if the harm ultimately was
10 not averted”; a defendant “who act[ed] reasonably cannot be found liable under the Cruel and
11 Unusual Punishments Clause.” Id. at 844-45.203
12
13 Third element: causation. As noted above, the plaintiff must show causation. See
14 Hamilton, 117 F.3d at 746 (“[T]o survive summary judgment on an Eighth Amendment claim
15 asserted under 42 U.S.C. § 1983, a plaintiff is required to produce sufficient evidence of (1) a
16 substantial risk of serious harm; (2) the defendants' deliberate indifference to that risk; and (3)
17 causation.”).
18
19 42 U.S.C. § 1997e(e) provides that “[n]o Federal civil action may be brought by a prisoner
20 confined in a jail, prison, or other correctional facility, for mental or emotional injury suffered
21 while in custody without a prior showing of physical injury.” For discussion of this limitation, see
requirement of subjective culpability is not lost. It is not enough merely to find that a
reasonable person would have known, or that the defendant should have known, and juries
should be instructed accordingly.” Farmer, 511 U.S. at 843 n.8.
203
See also Beers-Capitol, 256 F.3d at 133 (“[A] defendant can rebut a prima facie
demonstration of deliberate indifference either by establishing that he did not have the requisite
level of knowledge or awareness of the risk, or that, although he did know of the risk, he took
reasonable steps to prevent the harm from occurring.”).
154
Last updated July 2019
4.11.3 Section 1983 – Failure to Protect from Attack
1 the Comments to Instructions 4.8.1 and 4.10. To the extent that Section 1997e(e) requires some
2 physical injury (other than physical pain) in order to permit recovery of damages for mental or
3 emotional injury, the jury instructions on damages should reflect this requirement. However, not
4 all Eighth Amendment claims fall within the scope of Section 1997e(e). “[T]he applicability of
5 the personal injury requirement of 42 U.S.C. § 1997e(e) turns on the plaintiff's status as a prisoner,
6 not at the time of the incident, but when the lawsuit is filed.” Abdul-Akbar v. McKelvie, 239 F.3d
7 307, 314 (3d Cir. 2001) (en banc).
155
Last updated July 2019
4.12 Section 1983 – Unlawful Seizure
1 Instruction 4.12 sets forth the opening paragraphs of an instruction on Fourth Amendment
2 unlawful seizure, and this Comment addresses a number of issues that may be relevant to such an
3 instruction. Instructions 4.12.1 - 4.12.3 provide more specific language that can be added to the
4 instruction as appropriate.
5
6 The Court of Appeals has set forth “a three-step process” for assessing Fourth Amendment
7 false arrest claims: First, the plaintiff must show that he or she “was seized for Fourth Amendment
8 purposes”; second, the plaintiff must show that this seizure was “unreasonable” under the Fourth
9 Amendment; and third, the plaintiff must show that the defendant in question should be held liable
10 for the violation. Berg, 219 F.3d at 269.204
11
12 Types of “seizures.” Obviously, an arrest constitutes a seizure; but measures short of
13 arrest also count as seizures for Fourth Amendment purposes. “[W]henever a police officer accosts
14 an individual and restrains his freedom to walk away, he has ‘seized’ that person.” Terry v. Ohio,
15 392 U.S. 1, 16 (1968); see also id. at 19 n.16 (seizure occurs “when the officer, by means of
16 physical force or show of authority, has in some way restrained the liberty of a citizen”).205 For
204
As to the third step of this test, the simplest case is presented by a defendant who
intentionally seized the plaintiff. Such a defendant should be held liable if the seizure was
unreasonable and the defendant lacks qualified immunity.
A more complicated question arises when a defendant intends that another person be
seized, but a fellow officer, acting on that defendant’s directions, seizes the plaintiff instead. The
Court of Appeals has suggested that a claim may be stated against such a defendant if the
plaintiff can show deliberate indifference. See Berg, 219 F.3d at 274 (“Where a defendant does
not intentionally cause the plaintiff to be seized, but is nonetheless responsible for the seizure, it
may be that a due process ‘deliberate indifference’ rather than a Fourth Amendment analysis is
appropriate.”).
This Comment focuses on the first two steps of the inquiry – seizure and
unreasonableness.
205
“[A] Fourth Amendment seizure . . . [occurs] only when there is a governmental
termination of freedom of movement through means intentionally applied.” Brower v. County of
Inyo, 489 U.S. 593, 596-97 (1989) (emphasis in original). “A seizure occurs even when an
unintended person is the object of detention, so long as the means of detention are intentionally
applied to that person.” Berg, 219 F.3d at 269. “For example, if a police officer fires his gun at
a fleeing robbery suspect and the bullet inadvertently strikes an innocent bystander, there has
been no Fourth Amendment seizure. . . . If, on the other hand, the officer fires his gun directly at
the innocent bystander in the mistaken belief that the bystander is the robber, then a Fourth
157
Last updated July 2019
4.12 Section 1983 – Unlawful Seizure
1 instance, “[t]emporary detention of individuals during the stop of an automobile by the police,
2 even if only for a brief period and for a limited purpose, constitutes a ‘seizure’ . . . .” Whren v.
3 United States, 517 U.S. 806, 809 (1996).206 “A seizure does not occur every time a police officer
4 approaches someone to ask a few questions. Such consensual encounters are important tools of
5 law enforcement and need not be based on any suspicion of wrongdoing.” Johnson v. Campbell,
6 332 F.3d 199, 205 (3d Cir. 2003). However, “an initially consensual encounter between a police
7 officer and a citizen can be transformed into a seizure or detention within the meaning of the Fourth
8 Amendment, ‘if, in view of all the circumstances surrounding the incident, a reasonable person
9 would have believed that he was not free to leave.’ ” I.N.S. v. Delgado, 466 U.S. 210, 215 (1984)
10 (quoting United States v. Mendenhall, 446 U.S. 544, 554 (1980) (Stewart, J., joined by Rehnquist,
11 J.). The Supreme Court has subsequently refined this test; it now asks “whether a reasonable
12 person would feel free to decline the officers' requests or otherwise terminate the encounter.”
An officer’s attempt to stop a suspect through a show of authority does not constitute a
seizure if the attempt is unsuccessful. See California v. Hodari D., 499 U.S. 621, 626 (1991)
(“An arrest requires either physical force . . . or, where that is absent, submission to the assertion
of authority” (emphasis in original).). See also United States v. Waterman, 569 F.3d 144, at 146
(3d Cir. 2009) (officers’ drawing their guns did not count as “physical force” within the meaning
of Hodari D.); United States v. Smith, 575 F.3d 308, 311, 316 (3d Cir. 2009) (after officer asked
Smith to place his hands on patrol car’s hood so that officers “could ‘speak with him further,’”
Smith’s two steps toward the car, prior to fleeing, did not “manifest submission” under the
circumstances); see also United States v. Bey, 911 F.3d 139, 144 (3d Cir. 2018) (holding that a
seizure occurred at the moment the defendant “submitted to police authority by raising his hands
and turning to face the officers who had drawn their guns”); United States v. Hester, 910 F.3d
78, 87 (3d Cir. 2018) (holding that the defendant submitted to authority when he “waited in the
passenger seat when two police cars boxed in [the] car along the curb and four officers
approached the car on foot, and he continued to wait as one of the officers questioned [the driver]
and ordered her out of the car. Unlike in Smith, by the time Hester said he could drive, stood up,
and tried to run, Hester had long since submitted to authority.”); United States v. Lowe, 791 F.3d
424, 434 (3d Cir. 2015) (holding that “when a stationary suspect reacts to a show of authority by
not fleeing, making no threatening movement or gesture, and remaining stationary, he has
submitted under the Fourth Amendment and a seizure has been effectuated” and declining to
“equate Lowe's few backward steps upon seeing several uniformed officers rush toward him with
headlong flight”).
206
See also Brendlin v. California, 127 S. Ct. 2400, 2406-07 (2007) (holding that
“during a traffic stop an officer seizes everyone in the vehicle, not just the driver”).
158
Last updated July 2019
4.12 Section 1983 – Unlawful Seizure
1 United States v. Drayton, 536 U.S. 194, 202 (2002) (quoting Florida v. Bostick, 501 U.S. 429, 436
2 (1991)); see also Drayton, 536 U.S. at 202 (noting that “[t]he reasonable person test . . . is objective
3 and ‘presupposes an innocent person’ ” (quoting Bostick, 501 U.S. at 438)); United States v.
4 Hester, 910 F.3d 78, 85–86 (3d Cir. 2018) (holding that a reasonable person would not feel free to
5 ignore police officers who placed a marked police cruiser at the driver’s side of a parked car and
6 an unmarked car behind, positioned themselves around the vehicle, near any potential exit points,
7 and told the driver to turn off the engine); United States v. De Castro, 905 F.3d 676 (3d Cir. 2018)
8 (holding that a police officer’s request that De Castro remove his hands from his pockets did not
9 constitute a seizure because the request was made once, in a polite conversational tone, and no
10 threats were made or weapons drawn); Haberle v. Troxell, 885 F.3d 170 (3d Cir. 2018) (holding
11 that an officer who merely knocked on the door of an apartment and announced his presence did
12 not seize the person in the apartment —even if the action was unwise, crude, and had tragic
13 consequences).207 When a police officer claims to have been seized by a superior officer, it is
207
Citing Drayton, the Court of Appeals has rejected the view that a seizure
should be presumed when officers approach a person for questioning based on a tip. See
United States v. Crandell, 554 F.3d 79, 85 (3d Cir. 2009) (“The subjective intent
underlying an officer’s approach does not affect the seizure analysis.... [A] seizure does
not occur simply because an officer approaches an individual ... to ask questions....
Therefore, a tip police received that motivates their encounter with an individual merely
serves to color the backstory at this stage.”).
In James v. City of Wilkes-Barre, 700 F.3d 675 (3d Cir. 2012), police responded
to a 911 call reporting that the plaintiff’s daughter planned to commit suicide by taking
pills. The defendant officer told the plaintiff and her husband that the daughter “had to
go to the hospital for an evaluation.” The parents demurred, but after the defendant said
that he would charge them with a crime if their daughter remained at home and suffered
injury, they agreed to let her go. The defendant told the parents that “that one of them
would need to accompany” their daughter to the hospital. Plaintiff initially refused, but
agreed to go after the defendant “persisted.” Id. at 678. The court of appeals held that
these allegations did not ground Fourth Amendment claims for false arrest or false
imprisonment because no seizure had taken place. The plaintiff’s “assertion that she felt
compelled by law” did not “establish that a reasonable person would have felt she had no
choice but to comply.” Id. at 681. Though “intimidating police behavior might, under
some circumstances, cause one to reasonably believe that compliance is compelled,” the
allegations here did not ground such a claim: Plaintiff did not allege that the officers touched
her, showed a weapon, “order[ed] her to the police station,” “threaten[ed] to arrest her” if she did
not comply, or used “a threatening presence.” The court held that the threat to arrest the parents
if they refused to let their daughter go to the hospital did not relate to the question of whether the
mother was seized when the defendant told her that one of the parents must accompany the
159
Last updated July 2019
4.12 Section 1983 – Unlawful Seizure
1 important to distinguish between situations in which a reasonable officer would feel that he must
2 obey a command for fear of losing his job (which is not a Fourth Amendment seizure) and
3 situations in which a reasonable officer would feel that he would be detained if he attempted to
4 leave (which is). Gwynn v. Philadelphia, 719 F.3d 295, 299-302 (3d Cir. 2013) (distinguishing
5 between orders by a superior officer acting as employer and orders by a superior officer acting as
6 law enforcement agent).
7
8 As discussed below, the degree of justification required to render a seizure reasonable
9 under the Fourth Amendment varies with the nature and scope of the seizure.208 “The principal
10 components of a determination of reasonable suspicion or probable cause will be the events which
11 occurred leading up to the stop or search, and then the decision whether these historical facts,
12 viewed from the standpoint of an objectively reasonable police officer, amount to reasonable
13 suspicion or to probable cause.” Ornelas v. U.S., 517 U.S. 690, 696 (1996).209 “The Fourth
14 Amendment tolerates only reasonable mistakes, and those mistakes—whether of fact or of law—
15 must be objectively reasonable.” Heien v. North Carolina, 135 S. Ct. 530, 539 (2014).
16
17 Justification of seizure based upon “reasonable suspicion.” See Comment 4.12.1 for a
18 discussion of Terry stops.
19
20 Justification of seizure based upon execution of a search warrant. “Under Michigan v.
21 Summers, 452 U.S. 692 (1981), during execution of a search warrant, police can detain the
22 occupant of the house they have a warrant to search. This is reasonable to protect the police, to
23 prevent flight, and generally to avoid dangerous confusion.” Baker v. Monroe Tp., 50 F.3d 1186,
24 1191 (3d Cir. 1995); see also Muehler v. Mena, 125 S. Ct. 1465, 1472 (2005) (holding that, under
25 the circumstances, officers’ detention of house resident in handcuffs during execution of search
160
Last updated July 2019
4.12 Section 1983 – Unlawful Seizure
1 warrant on house “did not violate the Fourth Amendment”); id. (opinion of Kennedy, J.)
2 (concurring, but stressing the need to “ensure that police handcuffing during searches becomes
3 neither routine nor unduly prolonged”); Los Angeles County v. Rettele, 127 S. Ct. 1989, 1991,
4 1993 (2007) (per curiam) (holding that officers searching house under valid warrant did not violate
5 the Fourth Amendment rights of innocent residents whom they forced to stand naked for one to
6 two minutes, because one suspect was known to have a firearm and the residents’ bedding could
7 have contained weapons); United States v. Allen, 618 F.3d 404, 409-10 (3d Cir. 2010) (finding
8 detention constitutional under Rettele where, inter alia, “the police ... were executing a valid search
9 warrant for evidence at a bar located in a high-crime area, where patrons were known to carry
10 firearms, and where several firearm-related crimes had recently been committed” and “the
11 detention ... was just long enough for the police to ensure their safety and collect the evidence they
12 sought”). However, law enforcement officials’ “categorical authority [under Summers] to detain
13 incident to the execution of a search warrant must be limited to the immediate vicinity of the
14 premises to be searched.” Bailey v. United States, 133 S. Ct. 1031, 1041 (2013). In Bailey, officers
15 tailed two individuals who departed from the property that housed the apartment that was the
16 subject of the search warrant, and stopped them about a mile away. See id. at 1036. Thus, in
17 holding that Summers did not justify the stop, the Bailey Court did not have occasion to specify
18 what it meant by “immediate vicinity,” but it explained that “[l]imiting the rule in Summers to the
19 area in which an occupant poses a real threat to the safe and efficient execution of a search warrant
20 ensures that the scope of the detention incident to a search is confined to its underlying
21 justification.” Id. at 1042 (noting that relevant factors “includ[e] the lawful limits of the premises,
22 whether the occupant was within the line of sight of his dwelling, [and] the ease of reentry from
23 the occupant's location”).
24
25 Justification of seizure based upon “probable cause.” See Comment 4.12.2 for a discussion
26 of probable cause.
27
28 Justification of seizure of a material witness. The Court of Appeals has determined that
29 “[t]he liberty interests of a detained material witness are protected by the Fourth Amendment.”
30 Schneyder v. Smith, 653 F.3d 313, 328 (3d Cir. 2011). The Fourth Amendment analysis of such a
31 seizure does not involve an assessment of probable cause. Rather, the decisionmaker must balance
32 the witness’s interest in not being detained against the government’s interest in assuring the
33 witness’s presence to testify. See id. at 328-29.210 As to any given Section 1983 defendant, the
210
Because the plaintiff in Schneyder had effectively conceded the constitutionality of
the initial detention (and challenged only her detention after the trial was continued), the Court of
Appeals noted but did not address the possible argument
that because (i) the Fourth Amendment requires that warrants be supported by
probable cause, and (ii) ‘probable cause[]’ [to believe that the person to be seized
161
Last updated July 2019
4.12 Section 1983 – Unlawful Seizure
1 decisionmaker must also determine whether the defendant’s conduct was “a substantial factor” in
2 the detention. Id. at 327-28 (holding that prosecutor’s alleged failure to inform court of
3 continuance of trial for which material witness had been detained was a substantial factor in the
4 continued detention where that prosecutor “was the only official who was in a position to do
5 anything about [the witness’s] incarceration”). See also id. at 328 n.20 (noting “the potential ...
6 for a superseding cause argument” based on the notion that the judge might have ordered continued
7 detention even if he had been told of the continuance, but ruling that “[p]roximate cause is ...
8 generally a question for the jury ... and there is ample evidence that [the judge] would have released
9 Schneyder without hesitation had Smith lived up to her obligations”).
10
11 Arrests upon warrant. See Comment 4.12.3 for a discussion of claims arising from an
12 arrest upon a warrant.
13
14 Arrests without a warrant. See Comment 4.12.2 for a discussion of claims arising from
15 warrantless arrests.
16
17 Seizures based on community caretaking. In Vargas v. City of Philadelphia, 783 F.3d 962
18 (3d Cir. 2015), the court of appeals held that “the community caretaking doctrine can apply in
19 situations when . . . a person outside of a home has been seized for a non-investigatory purpose
20 and to protect that individual or the community at large.” Id. at 972; cf. Ray v. Township of Warren,
21 626 F.3d 170, 177 (3d Cir. 2010) (“The community caretaking doctrine cannot be used to justify
22 warrantless searches of a home.”). See generally Cady v. Dombrowski, 413 U.S. 433, 441 (1973)
23 (“Local police officers, unlike federal officers, frequently investigate vehicle accidents in which
24 there is no claim of criminal liability and engage in what, for want of a better term, may be
25 described as community caretaking functions, totally divorced from the detection, investigation,
26 or acquisition of evidence relating to the violation of a criminal statute.”)
27
has committed a crime] cannot exist for a person seized only as a material
witness, the entire practice of issuing warrants for and arresting material witnesses
is unconstitutional. See [Ashcroft v. Al-Kidd], 131 S. Ct. [2074,] 2084B85
[(2011)] (suggesting the possibility of such an argument but noting that plaintiff
in that case had not taken that position); id. at 2085B86 (Kennedy, J., concurring)
(observing that “[t]he scope of the [material witness] statute's lawful authorization
is uncertain” because of a possible conflict with the Warrants Clause, but
indicating that “material witness arrests might still be governed by the Fourth
Amendment's separate reasonableness requirement for seizures of the person”) ....
162
Last updated July 2019
4.12 Section 1983 – Unlawful Seizure
1 Holding the plaintiff after arrest. The Court of Appeals has observed that the law “is not
2 entirely settled” as to whether a police officer can be liable under Section 1983 for failing to try to
3 secure the plaintiff’s release when exculpatory evidence comes to light after a lawful arrest. Wilson
4 v. Russo, 212 F.3d 781, 792 (3d Cir. 2000) (citing Brady v. Dill, 187 F.3d 104, 112 (1st Cir. 1999);
5 id. at 117-125 (Pollak, D.J., concurring); Sanders v. English, 950 F.2d 1152, 1162 (5th Cir. 1992);
6 BeVier v. Hucal, 806 F.2d 123, 128 (7th Cir. 1986)); compare Rogers v. Powell, 120 F.3d 446,
7 456 (3d Cir. 1997) (“Continuing to hold an individual in handcuffs once it has been determined
8 that there was no lawful basis for the initial seizure is unlawful within the meaning of the Fourth
9 Amendment.”).
10
11 The Heck v. Humphrey bar. If a convicted prisoner must show that his or her conviction
12 was erroneous in order to establish the Section 1983 unlawful arrest claim,211 then the plaintiff
13 cannot proceed with the claim until the conviction has been reversed or otherwise invalidated. See
14 Heck v. Humphrey, 512 U.S. 477, 486-87 & n.6 (1994) (giving the example of a conviction “for
15 the crime of resisting arrest, defined as intentionally preventing a peace officer from effecting a
16 lawful arrest”).212 However, the Heck impediment is only triggered once there is a criminal
17 conviction. See Wallace v. Kato, 127 S. Ct. 1091, 1097-98 (2007) (holding that “the Heck rule for
18 deferred accrual is called into play only when there exists ‘a conviction or sentence that has not
19 been ... invalidated,’ that is to say, an ‘outstanding criminal judgment.’ ”). Notably, Heck bars a
20 plaintiff from pressing a claim but does not toll the running of the limitations period. See Wallace,
21 127 S. Ct. at 1099. Under Wallace, a false arrest claim accrues at the time of the false arrest, and
22 the limitations period runs from the point when the plaintiff is no longer detained without legal
23 process. Wallace, 127 S. Ct. at 1096 (“Reflective of the fact that false imprisonment consists of
211
The Third Circuit has reasoned that “[b]ecause a conviction and sentence may
be upheld even in the absence of probable cause for the initial stop and arrest . . . claims
for false arrest and false imprisonment are not the type of claims contemplated by the
Court in Heck which necessarily implicate the validity of a conviction or sentence.”
Montgomery v. De Simone, 159 F.3d 120, 126 n.5 (3d Cir. 1998); but see Gibson v.
Superintendent of NJ Dept. of Law and Public Safety - Division of State Police, 411 F.3d
427, 450-51 (3d Cir. 2005) (“Heck does not set forth a categorical rule that all Fourth
Amendment claims accrue at the time of the violation. This Court's determination that the
plaintiff's false arrest claim in Montgomery qualified as an exception to the Heck deferral
rule, and thus accrued on the night of the arrest, does not mandate a blanket rule that all
false arrest claims accrue at the time of the arrest.”). Cf. Rose v. Bartle, 871 F.2d 331,
350-51 (3d Cir. 1989) (expressing doubt concerning the holding of another Circuit that
“conviction is a complete defense to a section 1983 action for false arrest”).
212
It is unclear whether this bar also applies to persons no longer in custody. See
infra Comment to Instruction 4.13.
163
Last updated July 2019
4.12 Section 1983 – Unlawful Seizure
1 detention without legal process, a false imprisonment ends once the victim becomes held pursuant
2 to such process – when, for example, he is bound over by a magistrate or arraigned on charges.”).
3
4 Relationship to malicious prosecution claims. The common law tort of false arrest covers
5 the time up to the issuance of process, whereas the common law tort of malicious prosecution
6 would cover subsequent events. See Heck, 512 U.S. at 484; Wallace, 127 S. Ct. at 1096; see also
7 Montgomery, 159 F.3d at 126 (“A claim for false arrest, unlike a claim for malicious prosecution,
8 covers damages only for the time of detention until the issuance of process or arraignment, and not
9 more.”); Hector v. Watt, 235 F.3d 154, 156 (3d Cir. 2000), as amended (Jan. 26, 2001) (“[F]alse
10 arrest does not permit damages incurred after an indictment.”). Regarding malicious prosecution
11 claims, see Instruction 4.13.
164
Last updated July 2019
4.12.1 Section 1983 – Unlawful Seizure – Terry Stop and Frisk
suspicion.”
This sentence may be included if there is relevant evidence of the officer’s training
214
and/or experience.
165
Last updated July 2019
4.12.1 Section 1983 – Unlawful Seizure – Terry Stop and Frisk
166
Last updated July 2019
4.12.1 Section 1983 – Unlawful Seizure – Terry Stop and Frisk
1 Such stops require “reasonable suspicion,” which is assessed by reference to the “totality
concealed weapons.” Adams, 407 U.S. at 146 (quoting Terry, 392 U.S. at 24). To fall
within this principle, such a search “must be limited to that which is necessary for the
discovery of weapons which might be used to harm the officer or others nearby.” Terry,
392 U.S. at 26. As the Supreme Court more recently explained:
Arizona v. Johnson, 129 S. Ct. 781, 784 (2009). See also United States v. Murray, 821 F.3d 386
(3d Cir. 2016) (holding that a Terry frisk was appropriate when “officers were lawfully present
in a motel room (not a home) and conducted a limited pat-down search for weapons when
Murray arrived unexpectedly on the scene presenting a potential threat to their safety”).
If during such a search the officer detects “nonthreatening contraband,” the officer
may seize that contraband. Minnesota v. Dickerson, 508 U.S. 366, 373 (1993). As the
Court of Appeals has summarized the test:
United States v. Yamba, 506 F.3d 251, 259 (3d Cir. 2007).
167
Last updated July 2019
4.12.1 Section 1983 – Unlawful Seizure – Terry Stop and Frisk
1 of the circumstances.” Karnes, 62 F.3d at 495; see also Terry, 392 U.S. at 21-22 (analysis
2 considers “the facts available to the officer at the moment of the seizure”);217 Johnson v. Campbell,
3 332 F.3d 199, 206 (3d Cir. 2003) (holding that “officers may rely on a trustworthy second hand
4 report, if that report includes facts that give rise to particularized suspicion”).218 “Based upon that
217
See United States v. Lewis, 672 F.3d 232, 237-38 (3d Cir. 2012) (holding that
illegally tinted car windows could not justify stop of car absent any testimony that
officers noticed the tinting prior to making the stop).
In United States v. Whitfield, 634 F.3d 741 (3d Cir. 2010), the court of appeals rejected a
defendant’s contention that it should look only to the knowledge of the officer who actually
seized the defendant and not to the knowledge of another officer on the scene, which knowledge
was unknown to the arresting officer. The court applied the “collective knowledge doctrine,”
which imputes “the knowledge of one law enforcement officer ... to the officer who actually
conducted the seizure, search, or arrest.” Id. at 745; see also id. at 746 (“It would make
little sense to decline to apply the collective knowledge doctrine in a fast-paced, dynamic
situation such as we have before us, in which the officers worked together as a unified
and tight-knit team; indeed, it would be impractical to expect an officer in such a
situation to communicate to the other officers every fact that could be pertinent in a
subsequent reasonable suspicion analysis.”).
218
Where the basis for the officer’s suspicion is an anonymous tip, corroboration
is important. “Unlike a tip from a known informant whose reputation can be assessed
and who can be held responsible if her allegations turn out to be fabricated . . . , ‘an
anonymous tip alone seldom demonstrates the informant's basis of knowledge or
veracity.’” Florida v. J.L., 529 U.S. 266, 270 (2000) (quoting Alabama v. White, 496
U.S. 325, 329 (1990)). Cf. United States v. Mathurin, 561 F.3d 170, 176 (3d Cir. 2009)
(“We need not undertake the established legal methods for testing the reliability of this
tip because a tip from one federal law enforcement agency to another implies a degree of
expertise and a shared purpose in stopping illegal activity, because the agency's identity
is known.”); United States v. Benoit, 730 F.3d 280, 285 (3d Cir. 2013) (extending the
rationale of Mathurin to foreign authorities “with whom our country has a working
relationship to prevent drug trafficking”). Nonetheless, “there are situations in which an
anonymous tip, suitably corroborated, exhibits ‘sufficient indicia of reliability to provide
reasonable suspicion to make the investigatory stop.’” J.L., 529 U.S. at 270 (quoting
White, 496 U.S. at 327); see also United States v. Silveus, 542 F.3d 993, 1000 (3d Cir.
2008) (reasonable suspicion rested in large part on anonymous tip that “appeared to be
reliable, given that it was corroborated by the agents' prior knowledge”).
In United States v. Torres, 534 F.3d 207 (3d Cir. 2008), the Court of Appeals
168
Last updated July 2019
4.12.1 Section 1983 – Unlawful Seizure – Terry Stop and Frisk
1 whole picture the detaining officers must have a particularized and objective basis for suspecting,”
2 U.S. v. Cortez, 449 U.S. 411, 417 (1981), that the specific person they stop “has committed, is
3 committing, or is about to commit a crime,” Berkemer v. McCarty, 468 U.S. 420, 439 (1984).219
4 Reasonable suspicion can arise from “an officer's observation of entirely legal acts, where the acts,
5 when viewed through the lens of a police officer's experience and combined with other
6 circumstances, [lead] to an articulable belief that a crime [is] about to be committed.” Johnson,
based its finding of reasonable suspicion on the information provided by a taxi driver’s
911 call; the court noted that this call constituted a tip by “an innominate (i.e.,
unidentified) informant who could be found if his tip proved false rather than an
anonymous (i.e., unidentifiable) tipster who could lead the police astray without fear of
accountability.” As the court summarized the evidence: “[T]he informant provided a
detailed account of the crime he had witnessed seconds earlier, gave a clear account of
the weapon and the vehicle used by Torres, and specified his own occupation, the kind
and color of the car he was driving, and the name of his employer. The veracity and detail
of this information were enhanced by the fact that the informant continued to follow
Torres, providing a stream of information meant to assist officers in the field.” Id. at 213.
See also United States v. Johnson, 592 F.3d 442, 449-50 (3d Cir. 2010) (reasonable
suspicion existed based on non-anonymous 911 call reporting a shooting and providing
details – some of which matched police observations – regarding vehicle containing persons
involved in the shooting); Prado Navarette v. California, 134 S. Ct. 1683 (2014) (upholding
stop based on an anonymous tip where the tipster claimed eyewitness knowledge of dangerous
driving by a specific vehicle, the timeline suggested that it was a contemporaneous report given
under the stress of the startling event of being run off the road, and the tipster used the 911
calling system, which can be recorded and traced); United States v. McCants, 920 F.3d 169, 177
(3d Cir. 2019) (holding that police officers had reasonable suspicion where anonymous “caller
used the 911 system to report an eyewitness account of domestic violence and provided the
officers with a detailed description of the suspect and location, both of which were quickly
confirmed by the police”).
219
The requisite reasonable suspicion focuses on the elements of the crime and not on an
affirmative defense. Compare United States v. Gatlin, 613 F.3d 374, 377-79 (3d Cir. 2010)
(rejecting defendant’s argument – that officers lacked reasonable suspicion because they did not
know “whether he was licensed to carry a concealed weapon” – on the ground that under
Delaware law possession of a license is an affirmative defense), with United States v. Lewis, 672
F.3d 232, 240 (3d Cir. 2012) (in holding that tip concerning firearms in car did not provide
reasonable suspicion to justify the stop of the car, relying on fact that “Virgin Islands law
contains no presumption that an individual lacks a permit to carry a firearm”).
169
Last updated July 2019
4.12.1 Section 1983 – Unlawful Seizure – Terry Stop and Frisk
1 332 F.3d at 207.220 United States v. Graves, 877 F.3d 494, 499 (3d Cir. 2017) (finding reasonable
2 suspicion because the events occurred in a high crime area, the defendant and his companion were
3 dressed in clothing similar to suspects described as walking away from the location of gunshots,
4 and the defendant was walking in a manner that the officer viewed as indicating he was armed,
5 even though “these factors standing in isolation may not have been sufficient”); United States v.
6 Foster, 891 F.3d 93, 105 (3d Cir. 2018) (finding reasonable suspicion even though the only
7 description that the officer had of the suspect was that he was a black male, because the
8 “geographic and temporal proximity of [the defendant] to the stolen car and the lack of any other
9 suspect matching the general description of the suspect, along with [the officer’s] long experience
10 and familiarity with the area,” which included his knowledge “that it was rare to see anybody other
11 than two white special needs adults walking along the stretch of road where [the defendant] was
12 stopped”); United States v. Green, 897 F.3d 173, 183-85 (3d Cir. 2018) (emphasizing that the
13 totality of the circumstances included a prior stop (and consensual search that found no
14 contraband) of the same driver in the same car by the same officer the previous day). See also
15 United States v. Hester, 910 F.3d 78, 87–88 (3d Cir. 2018) (holding that police officers had
16 reasonable suspicion where they “observed a vehicle illegally idling near a crosswalk, in front of
17 a store with a known history of narcotics-related activity, close to midnight, in a high-crime area
18 of Newark”); United States v. Bey, 911 F.3d 139 (3d Cir. 2018) (holding that police officers had
19 reasonable suspicion when they approached a person of the same race and gender as the fleeing
20 suspect who was “wearing clothing similar to that worn by the fleeing suspect and . . . where police
21 expected to find that suspect”).
22
23 The test is an objective one; “subjective good faith” does not suffice to justify a stop. Terry,
24 392 U.S. at 22. However, “reasonable suspicion can rest on a mistaken understanding of the scope
25 of a legal prohibition.” Heien v. North Carolina, 135 S. Ct. 530 (2014).221
220
As the Court explained in Cortez, “The analysis proceeds with various objective
observations, information from police reports, if such are available, and consideration of the
modes or patterns of operation of certain kinds of lawbreakers. From these data, a trained
officer draws inferences and makes deductions – inferences and deductions that might well elude
an untrained person.” Cortez, 449 U.S. at 418. See also United States v. Navedo, 694 F.3d 463,
468 (3d Cir. 2012) (holding that “[t]he reasonable suspicion required under Terry is specific to
the person who is detained”).
221
This approach is more forgiving of an officer’s mistake of law than the prior doctrine
in the Third Circuit, which found reasonable suspicion only if an officer who understood the law
correctly would have had reasonable suspicion. See United States v. Delfin-Colina, 464 F.3d
392, 400-01 (3d Cir. 2006) (noting that the officer “made a significant mistake of law,” but
“because an objective review of the facts shows that an officer who correctly interpreted [the
statute] and was in [the officer’s] position would have possessed reasonable suspicion . . . . [the]
170
Last updated July 2019
4.12.1 Section 1983 – Unlawful Seizure – Terry Stop and Frisk
1
2 The scope of the ensuing stop222 and questioning must be proportionate to the reasonable
3 suspicion, and unless that inquiry yields probable cause the officers must then let the person go.
4 See Berkemer, 468 U.S. at 439-40.223 “[T]here is no per se rule about the length of time a suspect
5 may be detained before the detention becomes a full-scale arrest”; rather, “the court must examine
6 the reasonableness of the detention.” Baker, 50 F.3d at 1192 (holding that “a detention of fifteen
7 minutes time to identify and release a fairly large group of people during a drug raid” is not
8 “unreasonable”). “[I]n assessing the effect of the length of the detention,” the Court “take[s] into
9 account whether the police diligently pursue their investigation.” U.S. v. Place, 462 U.S. 696, 709
10 (1983); United States v. Foster, 891 F.3d 93, 106-07 (3d Cir. 2018) (holding that the scope of a
11 permissible Terry stop was not exceeded even though the suspect was put in handcuffs and
12 transported a short distance for identification).
13 In United States v. Bey, 911 F.3d 139 (3d Cir. 2018), the court of appeals held that the
14 “police were justified in drawing their guns and ordering Bey to raise his hands and turn around,”
15 but that “once Bey turned around, officers should have noticed the clear differences in appearance
16 and age between” Bey and the fleeing suspect they were seeking. At that point, the “seizure should
17 have terminated,” because the suspicion was no longer reasonable. Id. at 146-47. Cf. United States
18 v. McCants, 920 F.3d 169 (3d Cir. 2019) (rejecting the argument that “no officer could have
19 reasonable suspicion of ongoing domestic violence after” seeing that the alleged victim “was
20 composed and unscathed,” and noting the risk that an armed man might threaten a woman with
21 future violence if she does not remain calm when police arrive).
22
23 Although a police officer has reasonable suspicion of a traffic violation to justify a stop to
24 investigate that violation, he may not extend an otherwise-completed traffic stop, absent
25 reasonable suspicion of a drug offense, in order to conduct a dog sniff. Rodriguez v. United States,
171
Last updated July 2019
4.12.1 Section 1983 – Unlawful Seizure – Terry Stop and Frisk
1 135 S. Ct. 1609 (2015); see United States v. Green, 897 F.3d 173, 179-82 (3d Cir. 2018)
2 (discussing the difficulty in determining the moment—the “Rodriguez moment”—when a valid
3 Terry stop for a traffic violation is unreasonably extended to investigate other crime); United States
4 v. Clark, 902 F.3d 404, 411 (3d Cir. 2018) (holding that once the officer had confirmed that the
5 vehicle belonged to the driver’s mother, the officer could no longer have reasonably questioned
6 the driver’s authority to operate the vehicle; therefore, questions about the driver’s criminal history
7 were not tied to the mission of the traffic stop and impermissibly extended the stop). See also
8 United States v. Thompson, 772 F.3d 752, 759 (3d Cir. 2014) (holding that an officer had
9 reasonable suspicion for a drug sniff after a traffic stop because the defendant was “visibly nervous,
10 with a shaky voice and a vein on his neck pulsating rapidly,” his “answers to questions came out
11 hesitatingly,” and the amount of his luggage “appeared to be inconsistent with the stated length of
12 the trip”).
13
14 A Terry stop carries with it the right to use some degree of physical coercion. In Carman
15 v. Carroll, 749 F.3d 192 (3d Cir. 2014), rev’d on other grounds, 135 S. Ct. 348 (2014), an officer
16 was searching for an armed man and encountered an unidentified man who turned away and
17 appeared to reach for his waist. The officer grabbed the man’s arm until he saw that the man was
18 unarmed. The court upheld a jury verdict that the officer acted reasonably in grabbing the man’s
19 arm.
20
21 As noted in the Comment to Instruction 4.12.2, in the case of a warrantless arrest, Third
22 Circuit caselaw divides as to the burden of proof regarding probable cause. By contrast, the
23 caselaw does not appear to have addressed the burden of proof regarding reasonable suspicion in
24 the case of a Terry stop; but one district court decision concerning an analogous issue suggests that
25 the burden would be on the plaintiff. See Armington v. School Dist. of Philadelphia, 767 F. Supp.
26 661, 667 (E.D. Pa.) (in Section 1983 case involving school district’s order that bus driver undergo
27 urinalysis, holding that the bus driver plaintiff “has the burden of proving that defendant lacked
28 reasonable suspicion”), aff’d without opinion, 941 F.2d 1200 (3d Cir. 1991).
172
Last updated July 2019
4.12.2 Section 1983 – Unlawful Seizure – Arrest – Probable Cause
224
Include this paragraph only if the defendant disputes that an arrest occurred.
225
Include this phrase only if the defendant disputes that an arrest occurred.
226
In the case of a warrantless arrest, some Third Circuit caselaw supports the view that
the defendant has the burden of proof as to probable cause, but other Third Circuit precedent
indicates the contrary. See Comment 4.12.2. Accordingly, the model includes alternative
language concerning the burden on this issue.
173
Last updated July 2019
4.12.2 Section 1983 – Unlawful Seizure – Arrest – Probable Cause
1 a misdemeanor, not a felony. This means that because [defendant] did not have a warrant for the
2 arrest, [defendant] could only arrest [plaintiff] for [name offense] if [plaintiff] committed [name
3 offense] in [defendant’s] presence.]227
4
5 [In this case the state prosecutor decided not to prosecute the criminal charge against
6 [plaintiff]. The decision whether to prosecute is within the prosecutor’s discretion, and he or she
7 may choose not to prosecute a charge for any reason. Thus, the decision not to prosecute [plaintiff]
8 does not establish that [defendant] lacked probable cause to arrest [plaintiff]. You must determine
9 whether [defendant] had probable cause based upon the facts and circumstances known to
10 [defendant] at the time of the arrest, not what happened afterwards.]
11
12 Probable cause requires more than mere suspicion; however, it does not require that the
13 officer have evidence sufficient to prove guilt beyond a reasonable doubt. The standard of
14 probable cause represents a balance between the individual’s right to liberty and the government’s
15 duty to control crime. Because police officers often confront ambiguous situations, room must be
16 allowed for some mistakes on their part. But the mistakes must be those of reasonable officers.
17
18 [As I told you earlier, [plaintiff] must prove that [defendant] intended to commit the acts
19 in question; but apart from that requirement, [defendant’s] actual motivation is irrelevant. If
20 [defendant’s] actions constituted an unreasonable seizure, it does not matter whether [defendant]
21 had good motivations. And an officer’s improper motive is irrelevant to the question whether the
22 objective facts available to the officer at the time gave rise to probable cause.]228
23
24
25 Comment
26
27 Justification of seizure based upon “probable cause.” “The Fourth Amendment prohibits
28 a police officer from arresting a citizen except upon probable cause.” Rogers v. Powell, 120 F.3d
29 446, 452 (3d Cir. 1997); see also Patzig v. O'Neil, 577 F.2d 841, 848 (3d Cir. 1978) (“Clearly, an
227
Third Circuit caselaw has not clearly settled whether warrantless arrests for
misdemeanors committed outside the officer’s presence are permitted by the Fourth Amendment.
See Comment.
228
If Instruction 4.12.3 (concerning warrant applications) will be given, it may be
advisable to revise or omit this paragraph, because, as stated in Instruction 4.12.3, the
jury will be directed to consider whether the defendant made deliberately or recklessly
false statements or omissions.
174
Last updated July 2019
4.12.2 Section 1983 – Unlawful Seizure – Arrest – Probable Cause
229
Sometimes there may be a dispute as to whether the defendant in fact
subjected the plaintiff to an arrest rather than merely a lesser type of seizure. “There is
no per se rule that pointing guns at people, or handcuffing them, constitutes an arrest. . . .
But use of guns and handcuffs must be justified by the circumstances . . . .” Baker, 50
F.3d at 1193. (The use of guns or handcuffs can in some circumstances give rise to an
excessive force claim. See id.; see also Kopec v. Tate, 361 F.3d 772, 777 (3d Cir. 2004).)
Whether the seizure rises to the level of an arrest (so as to require probable cause)
depends on the circumstances. See, e.g., Kaupp v. Texas, 538 U.S. 626, 631 (2003) (per
curiam) (holding that arrest occurred in case where defendant “was taken out in
handcuffs, without shoes, dressed only in his underwear in January, placed in a patrol car,
driven to the scene of a crime and then to the sheriff's offices, where he was taken into an
interrogation room and questioned”); Dunaway v. New York, 442 U.S. 200, 212 (1979)
(holding that detention was “in important respects indistinguishable from a traditional
arrest” where suspect was “taken from a neighbor's home to a police car, transported to a
police station, and placed in an interrogation room,” was “never informed that he was
‘free to go,’” and “would have been physically restrained if he had refused to accompany
the officers or had tried to escape their custody”); United State v. Wrensford, 866 F.3d 76
(3d Cir. 2017) (holding that involuntary transportation to the police station and detention
in a cell constituted an arrest); United States v. Foster, 891 F.3d 93, 106–07 (3d Cir.
2018) (holding that the scope of a permissible Terry stop was not exceeded even though
the suspect was put in handcuffs and transported a short distance for identification).
230
In United States v. Sed, 601 F.3d 224 (3d Cir. 2010), the fact that an arrest by
Pennsylvania State Police occurred in Ohio and violated Ohio state law did not establish
a Fourth Amendment violation. See id. at 228. Rather, the Court of Appeals analyzed
the totality of the circumstances – which included the fact that the arrest occurred less
than 100 yards from the Pennsylvania border – and concluded that the seizure was
reasonable because the failure to wait until the suspects entered Pennsylvania “was
nothing more than an honest mistake and a de minimis one at that.” Id. at 229.
175
Last updated July 2019
4.12.2 Section 1983 – Unlawful Seizure – Arrest – Probable Cause
1 must exist “facts and circumstances ‘sufficient to warrant a prudent man in believing that the
2 (suspect) had committed or was committing an offense.’ ” Gerstein, 420 U.S. at 111 (quoting Beck
3 v. Ohio, 379 U.S. 89, 91 (1964)). “Probable cause to arrest requires more than mere suspicion;
4 however, it does not require that the officer have evidence sufficient to prove guilt beyond a
5 reasonable doubt.” Orsatti v. New Jersey State Police, 71 F.3d 480, 482-83 (3d Cir. 1995). Nor
6 does it require an officer to rule out innocent explanations, District of Columbia v. Wesby, 138 S.
7 Ct. 577, 588 (2018), or to believe claims of innocence. Id. at 587-88; Karns v. Shanahan, 879 F.3d
8 504, 523 (3d Cir. 2018). A court should not view each fact in isolation, but rather as part of the
9 totality of the circumstances. For example, in Wesby, the Supreme Court held that there was
10 probable cause to arrest for unlawful entry where “the officers found a group of people who
11 claimed to be having a bachelor party with no bachelor, in a near-empty house, with strippers in
12 the living room and sexual activity in the bedroom, and who fled at the first sign of police,” even
13 though the court of appeals had “identified innocent explanations for most of these circumstances
14 in isolation,” because “this kind of divide-and-conquer approach is improper.” Wesby, 138 S. Ct.
15 at 589. The analysis is a pragmatic one and should be based upon common sense.231
16
17 “Improper motive . . . is irrelevant to the question whether the objective facts available to
18 the officers at the time reasonably could have led the officers to conclude that [the person] was
19 committing an offense.” Estate of Smith v. Marasco, 318 F.3d 497, 514 (3d Cir. 2003); see also
20 Whren v. United States, 517 U.S. 806, 813 (1996) (rejecting the “argument that the constitutional
21 reasonableness of traffic stops depends on the actual motivations of the individual officers
22 involved”); Ashcroft v. Al-Kidd, 131 S. Ct. 2074, 2080-81 (2011) (stating that apart from the
23 “special-needs and administrative-search” contexts, the Court has “almost uniformly rejected
24 invitations to probe subjective intent” when analyzing reasonableness under the Fourth
25 Amendment); Mosley v. Wilson, 102 F.3d 85, 94-95 (3d Cir. 1996).232
231
Discussing the issuance of search warrants, the Court has held:
Illinois v. Gates, 462 U.S. 213, 238-39 (1983) (quoting Jones v. United States, 362 U.S. 257, 271
(1960), overruled on other grounds by United States v. Salvucci, 448 U.S. 83 (1980)).
232
Thus, for example, the fact that an officer was motivated by race would not render an
176
Last updated July 2019
4.12.2 Section 1983 – Unlawful Seizure – Arrest – Probable Cause
1 “In a § 1983 action the issue of whether there was probable cause to make an arrest is
2 usually a question for the jury....” Sharrar v. Felsing, 128 F.3d 810, 818 (3d Cir. 1997); see also
3 Deary v. Three Un-Named Police Officers, 746 F.2d 185, 192 (3d Cir. 1984) (same), overruled on
4 other grounds by Anderson v. Creighton, 483 U.S. 635 (1987); Snell v. City of York, 564 F.3d 659,
5 671-72 (3d Cir. 2009) (“Clarification of the specific factual scenario must precede the probable
6 cause inquiry. We conclude that determining these facts was properly the job of the jury ....”); Pitts
7 v. Delaware, 646 F.3d 151, 156 (3d Cir. 2011) (reversing grant of judgment as a matter of law to
8 defendant, and reasoning that “[t]he jury could have concluded on the evidence that probable cause
9 was lacking” where defendant officer admitted that at the time he detained plaintiff he had not
10 decided whether to arrest him and where defendant’s stated reason for detaining plaintiff – safety
11 concerns – was not mentioned in defendant’s contemporaneous report).233
otherwise proper arrest violative of the Fourth Amendment, though it would raise Equal
Protection issues. See Whren, 517 U.S. at 813 (“[T]he constitutional basis for objecting to
intentionally discriminatory application of laws is the Equal Protection Clause, not the
Fourth Amendment.”); cf. Desi's Pizza, Inc. v. City of Wilkes-Barre, 321 F.3d 411, 425
(3d Cir. 2003) (noting that “selective prosecution may constitute illegal discrimination
even if the prosecution is otherwise warranted”); Gibson v. Superintendent of NJ Dept. of
Law and Public Safety - Division of State Police, 411 F.3d 427, 441 (3d Cir. 2005)
(permitting racially selective law enforcement claim to proceed).
177
Last updated July 2019
4.12.2 Section 1983 – Unlawful Seizure – Arrest – Probable Cause
1
2 The Court of Appeals has suggested that “the burden of proof as to the existence of
3 probable cause may well fall upon the defendant, once the plaintiff has shown an arrest and
4 confinement without warrant.” Patzig, 577 F.2d at 849 n.9; see also Losch v. Borough of
5 Parkesburg, 736 F.2d 903, 909 (3d Cir. 1984) (in case involving malicious prosecution claim,
6 stating that “defendants bear the burden at trial of proving the defense of good faith and probable
7 cause”); compare Comment 4.13 (discussing burden of proof regarding probable cause element of
8 malicious prosecution claims).234 The Patzig court based this observation partly on the burden-
9 shifting scheme at common law, and partly on the Supreme Court’s reasoning in Pierson v. Ray,
10 386 U.S. 547 (1967). See Patzig, 577 F.2d at 849 n.9 (noting that the Pierson Court “spoke of
11 good faith and probable cause as defenses to a [Section] 1983 action for unconstitutional
12 arrest”).235 Some years after deciding Patzig and Losch – and without citing either case – the Court
Although the plaintiff bears the burden of proof on the issue of unlawful
arrest, she can make a prima facie case simply by showing that the arrest was
conducted without a valid warrant. At that point, the burden shifts to the
defendant to provide some evidence that the arresting officers had probable cause
for a warrantless arrest. The plaintiff still has the ultimate burden of proof, but the
burden of production falls on the defendant.
Dubner v. City and County of San Francisco, 266 F.3d 959, 965 (9th Cir. 2001); see also Davis
v. Rodriguez, 364 F.3d 424, 433 n.8 (2d Cir. 2004) (noting circuit split as to “which side carries
the burden regarding probable cause” with respect to Section 1983 false arrest claims).
235
Pierson is distinguishable from a typical Fourth Amendment false arrest case. In
Pierson, clergy members attempting to use a segregated bus terminal in Jackson, Mississippi
were arrested by city police and charged with misdemeanors under a state statute. See Pierson,
386 U.S. at 549. (The state statute was later held unconstitutional as applied to a similar
situation, because it was used to enforce race discrimination in a facility used for
interstate transportation. See id. at 550 n.4.) The core of the plaintiffs’ claims in Pierson,
then, was that the arrests were motivated by a desire to enforce segregation. See id. at
557 (noting plaintiffs’ claim that “the police officers arrested them solely for attempting
to use the 'White Only' waiting room”). That the Court placed the burden on the
defendant officers to prove good faith and probable cause in Pierson, then, may not
conclusively establish that defendants have a similar burden in run-of-the-mill Fourth
178
Last updated July 2019
4.12.2 Section 1983 – Unlawful Seizure – Arrest – Probable Cause
1 of Appeals decided Edwards v. City of Philadelphia, 860 F.2d 568 (3d Cir. 1988). In Edwards,
2 the Court of Appeals addressed the burden of proof on an excessive force claim arising from a
3 warrantless arrest. See id. at 570-71. The Edwards plaintiff “concede[d] that the burden to negate
4 probable cause in making the arrest [fell] to him,” id. at 571, and the Court of Appeals proceeded
5 on that assumption, holding that the plaintiff “ha[d] not demonstrated that” probable cause was
6 absent, id. at 571 n.2. The Court of Appeals further held that the plaintiff had the burden of proving
7 that the force employed was excessive: Analyzing excessive force in the course of an arrest as a
8 deprivation of due process, the court explained that “[t]he occurrence of that deprivation . . . is the
9 first element of the § 1983 claim and, accordingly, proving it is part of the plaintiff's burden.” Id.
10 at 573. In Iafrate v. Globosits, 1989 WL 14062 (E.D. Pa. Feb. 22, 1989), another excessive force
11 case stemming from a warrantless arrest, the court relied on Edwards to hold that the “plaintiff
12 must show that the officer lacked probable cause to effect the arrest, or that the force used was
13 excessive,” id. at *3. It is not clear, accordingly, which party has the burden of proof as to probable
14 cause for a warrantless arrest.
15
16 The Committee has noted a similar question, concerning burden of proof, with respect to
17 the lack-of-probable cause element in claims for malicious prosecution. See infra Comment 4.13.
18 Unlike Instruction 4.12.2 – which provides two alternative formulations, one with the burden on
19 the plaintiff and one with the burden on the defendant – Instruction 4.13 places the burden on the
20 plaintiff. The reason for the difference between the approaches taken in the two instructions is
21 that while recent Third Circuit cases have held that malicious prosecution plaintiffs have the
22 burden of proving lack of probable cause, the caselaw in the context of false arrest claims – as
23 noted above – is more equivocal.
24
25 When the facts alleged to constitute probable cause include an informant’s tip, the presence
26 or absence of probable cause should be determined by assessing the “totality of the circumstances.”
27 Illinois v. Gates, 462 U.S. 213, 230 (1983) (assessing probable cause in the context of a judge’s
179
Last updated July 2019
4.12.2 Section 1983 – Unlawful Seizure – Arrest – Probable Cause
1 issuance of a search warrant). The decisionmaker should consider “all the various indicia of
2 reliability (and unreliability) attending an informant's tip.” Id. at 234. Indicia of reliability can
3 include the fact that an informant has been accurate in the past, or that the informant’s account is
4 first-hand and highly detailed, or that the informant is known to be an honest private citizen, or
5 that the police acquire independent confirmation of some of the details stated in the informant’s
6 tip. See id. at 233-34, 241-44.236 By contrast, an informant’s “wholly conclusory statement” –
7 bereft of any supporting detail – would not provide an appropriate basis for a finding of probable
8 cause. See id. at 239.
9
10 The probable cause analysis in cases of eyewitness identification is fact-specific. The
11 Court of Appeals has stated that “a positive identification by a victim witness, without more, would
12 usually be sufficient to establish probable cause,” but that might not be true if, for example, there
13 is “[i]ndependent exculpatory evidence or substantial evidence of the witness's own unreliability
14 that is known by the arresting officers.” Wilson v. Russo, 212 F.3d 781, 790 (3d Cir. 2000); id. at
15 797 (Pollak, D.J., concurring in part and dissenting in part) (stating that “the court's rejection of a
16 per se rule is surely correct”); compare id. at 793 (Garth, J., concurring) (“Inconsistent or
17 contradictory evidence . . . cannot render invalid . . . a positive identification by an eyewitness who
18 either a police officer or magistrate deemed to be reliable.”); see also Sharrar, 128 F.3d at 818
19 (“When a police officer has received a reliable identification by a victim of his or her attacker, the
20 police have probable cause to arrest.”).
21
22 “The legality of a seizure based solely on statements issued by fellow officers depends on
23 whether the officers who issued the statements possessed the requisite basis to seize the suspect.”
24 Rogers v. Powell, 120 F.3d 446, 453 (3d Cir. 1997). However, “where a police officer makes an
25 arrest on the basis of oral statements by fellow officers, an officer will be entitled to qualified
26 immunity from liability in a civil rights suit for unlawful arrest provided it was objectively
27 reasonable for him to believe, on the basis of the statements, that probable cause for the arrest
28 existed.” Id. at 455; see also Capone v. Marinelli, 868 F.2d 102, 105 (3d Cir. 1989). As soon as
29 the officer learns of the error, though, the officer must release the prisoner: “Continuing to hold an
30 individual in handcuffs once it has been determined that there was no lawful basis for the initial
31 seizure is unlawful within the meaning of the Fourth Amendment.” Rogers, 120 F.3d at 456.
32
33 If an officer otherwise had probable cause to believe that a suspect had violated a criminal
34 statute, the presence of probable cause is not necessarily negated by the fact that the statute is later
35 invalidated. See Michigan v. DeFillippo, 443 U.S. 31, 37-38 (1979) (noting “the possible
36 exception of a law so grossly and flagrantly unconstitutional that any person of reasonable
37 prudence would be bound to see its flaws”). The Court of Appeals has cited with apparent approval
236
For a decision applying the Gates test to an application for a search warrant,
see United States v. Stearn, 597 F.3d 540, 555-56 (3d Cir. 2010).
180
Last updated July 2019
4.12.2 Section 1983 – Unlawful Seizure – Arrest – Probable Cause
1 “the principle” – articulated by some other circuits – “that an unambiguously invalid law cannot,
2 by itself, provide probable cause to arrest.” McMullen v. Maple Shade Twp., 643 F.3d 96, 100 (3d
3 Cir. 2011). From this principle the McMullen majority reasoned that “in certain circumstances, an
4 arrest pursuant to a law that is unambiguously invalid for reasons based solely on state law grounds
5 may constitute a Fourth Amendment violation actionable under § 1983.” Id. However, that
6 reasoning did not produce a ruling for the plaintiff in McMullen itself because in that case the
7 ordinance under which the plaintiff was arrested was not “unambiguously invalid.” Id.; see also
8 id. at 101 (observing that “it is not the domain of federal courts to resolve undecided questions of
9 state law”).237 More generally, the Fourth Amendment tolerates reasonable mistakes—both of fact
10 and of law—so long as the mistake is objectively reasonable. Heien v. North Carolina, 135 S. Ct.
11 530, 539 (2014).
12
13 “Whether probable cause exists depends upon the reasonable conclusion to be drawn from
14 the facts known to the arresting officer at the time of the arrest.” Devenpeck v. Alford, 543 U.S.
15 146, 152 (2004).238 “Because probable cause is an objective standard, an arrest is lawful if the
16 officer had probable cause to arrest for any offense, not just the offense cited at the time of arrest
17 or booking.” Wesby, 138 S. Ct. at 584, n.2 (2018); Karns, 879 F.3d at 523, n.11 (“Probable cause
18 need only exist as to any offense that could be charged under the circumstances”) (internal
19 quotation marks and citation omitted). The relevant question is whether those facts provided
237
On a related point, the fact that the charges are later dismissed as time-barred
does not show that the officer lacked probable cause to make the arrest. “A police officer
has limited training in the law and requiring him to explore the ramifications of the
statute of limitations affirmative defense is too heavy a burden.” Sands v. McCormick,
502 F.3d 263, 269 (3d Cir. 2007). (The Sands court noted that “the dates of the offenses
were disclosed in the affidavit of probable cause that was submitted to the magistrate,”
and that “[t]here is no indication that the magistrate had any hesitancy about issuing the
arrest warrant.”). See also Holman v. City of York, 564 F.3d 225, 231 (3d Cir. 2009)
(“We do not endorse the District Court's statement that affirmative defenses are ‘not a
relevant consideration’ – as we have never so held – but we do conclude that, here, the
defense of necessity need not have been considered in the assessment of probable cause
for arrest for trespass at the scene.”). Cf. United States v. Gatlin, 613 F.3d 374, 377-79
(3d Cir. 2010) (rejecting defendant’s argument – that officers lacked reasonable suspicion
because they did not know “whether he was licensed to carry a concealed weapon” – on
the ground that under Delaware law possession of a license is an affirmative defense).
238
See also Gilles v. Davis, 427 F.3d 197, 206 (3d Cir. 2005) (stating, with respect to
qualified immunity analysis, that “whether it was reasonable to believe there was probable cause
is in part based on the limited information that the arresting officer has at the time”).
181
Last updated July 2019
4.12.2 Section 1983 – Unlawful Seizure – Arrest – Probable Cause
1 probable cause to arrest for any crime, whether or not that crime was the stated reason for the
2 arrest: The court should not confine the inquiry to the facts “bearing upon the offense actually
3 invoked at the time of arrest,” and should not require that “the offense supported by these known
4 facts . . . be ‘closely related’ to the offense that the officer invoked” at the time of the arrest.
5 Devenpeck, 543 U.S. at 153.239
6
7 Warrantless arrests. “A warrantless arrest of an individual in a public place for a felony,
8 or a misdemeanor committed in the officer's presence, is consistent with the Fourth Amendment
9 if the arrest is supported by probable cause.” Maryland v. Pringle, 540 U.S. 366, 370 (2003).240
239
Cf. United States v. Prandy-Binett, 995 F.2d 1069, 1073-74 (D.C. Cir. 1993) (“It is
simply not the law that officers must be aware of the specific crime an individual is likely
committing... It is enough that they have probable cause to believe the defendant has committed
one or the other of several offenses, even though they cannot be sure which one.”).
If an officer arrested the plaintiff on two charges and had probable cause to arrest the
plaintiff on one charge, but not on another, the plaintiff cannot recover for the arrest on the latter
charge if the arrest on the latter charge resulted in no additional harm to the plaintiff. See Merkle
v. Upper Dublin School Dist., 211 F.3d 782, 790 n.7 (3d Cir. 2000) (so holding, but noting that
“a different conclusion may be warranted if the additional charge results in longer detention,
higher bail, or some other added disability”).
240
“If an officer has probable cause to believe that an individual has committed even a
very minor criminal offense in his presence, he may, without violating the Fourth Amendment,
arrest the offender.” Atwater v. City of Lago Vista, 532 U.S. 318, 354 (2001). The Atwater
Court expressly left open whether the misdemeanor must have been committed in the officer’s
presence. See Atwater, 532 U.S. at 341 n.11 (“We need not, and thus do not, speculate whether
the Fourth Amendment entails an ‘in the presence’ requirement for purposes of misdemeanor
arrests.”).
In United States v. Myers, the Court of Appeals decided a suppression issue based in part
upon an officer’s failure to comply with a state-law provision that authorized warrantless arrest
“only if the offense is committed in the presence of the arresting officer or when specifically
authorized by statute.” U.S. v. Myers, 308 F.3d 251, 256 (3d Cir. 2002) (alternative holding). In
United States v. Laville, 480 F.3d 187 (3d Cir. 2007), the Court of Appeals held “that the
unlawfulness of an arrest under state or local law does not make the arrest unreasonable per se
under the Fourth Amendment; at most, the unlawfulness is a factor for federal courts to consider
in evaluating the totality of the circumstances surrounding the arrest.” Laville, 480 F.3d
at 196; see also id. at 192 (explaining that Myers “made it quite clear ... that the validity
of an arrest under state law is at most a factor that a court may consider in assessing the
182
Last updated July 2019
4.12.2 Section 1983 – Unlawful Seizure – Arrest – Probable Cause
1 “[T]he Constitution permits an officer to arrest a suspect without a warrant if there is probable
2 cause to believe that the suspect has committed or is committing an offense.” DeFillippo, 443
3 U.S. at 36. “The validity of the arrest does not depend on whether the suspect actually committed
4 a crime; the mere fact that the suspect is later acquitted of the offense for which he is arrested is
5 irrelevant to the validity of the arrest.” Id.
6
7 “Although police may make a warrantless arrest in a public place if they have probable
8 cause to believe the suspect is a felon, ‘the Fourth Amendment has drawn a firm line at the entrance
9 to the house. Absent exigent circumstances, that threshold may not reasonably be crossed without
10 a warrant.’ ” Sharrar, 128 F.3d at 819 (quoting Payton v. New York, 445 U.S. 573, 590 (1980)).241
11 If law enforcement officers arrest a suspect at what they know to be a third party’s home, they
12 need both an arrest warrant and a search warrant, Steagald v. United States, 451 U.S. 204 (1981),
13 but if they arrest a suspect at his own residence, they need only an arrest warrant and “reason to
14 believe” that the suspect is present at the time of entry, Payton v. New York, 445 U.S. 573 (1980).
15 In United States v. Vasquez-Algarin, 821 F.3d 467 (3d Cir. 2016), the court of appeals concluded
16 that Payton’s “reason to believe” standard requires probable cause to believe that the suspect
17 resides at and is then present within the residence.
18
19 “The government bears the burden of proving that exigent circumstances existed.”
20 Sharrar, 128 F.3d at 820. “[A] warrantless intrusion may be justified by hot pursuit of a fleeing
21 felon, or imminent destruction of evidence . . . , or the need to prevent a suspect's escape, or the
22 risk of danger to the police or to other persons inside or outside the dwelling.” State v. Olson, 436
23 N.W.2d 92, 97 (Minn. 1989) (quoted with general approval in Minnesota v. Olson, 495 U.S. 91,
24 100 (1990)).242 “A court makes the determination of whether there were exigent circumstances by
broader question of probable cause”). More recently, the Supreme Court has made clear
that the Fourth Amendment analysis is unaffected by state-law restrictions on the
circumstances under which a warrantless arrest may be made for a crime committed in an
officer’s presence: “[W]arrantless arrests for crimes committed in the presence of an
arresting officer are reasonable under the Constitution, and ... while States are free to
regulate such arrests however they desire, state restrictions do not alter the Fourth
Amendment’s protections.” Virginia v. Moore, 128 S.Ct. 1598, 1607 (2008).
241
The “community caretaking” doctrine, see Cady v. Dombrowski, 413 U.S.
433, 441 (1973), does not apply to warrantless entry into a home. See Ray v. Township of
Warren, 626 F.3d 170, 177 (3d Cir. 2010) (“The community caretaking doctrine cannot
be used to justify warrantless searches of a home.”).
242
“[L]aw enforcement officers ‘may enter a home without a warrant to render
emergency assistance to an injured occupant or to protect an occupant from imminent
injury.’” Michigan v. Fisher, 130 S. Ct. 546, 548 (2009) (per curiam) (quoting Brigham
183
Last updated July 2019
4.12.2 Section 1983 – Unlawful Seizure – Arrest – Probable Cause
1 reviewing the facts and reasonably discoverable information available to the officers at the time
2 they took their actions and in making this determination considers the totality of the circumstances
3 facing them.” Marasco, 318 F.3d at 518.
4
5 Requirement of a prompt determination of probable cause after a warrantless arrest. The
6 government “must provide a fair and reliable determination of probable cause as a condition for
7 any significant pretrial restraint of liberty, and this determination must be made by a judicial officer
8 either before or promptly after arrest.” Gerstein, 420 U.S. at 125. Based on the balance between
9 the government’s “interest in protecting public safety” and the harm that detention can inflict on
10 the individual, the Supreme Court has held “that a jurisdiction that provides judicial determinations
11 of probable cause within 48 hours of arrest will, as a general matter, comply with the promptness
12 requirement of Gerstein.” County of Riverside v. McLaughlin, 500 U.S. 44, 52, 56 (1991). If the
13 judicial determination is provided within 48 hours of arrest, the burden is on the prisoner to show
14 that the length of the delay, though less than 48 hours, was nonetheless unreasonable. See
15 McLaughlin, 500 U.S. at 56 (listing possible bases for a finding of unreasonableness). By contrast,
16 if the delay extends longer than 48 hours, “the burden shifts to the government to demonstrate the
17 existence of a bona fide emergency or other extraordinary circumstance.” Id. at 57.
City v. Stuart, 547 U.S. 398, 403 (2006)). See also Kentucky v. King, 131 S. Ct. 1849,
1856-58 (2011) (noting “several exigencies that may justify a warrantless search of a
home” and holding that “the exigent circumstances rule justifies a warrantless search when the
conduct of the police preceding the exigency is reasonable”); Marasco, 318 F.3d at 518 (exigent
circumstances exist “if the safety of either law enforcement or the general public is threatened”).
184
Last updated July 2019
4.12.3 Section 1983 – Unlawful Seizure – Warrant Application
1 and any subsequent detention implicates the tort of malicious prosecution. See id. at 1096. The
2 Wallace Court did not, however, indicate how this classification would affect the elements of a
3 claim for unlawful seizure pursuant to a warrant. See id. at 1096 n.2 (“We have never explored
4 the contours of a Fourth Amendment malicious-prosecution suit under § 1983, see Albright v.
5 Oliver, 510 U.S. 266, 270-271, 275 (1994) (plurality opinion), and we do not do so here.”).
6 Malicious prosecution claims in general are discussed below in Comment 4.13.
7
8 If the officer making an affidavit in support of an arrest warrant application includes “a
9 false statement knowingly and intentionally, or with reckless disregard for the truth,” and if,
10 without that false statement, the application would not suffice to establish probable cause, then the
11 warrant is invalid. Franks v. Delaware, 438 U.S. 154, 155-56 (1978).243 “This does not mean . . .
12 that every fact recited in the warrant affidavit [must] necessarily [be] correct, for probable cause
13 may be founded upon hearsay and upon information received from informants, as well as upon
14 information within the affiant's own knowledge that sometimes must be garnered hastily.” Id. at
15 165. “[A] plaintiff may succeed in a § 1983 action for false arrest made pursuant to a warrant if
16 the plaintiff shows, by a preponderance of the evidence: (1) that the police officer ‘knowingly and
17 deliberately, or with a reckless disregard for the truth, made false statements or omissions that
18 create a falsehood in applying for a warrant;’ and (2) that ‘such statements or omissions are
19 material, or necessary, to the finding of probable cause.’ ” Wilson v. Russo, 212 F.3d 781, 786-87
20 (3d Cir. 2000) (quoting Sherwood v. Mulvihill, 113 F.3d 396, 399 (3d Cir.1997)); see also Merkle
21 v. Upper Dublin School Dist., 211 F.3d 782, 789 (3d Cir. 2000).244
243
A modified version of this instruction could be used with respect to search
warrants. For an opinion applying the Franks test in the context of a search warrant
application, see United States v. Pavulak, 700 F.3d 651 (3d Cir. 2012). In Pavulak, the
court held that the affidavit submitted in support of a search warrant application “was
insufficient to establish probable cause for child pornography,” but that “because the
officers reasonably relied on the warrants in good faith, … the District Court properly
denied suppression.” Id. at 655. The court then held that the district court properly
denied the defendant’s request for a Franks hearing. See id. at 665-66 (reasoning that
affidavit’s omission of dates of conduct underlying prior convictions was irrelevant
because the convictions themselves did not help to establish probable cause that
defendant had been viewing child pornography, and that affidavit’s misstatement of the
address where the defendant assertedly viewed child pornography was immaterial under
the circumstances).
244
In Wilson, the plaintiff contended “that even if the statements are not material,
he should at least get nominal damages for [the defendant’s] failure to provide the judge
with exculpatory information,” but the court refused to address this argument because it
186
Last updated July 2019
4.12.3 Section 1983 – Unlawful Seizure – Warrant Application
was not timely raised. See Wilson, 212 F.3d at 789 n.6.
245
The Yusuf court held that when information provided by a sister government
agency under court order turns out to be false,
Yusuf, 461 F.3d at 378. The Court of Appeals noted that this alternative holding was ultimately
“inconsequential” to the outcome of the case, because even if the affidavit were reformulated to
exclude the challenged portions, “[t]he reformulated affidavit clearly establishes probable cause
to authorize the search warrants.” Id. at 388.
246
In Shields, an undercover FBI agent subscribed to a website in the course of
his investigation of online child pornography. See Shields, 458 F.3d at 270-71. That
agent distributed to other agents a template containing information for use in prosecuting
child pornography cases; the template asserted that all those who joined the website in
question were automatically subscribed to a particular email list, by means of which child
pornography was distributed. See id. at 271-72. A second FBI agent incorporated this
assertion into an affidavit in support of a search warrant application in connection with
his investigation of Shields. See id. at 272-73. It was subsequently discovered that the
assertion concerning automatic subscription was false. See id. at 274-75. The Shields
court, however, rejected Shields’ challenge to the warrant, because the court held that the
affidavit “even purged of the offending material supports a finding of probable cause,” id. at 277;
187
Last updated July 2019
4.12.3 Section 1983 – Unlawful Seizure – Warrant Application
1
2 Shields and Yusuf might at first glance seem to be in tension, but they can be reconciled by
3 focusing on whether each case involved a danger that government investigators colluded to launder
4 a falsehood through an unwitting government affiant. In Yusuf, the problem with the federal
5 government’s warrant application stemmed from erroneous information provided by the Virgin
6 Islands Bureau of Internal Revenue, which produced the information pursuant to a court order
7 rather than as part of a program of cooperation with the federal authorities. The Court of Appeals
8 stressed that
9
10 VIBIR did not disclose United's tax records voluntarily, but rather was required to
11 do so because of an independent court order. This fact is important, as it detracts
12 from any possible allegations that VIBIR and the FBI colluded to produce false
13 information in the affidavit. Nor did VIBIR initiate the investigation with the FBI,
14 which helps allay concerns that VIBIR deliberately provided false information to
15 the FBI to cover up bad faith or improper motive.
16
17 461 F.3d at 387; see also id. at 396 (emphasizing the need to avoid “invit[ing] collusion among
18 different agencies to insulate deliberate misstatements”).
19
20 The reckless disregard standard applies differently to omissions than to affirmative
21 statements: “(1) omissions are made with reckless disregard for the truth when an officer recklessly
22 omits facts that any reasonable person would know that a judge would want to know; and (2)
23 assertions are made with reckless disregard for the truth when an officer has obvious reasons to
24 doubt the truth of what he or she is asserting.” Wilson, 212 F.3d at 783; see also Lippay, 996 F.2d
25 at 1501 (to show reckless disregard, plaintiff must prove that defendant “made the statements in
26 his affidavits ‘with [a] high degree of awareness of their probable falsity’ ” (quoting Garrison v.
27 Louisiana, 379 U.S. 64, 74 (1964))); United States v. Brown, 631 F.3d 638, 650 (3d Cir. 2011)
28 (finding no clear error in district court’s finding that federal agent who prepared affidavit in support
29 of warrant application based on conversation with state trooper about trooper’s investigation acted
30 with reckless disregard when he included a paragraph in the affidavit that lacked any support in
31 the fruits of the trooper’s investigation); Goodwin v. Conway, 836 F.3d 321, 328 (3d Cir. 2016)
32 (rejecting the argument that a booking sheet that showed a date of arrest shortly before the day of
33 the crime and had a blank line for date of release was exculpatory, reasoning that because the
34 booking sheet was undated, it was impossible for the detectives to infer that the plaintiff was still
35 incarcerated on the day of the crime, and concluding that the booking sheet did not trigger a duty
36 to investigate further); Dempsey v. Bucknell University, 834 F.3d 457, 472-73 (3d Cir. 2016)
37 (holding that various information supporting the arrestee’s version of the events in a college dorm
38 should have been included in the affidavit).
188
Last updated July 2019
4.12.3 Section 1983 – Unlawful Seizure – Warrant Application
1
2 “To determine the materiality of the misstatements and omissions,” the decisionmaker
3 must “excise the offending inaccuracies and insert the facts recklessly omitted, and then determine
4 whether or not the ‘corrected’ warrant affidavit would establish probable cause.” Wilson, 212 F.3d
5 at 789 (quoting Sherwood, 113 F.3d at 400); see also Reedy v. Evanson, 615 F.3d 197, 211-23 (3d
6 Cir. 2010) (applying this test). In Dempsey v. Bucknell University, 834 F.3d 457, 470 & n.8 (3d
7 Cir. 2016), the court clarified that this analysis requires district courts to literally “perform a word-
8 by-word reconstruction of the affidavit” unless that is impracticable, and noted that “where
9 additional information in the record bears on the materiality of the recklessly omitted information
10 to probable cause, that additional information also should be included in the reconstructed
11 affidavit.” (Dempsey also explains how the summary judgment standard interacts with probable
12 cause. Id. at 468.) In Andrews v. Scuilli, 853 F.3d 690 (3d Cir. 2017), the district court decision
13 predated Dempsey. In the interest of judicial economy, the court of appeals reconstructed the
14 affidavit itself, and decided that while misrepresentations as to the perpetrator’s physical
15 appearance (hair color and age estimates) were not material, misrepresentations regarding the
16 description of cars were material. The victim had described her assailant’s car as a red, four-door
17 sedan and provided a partial license plate. The next day, she saw a car that she thought was the
18 same car. It was a red, three-door coupe, and the full license plate was quite different from the one
19 she provided the day before. The affidavit seeking an arrest warrant for the owner of the car that
20 she saw on the second day omitted the partial license plate from the description of the car she saw
21 on the first day, failed to mention that the car she saw on the second day was a three door-coupe,
22 and instead called it the “same vehicle described above.” As a result, the issuing judge faced an
23 affidavit that described the car on day two as the “same vehicle” as the car on day one, but did not
24 know about important discrepancies that, unlike age estimates, are “irreconcilable differences that
25 are not easily or reasonably explained.” Id. at 703.
26
27 “[A] mistakenly issued or executed warrant cannot provide probable cause for an arrest,”
28 even if the arrest is carried out by an officer other than the one who obtained the warrant. Berg v.
29 County of Allegheny, 219 F.3d 261, 270 (3d Cir. 2000). As the Supreme Court has explained,
30 although “police officers called upon to aid other officers in executing arrest warrants are entitled
31 to assume” that the warrant application contained a showing of probable cause, “[w]here . . . the
32 contrary turns out to be true, an otherwise illegal arrest cannot be insulated from challenge by the
33 decision of the instigating officer to rely on fellow officers to make the arrest.” Whiteley v.
34 Warden, 401 U.S. 560, 568 (1971); see also Berg, 219 F.3d at 270 (quoting Whiteley); Goodwin
35 v. Conway, 836 F.3d 321, 329 n.35 (3d Cir. 2016) (holding that an indictment after an arrest does
36 not provide probable cause for an arrest that already took place).
37
38 However, qualified immunity may protect an officer who relied on the existence of a
39 warrant. See Malley v. Briggs, 475 U.S. 335, 343 (1986). An officer who obtained a warrant “will
40 not be immune if, on an objective basis, it is obvious that no reasonably competent officer would
41 have concluded that a warrant should issue; but if officers of reasonable competence could disagree
189
Last updated July 2019
4.12.3 Section 1983 – Unlawful Seizure – Warrant Application
1 on this issue, immunity should be recognized.” Id. at 341; see also Messerschmidt v. Millender,
2 132 S. Ct. 1235, 1245, 1249 (2012) (holding that in light of magistrate’s issuance of warrant,
3 defendant officers were entitled to qualified immunity unless their reliance on the warrant was
4 “plainly incompetent” or “entirely unreasonable”).247 Thus, the qualified immunity question “is
5 whether a reasonably well trained officer in [the defendant’s] position would have known that his
6 affidavit failed to establish probable cause and that he should not have applied for the warrant.”
7 Malley, 475 U.S. at 345; see also Messerschmidt, 132 S. Ct. at 1248 n.6 (stressing objective nature
8 of inquiry and upholding qualified immunity with respect to officer’s reliance on warrant
9 authorizing search for gang-related items in part because the facts that the officer included in the
10 warrant application supported an inference that the suspect’s attack on his girlfriend was gang-
11 related – despite the officer’s later testimony that he did not believe the crime was gang-related).248
12 Similarly, if an officer makes an arrest based upon a warrant obtained by another officer, qualified
13 immunity will protect the arresting officer if he acted “based on an objectively reasonable belief
14 that” the warrant was valid; but “an apparently valid warrant does not render an officer immune
15 from suit if his reliance on it is unreasonable in light of the relevant circumstances.” Berg, 219
16 F.3d at 273.
17
18 In Malley, the trial court had ruled that “the act of the judge in issuing the arrest warrants
19 for respondents broke the causal chain between petitioner's filing of a complaint and respondents'
20 arrest.” Malley, 475 U.S. at 339. Although the defendants did not press this argument before the
21 Supreme Court, the Court noted in a footnote its rejection of the rationale:
22
23 It should be clear . . . that the District Court's “no causation” rationale in this case
247
In Messerschmidt, the Court gave weight – in its qualified immunity analysis – to
“the fact that the officers sought and obtained approval of the warrant application from a superior
and a deputy district attorney before submitting it to the magistrate.” Messerschmidt, 132 S. Ct.
at 1249. Cf. Kelly v. Borough of Carlisle, 622 F.3d 248, 255-56 (3d Cir. 2010). (holding that “a
police officer who relies in good faith on a prosecutor's legal opinion that the arrest is warranted
under the law is presumptively entitled to qualified immunity from Fourth Amendment claims
premised on a lack of probable cause,” but that “a plaintiff may rebut this presumption by
showing that, under all the factual and legal circumstances surrounding the arrest, a reasonable
officer would not have relied on the prosecutor's advice”).
248
The Court of Appeals has held that if that if the reckless disregard standard
(discussed above) is met then the defendant is foreclosed from establishing qualified
immunity: “If a police officer submits an affidavit containing statements he knows to be
false or would know are false if he had not recklessly disregarded the truth, the officer
obviously failed to observe a right that was clearly established.” Lippay, 996 F.2d at
1504. For a discussion of related considerations, see Comment 4.7.2.
190
Last updated July 2019
4.12.3 Section 1983 – Unlawful Seizure – Warrant Application
1 Egervary’s approach appears to be in some tension with Supreme Court precedent.249 In any event,
2 Instruction 4.12.3 is designed for use in cases where the plaintiff asserts that the warrant
3 application contained material falsehoods or omissions.
4
5 Unlike a person arrested without a warrant, “a person arrested pursuant to a warrant issued
6 by a magistrate on a showing of probable cause is not constitutionally entitled to a separate judicial
7 determination that there is probable cause to detain him pending trial.” Baker v. McCollan, 443
8 U.S. 137, 143 (1979); see id. at 145 (assuming, “arguendo, that, depending on what procedures
9 the State affords defendants following arrest and prior to actual trial, mere detention pursuant to a
10 valid warrant but in the face of repeated protests of innocence will after the lapse of a certain
11 amount of time deprive the accused of ‘liberty . . . without due process,’ ” but holding that “a
12 detention of three days over a New Year's weekend does not and could not amount to such a
13 deprivation”).
14
249
An additional Court of Appeals decision, though, seemed to rely on a magistrate’s
review of a warrant application as evidence that the officer did not err in seeking the warrant: In
Sands v. McCormick, 502 F.3d 263 (3d Cir. 2007), when the court held that the later dismissal of
a charge as time-barred does not show that the officer lacked probable cause to obtain an arrest
warrant, the court also noted that “the dates of the offenses were disclosed in the affidavit of
probable cause that was submitted to the magistrate,” and that “[t]here is no indication that the
magistrate had any hesitancy about issuing the arrest warrant.” See id. at 269-70.
192
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
250
See Comment for a discussion of the burden of proof with respect to this element.
251
If this element of the claim is disputed, the court may wish to give examples of
deprivations of liberty that would rise to the level of a seizure. See Comment (discussing Gallo
v. City of Philadelphia, 161 F.3d 217 (3d Cir. 1998), and DiBella v. Borough of Beachwood, 407
F.3d 599 (3d Cir. 2005)).
252
The defendant’s initiation of the proceeding will often be undisputed. If possible, the
court should rule as a matter of law on the questions of favorable termination and of seizure.
193
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 cause existed, you should consider whether the facts and circumstances available to [defendant]
2 would warrant a prudent person in believing that [plaintiff] had committed the crime of [name the
3 crime]. [Define the relevant crime under state law.]
4
5 [[Defendant] has pointed out that [plaintiff] was indicted by a grand jury. The indictment
6 establishes that there was probable cause to initiate the proceeding unless [plaintiff] proves by a
7 preponderance of the evidence that the indictment was obtained by fraud, perjury or other corrupt
8 means.]
9
10 As to the fourth element of the malicious prosecution claim, [plaintiff] must prove that in
11 initiating the proceeding, [defendant] acted out of spite, or that [defendant] did not
12 [himself/herself] believe that the proceeding was proper, or that [defendant] initiated the
13 proceeding for a purpose unrelated to bringing [plaintiff] to justice.
14
15 [Even if you find that [plaintiff] has proven the elements of [plaintiff’s] malicious
16 prosecution claim, [defendant] asserts that [he/she] is not liable on this claim because [plaintiff]
17 was in fact guilty of the offense with which [he/she] was charged. The fact that [plaintiff] was
18 acquitted in the prior criminal case does not bar [defendant] from trying to prove that [plaintiff]
19 was in fact guilty of the offense; a verdict of not guilty in a criminal case only establishes that the
20 government failed to prove guilt beyond a reasonable doubt. If you find that [defendant] has
21 proven by a preponderance of the evidence that [plaintiff] was actually guilty of the offense, then
22 [defendant] is not liable on [plaintiff’s] malicious prosecution claim.]
23
24
25 Comment
26
27 Third Circuit law concerning Section 1983 claims for malicious prosecution is not entirely
28 clear. Prior to the Supreme Court’s decision in Albright v. Oliver, 510 U.S. 266 (1994), the Court
29 of Appeals held that the common law elements of malicious prosecution were both necessary and
30 sufficient to state a Section 1983 claim. Post-Albright, those elements are not sufficient, but they
31 are still necessary.
32
33 The pre-Albright test. Before 1994, plaintiffs in the Third Circuit could “bring malicious
34 prosecution claims under § 1983 by alleging the common law elements of the tort.” Donahue v.
35 Gavin, 280 F.3d 371, 379 (3d Cir. 2002) (citing Lee v. Mihalich, 847 F.2d 66, 69-70 (3d Cir.
36 1988)); see also Albright, 510 U.S. at 270 n.4 (plurality opinion) (stating that among the federal
37 courts of appeals, “[t]he most expansive approach is exemplified by the Third Circuit, which holds
38 that the elements of a malicious prosecution action under § 1983 are the same as the common-law
39 tort of malicious prosecution”). Typically, a plaintiff was required to prove “(1) the defendants
40 initiated a criminal proceeding; (2) the criminal proceeding ended in plaintiff's favor; (3) the
194
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 proceeding was initiated without probable cause; and (4) the defendants acted maliciously or for a
2 purpose other than bringing the plaintiff to justice.” Donahue, 280 F.3d at 379 (stating test
3 determined by reference to Pennsylvania law); see also Lippay v. Christos, 996 F.2d 1490, 1503
4 (3d Cir. 1993) (discussing malice element with reference to Pennsylvania law); Rose v. Bartle, 871
5 F.2d 331, 349 (3d Cir. 1989). The Court of Appeals “assumed that by proving a violation of the
6 common law tort, the plaintiff proved a violation of substantive due process that would support a
7 § 1983 claim for malicious prosecution suit.” Donahue, 280 F.3d at 379.
8
9 Albright v. Oliver. In Albright, the plaintiff surrendered to authorities after a warrant was
10 issued for his arrest; he was released on bail, and the charge was later dismissed because it failed
11 to set forth a crime under state law. See Albright, 510 U.S. at 268 (plurality opinion). Albright
12 sued under Section 1983, asserting a “substantive due process [right] . . . to be free from criminal
13 prosecution except upon probable cause.” Id. at 269. A fractured Court affirmed the dismissal of
14 Albright’s claim. Writing for a four-Justice plurality, Chief Justice Rehnquist explained that “it is
15 the Fourth Amendment, and not substantive due process, under which petitioner Albright's claim
16 must be judged.” Id. at 271. The plurality reasoned that in the field of criminal procedure,
17 “[w]here a particular Amendment ‘provides an explicit textual source of constitutional protection’
18 against a particular sort of government behavior, ‘that Amendment, not the more generalized
19 notion of 'substantive due process,' must be the guide for analyzing these claims.’ ” Id. at 273
20 (quoting Graham v. Connor, 490 U.S. 386, 395 (1989)).253 While conceding that not all the
21 “required incidents of a fundamentally fair trial” flow from the Bill of Rights, the plurality argued
22 that any such incidents not covered by a Bill of Rights provision would arise as a matter of
23 procedural, not substantive, due process. See Albright, 510 U.S. at 273 n.6.
24
25 Justice Kennedy, joined by Justice Thomas, concurred in the judgment. He agreed that a
26 claim for arrest without probable cause should be analyzed under the Fourth Amendment.
27 However, Justice Kennedy noted that Albright’s claim focused on malicious prosecution, not
28 unlawful arrest, and he argued that the Court should extend the rule of Parratt v. Taylor, 451 U.S.
29 527 (1981), to govern claims like Albright’s: Because the relevant state “provides a tort remedy
30 for malicious prosecution,” Justice Kennedy asserted that Albright’s claim should not be
31 cognizable under Section 1983. Albright, 510 U.S. at 285 (Kennedy, J., joined by Thomas, J.,
32 concurring in the judgment).
33
34 Justice Souter also concurred in the judgment. Though he did not believe that the existence
253
Justice Scalia concurred in the plurality opinion; as he explained, he both disagrees
with the notion of substantive due process and takes the view that the Court’s precedents
recognizing substantive due process rights do not extend to situations addressed by provisions in
the Bill of Rights. See Albright, 510 U.S. at 275-76 (Scalia, J., concurring). Justice Ginsburg
also concurred in the plurality opinion. See id. at 276 (Ginsburg, J., concurring).
195
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 of a relevant Bill of Rights provision necessarily precluded a due process claim, he argued that the
2 Court should exercise “restraint” in recognizing such a due process right: It should not do so
3 absent a substantial violation not redressable under a specific Bill of Rights provision. Albright,
4 510 U.S. at 286, 288-89 (Souter, J., concurring in the judgment).
5
6 Justice Stevens, joined by Justice Blackmun, dissented, arguing that “the initiation of a
7 criminal prosecution ... [is] a deprivation of liberty,” and that the process required prior to such a
8 deprivation includes a justifiable finding of probable cause. See id. at 295-97, 300 (Stevens, J.,
9 joined by Blackmun, J., dissenting).
10
11 The Albright plurality explicitly left open the possibility that a Fourth Amendment
12 violation could ground a malicious prosecution claim. See id. at 275 (“[W]e express no view as to
13 whether petitioner's claim would succeed under the Fourth Amendment.”). Also, because Albright
14 did not assert a procedural due process claim, see id. at 271, Albright appears to leave open the
15 possibility that such a violation could provide the basis for a malicious prosecution claim.
16
17 Post-Albright cases.
18
19 In Manuel v. City of Joliet, Ill., 137 S. Ct. 911 (2017), the Court granted certiorari to decide
20 “whether an individual’s Fourth Amendment right to be free from unreasonable seizure continues
21 beyond legal process so as to allow a malicious prosecution claim based upon the Fourth
22 Amendment.” The Court, however, decided only that “the Fourth Amendment governs a claim for
23 unlawful pretrial detention even beyond the start of legal process,” id. at 920, and that “once a trial
24 has occurred, the Fourth Amendment drops out,” so that a challenge to the sufficiency of the
25 evidence to support a conviction and ensuing incarceration is brought under the Due Process
26 Clause. Id. at 920 n.8. It left for the court of appeals on remand to decide the accrual date for such
27 a Fourth Amendment claim, and whether malicious prosecution (with its favorable termination
28 requirement) or false arrest is the better tort analogy. Id. at 920-22.
29
30 The Court of Appeals, while recognizing “that Albright commands that claims governed
31 by explicit constitutional text may not be grounded in substantive due process,” has noted that
32 malicious prosecution claims may be grounded in “police conduct that violates the Fourth
33 Amendment, the procedural due process clause or other explicit text of the Constitution.” Torres
34 v. McLaughlin, 163 F.3d 169, 172-73 (3d Cir. 1998).254 Instruction 4.13 is designed for use in
254
A plaintiff can state a claim by alleging that the defendant initiated the
malicious prosecution in retaliation for the plaintiff’s exercise of First Amendment rights.
See Merkle v. Upper Dublin School Dist., 211 F.3d 782, 798 (3d Cir. 2000) (holding
school district superintendent not entitled to qualified immunity on plaintiff’s claim “that
[the superintendent], and through him the District, maliciously prosecuted Merkle in
196
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 cases where the plaintiff premises the malicious prosecution claim on a Fourth Amendment
2 violation; adjustment would be necessary in cases premised on other constitutional violations.
3
4 Where the malicious prosecution claim sounds in the Fourth Amendment, the plaintiff
5 “must show ‘some deprivation of liberty consistent with the concept of “seizure. ” ’ ” Gallo v.
6 City of Philadelphia, 161 F.3d 217, 222 (3d Cir. 1998) (quoting Singer v. Fulton County Sheriff,
7 63 F.3d 110, 116 (2d Cir. 1995)). In Gallo, the court found a seizure where the plaintiff “had to
8 post a $10,000 bond, he had to attend all court hearings including his trial and arraignment, he was
9 required to contact Pretrial Services on a weekly basis, and he was prohibited from traveling
10 outside New Jersey and Pennsylvania.” Gallo, 161 F.3d at 222; compare DiBella v. Borough of
11 Beachwood, 407 F.3d 599, 603 (3d Cir. 2005) (acknowledging that “[p]retrial custody and some
12 onerous types of pretrial, non custodial restrictions constitute a Fourth Amendment seizure,” but
13 holding that plaintiffs’ “attendance at trial did not qualify as a Fourth Amendment seizure”)255
14 with Black v. Montgomery County, 835 F.3d 358, 367-68 (3d Cir. 2016) (holding that a criminal
15 defendant who flew from her home in California to Pennsylvania for her arraignment, spent more
16 than an hour being fingerprinted and photographed at a police station, was required to post
17 unsecured bail of $50,000, travelled between California and Pennsylvania numerous times for pre-
18 trial hearings, and would have forfeited her bond if she failed to appear, was seized). A prisoner
19 who is already lawfully confined is not seized for Fourth Amendment purposes when he is charged
20 with another crime. Curry v. Yachera, 835 F.3d 373, 380 (3d Cir. 2016). The plaintiff also must
21 show that the seizure was unreasonable under the Fourth Amendment; in the malicious prosecution
22 context, that requirement typically will be equivalent to the traditional common law element of
23 lack of probable cause, discussed below.
24
25 The law has not developed uniformly, in recent years, on the applicability of the common
26 law elements of malicious prosecution. Five months after Albright, in Heck v. Humphrey, the
27 Court shaped the contours of a Section 1983 claim for unconstitutional conviction in part by
28 reference to the common law tort’s requirement of favorable termination. See Heck v. Humphrey,
29 512 U.S. 477, 484 (1994). However, four Justices, concurring in the judgment, denied that the
retaliation for her protected First Amendment activities”); see also Losch v. Borough of
Parkesburg, 736 F.2d 903, 907-08 (3d Cir. 1984) (“[I]nstitution of criminal action to
penalize the exercise of one's First Amendment rights is a deprivation cognizable under §
1983.”). In a First Amendment retaliatory-prosecution claim, the plaintiff must plead and
prove lack of probable cause (among other elements). See Hartman v. Moore, 126 S. Ct.
1695, 1707 (2006).
255
“Although Fourth Amendment seizure principles may in some circumstances have
implications in the period between arrest and trial, . . . posttrial incarceration does not qualify as
a Fourth Amendment seizure.” Torres, 163 F.3d at 174.
197
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 common law elements should apply to the constitutional tort. See id. at 494 (Souter, J., joined by
2 Blackmun, Stevens, & O’Connor, JJ., concurring in the judgment) (arguing for example that a
3 plaintiff – who had been convicted on the basis of a confession that had been coerced by police
4 officers who had probable cause to believe the plaintiff was guilty – should not be barred from
5 bringing a Section 1983 unconstitutional conviction claim for failure to show a lack of probable
6 cause); cf. Hartman v. Moore, 126 S. Ct. 1695, 1702 (2006) (noting in a First Amendment
7 retaliatory-prosecution case that “the common law is best understood here more as a source of
8 inspired examples than of prefabricated components of Bivens torts”).
9
10 In a post-Heck case, the Court of Appeals rejected the contention that a Section 1983 claim
11 alleging “unconstitutional conviction and imprisonment on murder charges” does not accrue until
12 there is “a judicial finding of actual innocence”; the court relied partly on the rationale that Heck
13 “should not be read to incorporate all of the common law of malicious prosecution into the federal
14 law governing civil rights cases of this kind.” Smith v. Holtz, 87 F.3d 108, 110, 113-14 (3d Cir.
15 1996).256 Similarly, the Court of Appeals noted in Gallo that
16
17 by suggesting that malicious prosecution in and of itself is not a harm, Albright also
18 suggests that a plaintiff would not need to prove all of the common law elements
19 of the tort in order to recover in federal court. For instance, if the harm alleged is a
20 seizure lacking probable cause, it is unclear why a plaintiff would have to show that
21 the police acted with malice.
22
23 Gallo, 161 F.3d at 222 n.6.
24
25 However, in other post-Albright cases the Court of Appeals has stated that Section 1983
26 plaintiffs must establish not only a specific constitutional violation but also the common-law
27 elements for malicious prosecution:257
256
The Smith court also stated that “[a]ctual innocence is not required for a common law
favorable termination.” Smith, 87 F.3d at 113 (citing Restatement of the Law of Torts §§ 659,
660 (1938)).
257
The Court of Appeals applied the common-law elements in Hilfirty v.
Shipman, 91 F.3d 573, 579 (3d Cir. 1996) (“In order to state a prima facie case for a
section 1983 claim of malicious prosecution, the plaintiff must establish the elements of
the common law tort as it has developed over time.”). However, the Hilfirty court did
not mention Albright, so Hilfirty does not shed light on the test that should apply post-
Albright. But see Nawrocki v. Tp. of Coolbaugh, 34 Fed. Appx. 832, 837 (3d Cir. April
8, 2002) (nonprecedential opinion) (citing Hilfirty for the proposition that “Albright left
standing” the requirement that Section 1983 plaintiffs establish the common-law
198
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 [A] plaintiff must show that: (1) the defendant initiated a criminal proceeding; (2)
2 the criminal proceeding ended in plaintiff's favor; (3) the proceeding was initiated
3 without probable cause; (4) the defendants acted maliciously or for a purpose other
4 than bringing the plaintiff to justice; and (5) the plaintiff suffered deprivation of
5 liberty consistent with the concept of seizure as a consequence of a legal
6 proceeding.
7
8 Camiolo v. State Farm Fire & Cas. Co., 334 F.3d 345, 362-63 (3d Cir. 2003) (quoting Estate of
9 Smith v. Marasco, 318 F.3d 497, 521 (3d Cir. 2003)); see also Zimmerman v. Corbett, 873 F.3d
10 414, 418 (3d Cir. 2017); DiBella v. Borough of Beachwood, 407 F.3d 599, 601 (3d Cir. 2005).
11
12 In 2009, the en banc Court of Appeals approved the approach that requires the plaintiff to
13 establish the common law elements. See Kossler v. Crisanti, 564 F.3d 181, 186 (3d Cir. 2009).
14 Thus, the discussion that follows considers each element in turn.
15
16 Initiation. Though post-Albright Third Circuit Court of Appeals cases have not focused on
17 this element, it seems appropriate to require the plaintiff to establish that the defendant was
18 involved in initiating the prosecution.
19
20 Where the relevant law enforcement policy is not to file charges unless the alleged crime
21 victim so requests and not to drop those charges without the alleged victim’s permission, and where
22 the alleged victim acted under color of state law, the alleged victim can be sued for malicious
23 prosecution under Section 1983 if the requisite elements are present. See Merkle v. Upper Dublin
24 School Dist., 211 F.3d 782, 791 (3d Cir. 2000) (holding that “the School Defendants, not just the
25 Police Defendants, are responsible for Merkle's prosecution”); see also Gallo, 161 F.3d at 220 n.2
26 (“Decisions have ‘recognized that a § 1983 malicious prosecution claim might be maintained
27 against one who furnished false information to, or concealed material information from,
elements).
In Merkle v. Upper Dublin School Dist., the Court of Appeals held that the district
court had erred in failing to require proof of a Bill of Rights violation, but the Merkle
majority did not appear to take issue with the district court’s assumption that the plaintiff
must establish the common law malicious prosecution elements. See Merkle, 211 F.3d at
792; see also id. at 794 (“We believe that whether these defendants’ actions against
Merkle were retaliatory is, for purposes of summary judgment, influenced by the strength
of Merkle's claim against them for common law malicious prosecution.”). With respect
to the common law elements, the district court had held that the plaintiff had failed to
show a lack of probable cause; the Court of Appeals majority disagreed, finding evidence
of a lack of probable cause and of malicious intent. See Merkle, 211 F.3d at 791, 795-96.
199
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 prosecuting authorities’ ” (quoting 1A Martin A. Schwartz & John E. Kirklin, Section 1983
2 Litigation, § 3.20, at 316 (3d ed. 1997).).
3
4 Favorable termination. Post-Albright, the Court of Appeals has continued to require
5 malicious prosecution plaintiffs to show favorable termination. See Donahue v. Gavin, 280 F.3d
6 371, 383 (3d Cir. 2002) (citing Heck, 512 U.S. at 484 and noting that “Heck was decided [soon]
7 after Albright”).
8
9 In Donahue the court held that entry of a nolle prosequi only counts as a favorable
10 termination when the circumstances of the entry indicate the plaintiff’s innocence. See Donahue,
11 280 F.3d at 383 (citing Restatement (Second) of Torts §§ 659 & 660 (1976)); see also Geness v.
12 Cox, 902 F.3d 344, 356 (3d Cir. 2018) (holding that to determine whether a nolle prosequi order
13 indicates innocence requires consideration of the underlying facts and particular circumstances
14 and that where prosecutor anticipated that it would not be possible to prove the case beyond a
15 reasonable doubt, the order indicated innocence and constituted a favorable termination); Hilfirty
16 v. Shipman, 91 F.3d 573, 575 (3d Cir. 1996) (“Because we find that Miller neither compromised
17 with the prosecution to obtain her grant of nolle prosequi nor formally accepted the nolle prosequi
18 in exchange for a release of future civil claims, we conclude that the underlying proceeding
19 terminated in her favor.”). Resolution of a criminal case under Pennsylvania’s Accelerated
20 Rehabilitation Disposition program “is not a favorable termination under Heck.” Gilles v. Davis,
21 427 F.3d 197, 211 (3d Cir. 2005).258
22
23 “[T]he favorable termination of some but not all individual charges does not necessarily
24 establish the favorable termination of the criminal proceeding as a whole. Rather ... , upon
25 examination of the entire criminal proceeding, the judgment must indicate the plaintiff's innocence
26 of the alleged misconduct underlying the offenses charged.” Kossler v. Crisanti, 564 F.3d 181,
27 188 (3d Cir. 2009) (en banc); see also id. at 189 (holding on the specific facts of the case that
28 plaintiff’s “acquittal on the aggravated assault and public intoxication charges cannot be divorced
29 from his simultaneous conviction for disorderly conduct when all three charges arose from the
30 same course of conduct”). The Kossler majority stressed the fact-intensive nature of this inquiry
31 and left “for another day the establishment of universal contours of when a criminal proceeding
32 which includes both an acquittal (or dismissal) and a conviction constitutes a termination in the
33 plaintiff's favor.” Id. at 192. A Pennsylvania Superior Court order vacating a judgment of sentence
34 without imposing any unfavorable conditions or burdens on the defendant constitutes a favorable
35 termination. Bronowicz v. Allegheny County, 804 F.3d 338, 347-48 (3d Cir. 2015) (distinguishing
258
The relevant claim in Gilles asserted a First Amendment violation and did not
sound in malicious prosecution, see Gilles, 427 F.3d at 203, but the Court of Appeals
found Heck’s reasoning “equally applicable” to the First Amendment claim and thus
applied Heck’s favorable-termination requirement, id. at 209.
200
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 Kossler and Gilles because, unlike in those cases, the Superior Court order did not imply that the
2 sentence imposed was valid, and explaining that the requirement that the prior outcome indicate
3 innocence does not call for magic words but rather directs the inquiry to the purpose of the
4 favorable termination rule: avoiding conflicting resolutions in the criminal case and the § 1983
5 case).
6 Lack of probable cause. “Under § 1983, false arrest, false imprisonment, and malicious
7 prosecution claims require a showing that the arrest, physical restraint, or prosecution was initiated
8 without probable cause.” Pulice v. Enciso, 39 Fed. Appx. 692, 696 (3d Cir. July 17, 2002)
9 (nonprecedential opinion); see also Wright v. City of Philadelphia, 409 F.3d 595, 604 (3d Cir.
10 2005) (“Wright bases her malicious prosecution claim on alleged Fourth Amendment violations
11 arising from her arrest and prosecution. To prevail on this claim, she must show that the officers
12 lacked probable cause to arrest her.”).
13
14 In some cases, a finding of probable cause for one among multiple charges will foreclose
15 a malicious prosecution claim with respect to any of the charges. Thus, in Wright, the decision
16 that there was probable cause to arrest the plaintiff for criminal trespass “dispose[d] of her
17 malicious prosecution claims with respect to all of the charges brought against her, including the
18 burglary.” Wright, 409 F.3d at 604. But Wright does not “‘insulate’ law enforcement officers
19 from liability for malicious prosecution in all cases in which they had probable cause for the arrest
20 of the plaintiff on any one charge.” Johnson v. Knorr, 477 F.3d 75, 83 (3d Cir. 2007). Otherwise,
21 “an officer with probable cause as to a lesser offense could tack on more serious, unfounded
22 charges which would support a high bail or a lengthy detention, knowing that the probable cause
23 on the lesser offense would insulate him from liability for malicious prosecution on the other
24 offenses.” Johnson, 477 F.3d at 84 (quoting Posr v. Doherty, 944 F.2d 91, 100 (2d Cir.1991)).
25 Under Johnson, the court must analyze probable cause with respect to each charge that was brought
26 against the plaintiff. See id. at 85. Johnson distinguished Wright by scrutinizing the duration and
27 nature of the defendants’ alleged conduct: In Wright, the defendants’ “involvement apparently
28 ended at the time of the arrest,” whereas the plaintiff in Johnson alleged that the defendant’s
29 involvement “lasted beyond the issuing of an affidavit of probable cause for his arrest and the
30 arrest itself” and that the defendant “intentionally and fraudulently fabricated the charges against
31 him,” leading to the prosecution. Johnson, 477 F.3d at 84. If a plaintiff establishes that the facts
32 of the case warrant application of Johnson’s rule rather than Wright’s,259 it apparently is still open
259
In Startzell v. City of Philadelphia, 533 F.3d 183 (3d Cir. 2008), the Court of Appeals
concluded that the district court properly held on summary judgment that there was probable
cause to arrest the plaintiffs for disorderly conduct. On this basis the panel majority affirmed the
grant of summary judgment dismissing Fourth Amendment claims for false arrest and malicious
prosecution. In a footnote, the Court of Appeals stated that it “need not address whether there
was probable cause with respect to the remaining charges – failure to disperse and obstructing a
public passage – for the establishment of probable cause as to any one charge is sufficient to
201
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 to the defendant to argue that “the prosecution for the additional charges for which there might not
2 have been probable cause in no way resulted in additional restrictions on [the plaintiff’s] liberty
3 beyond those attributable to the prosecution on the ... charges for which there was probable cause.”
4 Id. at 86.
5
6 The en banc Court of Appeals has “note[d] the considerable tension that exists between our
7 treatment of the probable cause element in Johnson and our treatment of that element in the earlier
8 case of Wright.” Kossler, 564 F.3d at 193. Though the Kossler court noted that if Wright and
9 Johnson were “in unavoidable conflict” the earlier of the two precedents would control, Kossler,
10 564 F.3d at 194 n.8, the Kossler court did not conclude that such an unavoidable conflict exists.
11 Rather, the Kossler court indicated that courts should, when necessary, “wrestle” with the question
12 of which precedent – Wright or Johnson – governs in a given case, bearing in mind the
13 “fact-intensive” nature of the inquiry. Kossler, 564 F.3d at 194.
14
defeat Appellants' Fourth Amendment claims. Cf. Johnson, 477 F.3d at 82 n.9, 84-85 (applying
this rule to malicious prosecution claim only where the circumstances leading to the arrest and
prosecution are intertwined).” Startzell, 533 F.3d at 204 n.14. See also Reedy v. Evanson, 615
F.3d 197, 211 (3d Cir. 2010) (in case involving, inter alia, unlawful seizure, false imprisonment
and malicious prosecution claims, stating in dictum that “[p]robable cause need only exist as to
[one of the] offense[s] that could be charged under the circumstances” (quoting Barna v. City of
Perth Amboy, 42 F.3d 809, 819 (3d Cir. 1994))).
In Pitts v. Delaware, 646 F.3d 151 (3d Cir. 2011), the jury found for the plaintiff on his
claims of race discrimination and illegal seizure but found for the defendant on the plaintiff’s
claims for false arrest and malicious prosecution, see id. at 154. In the course of explaining why
evidence of a lack of probable cause for one of the charges against the plaintiff would support
the jury’s finding of race discrimination, the Court of Appeals noted that a jury finding that
probable cause for that charge was absent
would not have been impermissibly inconsistent with the jury's verdict in
favor of [the defendant] Spence on Pitts' malicious prosecution claim. Neither the
instructions nor the general verdict form required the jury to conclude that every
charge Spence brought against Pitts was supported by probable cause. Thus, the
jury could have concluded that any one of the six charges brought against Pitts
was supported by probable cause to find in favor of Spence on Pitts' malicious
prosecution claim.
202
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 “[T]he question of probable cause in a section 1983 damage suit is one for the jury.”
2 Montgomery v. De Simone, 159 F.3d 120, 124 (3d Cir. 1998) (discussing Section 1983 claim for
3 malicious prosecution). In Losch v. Borough of Parkesburg, 736 F.2d 903, 909 (3d Cir. 1984), the
4 Court of Appeals stated that “defendants bear the burden at trial of proving the defense of good
5 faith and probable cause” with respect to a malicious prosecution claim. However, cases such as
6 DiBella, Camiolo and Marasco (none of which cites Losch) list the absence of probable cause as
7 an element of the malicious prosecution claim, and thus indicate that the plaintiff has the burden
8 of proof on that element. See, e.g., Camiolo, 334 F.3d at 363 (holding that malicious prosecution
9 claim was properly dismissed due to plaintiff’s inability to show lack of probable cause); Marasco,
10 318 F.3d at 522 (“Because initiation of the proceeding without probable cause is an essential
11 element of a malicious prosecution claim, summary judgment in favor of the defendants was
12 appropriate on this claim.”). More recently, the Court of Appeals has stated explicitly that the
13 malicious prosecution plaintiff has the burden to show lack of probable cause. See Johnson, 477
14 F.3d at 86 (“[O]n the remand Johnson will have the burden to ‘show that the criminal action was
15 begun without probable cause for charging the crime the first place.’ Hartman v. Moore ... , 126
16 S. Ct. 1695, 1702 (2006).”). Accordingly, Instruction 4.13 assigns to the plaintiff the burden of
17 proving the absence of probable cause. Compare Comment 4.12.2 (discussing burden of proof as
18 to probable cause with respect to false arrest claims stemming from warrantless arrests).
19
20 “[A] grand jury indictment or presentment constitutes prima facie evidence of probable
21 cause to prosecute, but . . . this prima facie evidence may be rebutted by evidence that the
22 presentment was procured by fraud, perjury or other corrupt means.” Camiolo, 334 F.3d at 363
23 (quoting Rose, 871 F.2d at 353).260 In Halsey v. Pfeiffer, 750 F.3d 273 (3d Cir. 2014), a case
260
The defendant might also argue that a grand jury indictment breaks the chain
of causation. The Court of Appeals has explained the concept of superseding causes:
Egervary v. Young, 366 F.3d 238, 250-51 (3d Cir. 2004). Though Egervary involved a judge’s
decision, rather than a grand jury’s, the rationale of Egervary seems equally applicable to the
203
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 involving a claim that police officers fabricated evidence that led not only to indictment but
2 conviction, the court of appeals held that a reasonable jury could find that there would have been
3 no probable cause without the fabricated evidence. Compare Montgomery, 159 F.3d at 125
4 (holding “that the Restatement's rule that an overturned municipal conviction presumptively
5 establish[es] probable cause contravenes the policies underlying the Civil Rights Act and therefore
6 does not apply to a section 1983 malicious prosecution action”).
7
8 Where a claim exists against a complaining witness for that person’s role in the alleged
9 malicious prosecution of the plaintiff, the factfinder should perform a separate probable cause
10 inquiry concerning the complaining witness. See Merkle, 211 F.3d at 794 (“As instigators of the
11 arrest ... it is possible that the District and Brown were in possession of additional information, not
12 provided to Detective Hahn, that would negate any probable cause they may otherwise have had
13 to prosecute Merkle.”).
14
15 Malice or other improper purpose. It might be argued that a showing of malice should not
16 be required where the plaintiff’s Section 1983 claim is premised on a Fourth Amendment violation.
17 See Brooks v. City of Winston-Salem, N.C., 85 F.3d 178, 184 n.5 (4th Cir. 1996) (noting that “the
18 reasonableness of a seizure under the Fourth Amendment should be analyzed from an objective
19 perspective” and thus that “the subjective state of mind of the defendant, whether good faith or ill
20 will, is irrelevant in this context”). However, the Third Circuit Court of Appeals has listed malice
21 as an element of Section 1983 malicious prosecution claims premised on Fourth Amendment
22 violations. See Camiolo, 334 F.3d at 362-63; Marasco, 318 F.3d at 521.261
23
grand jury context. (For a discussion of the possibility that Supreme Court precedents may limit
the application of the superseding cause principle with respect to the issuance of warrants, see
supra Instruction 4.12 cmt.) In any event, assuming that the supervening cause doctrine applies
to grand jury indictments, its net effect seems similar to that of the lack-of-probable-cause
requirement: Where a grand jury has indicted the plaintiff, the plaintiff must present evidence
that the indictment was obtained through misrepresentations or other corrupt means. See also
Halsey v. Pfeiffer, 750 F.3d 273 (3d Cir. 2014) (holding that a prosecutor’s decision to charge
did not necessarily break the causal chain because a reasonable jury could find that the
prosecutor would not have filed charges in the absence of evidence fabricated by police officers).
261
Admittedly, both Marasco and Camiolo were decided based upon the lack-of-
probable-cause element, so the statements in those cases concerning malice do not constitute
holdings. But more recently the court of appeals affirmed the dismissal of a Section 1983
malicious prosecution claim based on “insufficient evidence of malice.” McKenna v. City of
Philadelphia, 582 F.3d 447, 461-62 (3d Cir. 2009).
204
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 Pre-Albright caselaw defined the malice element “as either ill will in the sense of spite,
2 lack of belief by the actor himself in the propriety of the prosecution, or its use for an extraneous
3 improper purpose.” Lee v. Mihalich, 847 F.2d 66, 70 (3d Cir. 1988). Following Pennsylvania law,
4 the Court of Appeals held in another pre-Albright case that “[m]alice may be inferred from the
5 absence of probable cause.” Lippay v. Christos, 996 F.2d 1490, 1502 (3d Cir. 1993); cf. Trabal v.
6 Wells Fargo Armored Service Corp., 269 F.3d 243, 248 (3d Cir. 2001) (applying New Jersey law
7 in a malicious prosecution case arising in diversity).
8
9 The Heck v. Humphrey bar. A convicted prisoner cannot proceed with a Section 1983
10 claim challenging the constitutionality of the conviction pursuant to which the plaintiff is in
11 custody, unless the conviction has been reversed or otherwise invalidated.262 See Heck v.
12 Humphrey, 512 U.S. 477, 486-87 (1994).263 Four Justices, concurring in the judgment, argued that
262
The Court of Appeals has indicated that the Heck bar is conceptually distinct
from the favorable-termination element of a Section 1983 claim. See Kossler, 564 F.3d
at 190 n.6 (stating that the court did “not need to apply Heck's test in the present case”
because the plaintiff had in any event failed to establish the common law element of
favorable termination). Despite this assertion of conceptual distinctiveness, the court of
appeals has relied on both Kossler (applying the common law rule) and Gilles (applying
the Heck bar) interchangeably in applying the Heck bar. Bronowicz v. Allegheny County,
804 F.3d 338, 347-48 (3d Cir. 2015).
205
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 this favorable-termination requirement should not apply to plaintiffs who are not in custody. See
2 id. at 503 (Souter, J., joined by Blackmun, Stevens, & O’Connor, JJ., concurring in the judgment).
3 The Heck majority rejected that argument, albeit in dicta. See id. at 490 n.10. Four years later, in
4 Spencer v. Kemna, five Justices stated that Heck’s requirement of favorable termination does not
5 apply when a plaintiff is out of custody.264 The Court of Appeals, however, has indicated that it is
6 not at liberty to follow the suggestion made by those Justices.265
Martinez, 627 F.3d 933, 937 (3d Cir. 2010) (“The [Inmate Financial Responsibility Plan]
payment schedule and the sanctions imposed for noncompliance are part of the execution
of McGee's sentence. Accordingly we hold that the claim that they are illegal and invalid
falls under the rubric of a § 2241 habeas petition.”).
The Third Circuit had previously reasoned that the Heck rationale extends to pending
prosecutions: “[A] claim that, if successful, would necessarily imply the invalidity of a
conviction on a pending criminal charge is not cognizable under § 1983.” Smith v. Holtz, 87
F.3d 108, 113 (3d Cir. 1996). However, the Supreme Court more recently rejected the assertion
“that an action which would impugn an anticipated future conviction cannot be brought until that
conviction occurs and is set aside.” Wallace v. Kato, 127 S.Ct. 1091, 1098 (2007). Under
Wallace, prior to the defendant’s actual conviction Heck bars neither the accrual of a claim nor
the running of the limitations period. Rather, “[i]f a plaintiff files a false arrest claim before he
has been convicted (or files any other claim related to rulings that will likely be made in a
pending or anticipated criminal trial), it is within the power of the district court, and in accord
with common practice, to stay the civil action until the criminal case or the likelihood of a
criminal case is ended.... If the plaintiff is ultimately convicted, and if the stayed civil suit would
impugn that conviction, Heck will require dismissal; otherwise, the civil action will proceed,
absent some other bar to suit.” Wallace, 127 S. Ct. at 1098.
264
See Spencer v. Kemna, 523 U.S. 1, 21 (1998) (Souter, J., joined by O’Connor,
Ginsburg & Breyer, JJ., concurring) (“[A] former prisoner, no longer ‘in custody,’ may
bring a § 1983 action establishing the unconstitutionality of a conviction or confinement
without being bound to satisfy a favorable termination requirement that it would be
impossible as a matter of law for him to satisfy.”); id. at 25 n.8 (Stevens, J., dissenting)
(“Given the Court’s holding that petitioner does not have a remedy under the habeas
statute, it is perfectly clear, as Justice Souter explains, that he may bring an action under
42 U.S.C. § 1983.”).
265
The Court of Appeals explained:
206
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 Plaintiff’s guilt as a defense. “Even if the plaintiff in malicious prosecution can show that
2 the defendant acted maliciously and without probable cause in instituting a prosecution, it is always
3 open to the defendant to escape liability by showing in the malicious prosecution suit itself that
4 the plaintiff was in fact guilty of the offense with which he was charged.” Hector v. Watt, 235
5 F.3d 154, 156 (3d Cir. 2000), as amended (Jan. 26, 2001) (quoting W. Keeton et al., Prosser &
6 Keeton on the Law of Torts 885 (5th ed. 1984) (citing Restatement (Second) of Torts § 657
7 (1977))). “This requirement can bar recovery even when the plaintiff was acquitted in the prior
8 criminal proceedings, for a verdict of not guilty only establishes that there was not proof beyond a
9 reasonable doubt.” Hector, 235 F.3d at 156. It appears that the defendant would have the burden
10 of proof on this issue by a preponderance of the evidence. See Restatement (Second) of Torts §
11 657 cmt. b.266
12
13 Limits on types of damages. The plaintiff’s choice of constitutional violation upon which
14 to ground the malicious prosecution claim may limit the types of damages available. In particular,
15 “damages for post-conviction injuries are not within the purview of the Fourth Amendment.”
16 Donahue, 280 F.3d at 382. Thus, a plaintiff who premises a malicious prosecution claim on a
17 seizure in violation of the Fourth Amendment must “distinguish between damages that may have
18 been caused by that ‘seizure’ ” – which are recoverable on that claim – and “damages that are the
19 result of his trial, conviction and sentence” – which are not. Id.; see also DiBella v. Borough of
20 Beachwood, 407 F.3d 599, 603 (3d Cir. 2005) (“[T]he Fourth Amendment does not extend beyond
who has no recourse under the habeas statute.... But these opinions do not
affect our conclusion that Heck applies to Petit's claims. We doubt that
Heck has been undermined, but to the extent its continued validity has
been called into question, we join on this point, our sister courts of appeals
for the First and Fifth Circuits in following the Supreme Court's
admonition "to lower federal courts to follow its directly applicable
precedent, even if that precedent appears weakened by pronouncements in
its subsequent decisions, and to leave to the Court 'the prerogative of
overruling its own decisions.'" Figueroa v. Rivera, 147 F.3d 77, 81 n.3
(1st Cir. 1998) (citing Agostini v. Felton, 521 U.S. 203, 237 (1997)); see
Randell v. Johnson, 227 F.3d 300, 301- 02 (5th Cir. 2000).
207
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
267
The abuse of process alleged by the plaintiff in Jennings involved the use of the
prosecution as leverage for an extortion scheme. Jennings, 567 F.2d at 1220 (“The goal of that
conspiracy was extortion, to be accomplished by bringing a prosecution against him without
probable cause and for an improper purpose.”).
208
Last updated July 2019
4.13 Section 1983 – Malicious Prosecution
1 fabricated evidence. Such a claim is available even if the criminal defendant is acquitted, “if there
2 is a reasonable likelihood that, absent the fabricated evidence, the defendant would not have been
3 criminally charged.” Black v. Montgomery County, 835 F.3d 358, 370 (3d Cir. 2016).
209
Last updated July 2019
4.13.1 Section 1983 – Burdens of Proof in Civil and Criminal Cases
1 [Unlike the prior criminal trial, this is a civil case. [Plaintiff] has the burden of proving
2 [his/her] case by the preponderance of the evidence. That means [plaintiff] has to prove to you, in
3 light of all the evidence, that what [he/she] claims is more likely so than not so. In other words, if
4 you were to put the evidence favorable to [plaintiff] and the evidence favorable to [defendant] on
5 opposite sides of the scales, [plaintiff] would have to make the scales tip somewhat on [his/her]
6 side. If [plaintiff] fails to meet this burden, the verdict must be for [defendant]. Notice that the
7 preponderance-of-the-evidence standard, which [plaintiff] must meet in this case, is not as hard to
8 meet as the beyond-a-reasonable-doubt standard, which the government must meet in a criminal
9 case.]
10
11
12 Comment
13
14 When this instruction is given, the last sentence of General Instruction 1.10 should be
15 omitted.
211
Last updated July 2019
4.14 Section 1983 – State-created Danger
268
Use this phrase if the plaintiff claims harm from a third party.
269
Use this phrase if the plaintiff claims harm from a source other than an
individual (e.g., from a medical problem).
270
Select the appropriate level of culpability. See Comment for a discussion of
this element.
212
Last updated July 2019
4.14 Section 1983 – State-created Danger
1 whether [defendant] should have foreseen [the harm at issue] [that [describe harm]]. Directness
2 concerns whether it is possible to draw a direct enough connection between [defendant’s] conduct
3 and [the harm at issue] [describe harm]. To consider the question of directness, you should look
4 at the chain of events that led to [the harm at issue] [describe harm], and you should consider where
5 [defendant’s] conduct fits within that chain of events, and whether that conduct can be said to be
6 a fairly direct cause of [the harm at issue] [describe harm]. In appropriate cases, the sufficient
7 directness requirement can be met even if some other action or event comes between the
8 defendant’s conduct and the harm to the plaintiff.
9
10 [[For cases in which the requisite level of culpability is subjective deliberate
11 indifference:]271 The second of these four elements requires [plaintiff] to show that [defendant]
12 acted with deliberate indifference. To show that [defendant] was deliberately indifferent,
13 [plaintiff] must show that [defendant] knew that there was a substantial risk of a serious harm to
14 [plaintiff], and that [defendant] disregarded that risk by failing to take reasonable measures to
15 address it. [Plaintiff] must show that [defendant] actually knew of the risk. If [plaintiff] proves
16 that the risk of harm was obvious, you are entitled to infer from the obviousness of the risk that
17 [defendant] knew of the risk. [However, [defendant] claims that even if there was an obvious risk,
18 [he/she] was unaware of that risk. If you find that [defendant] was unaware of the risk,272 then you
19 must find that [he/she] was not deliberately indifferent.]]
20
21 [For cases in which the requisite level of culpability is objective deliberate
22 indifference:]273 The second of these four elements requires [plaintiff] to show that [defendant]
23 acted with deliberate indifference. To show that [defendant] was deliberately indifferent, [plaintiff]
24 must show that [defendant] knew or should have known that there was a substantial risk of a
25 serious harm to [plaintiff], and that [defendant] disregarded that risk by failing to take reasonable
26 measures to address it.
27
28 [[For cases in which the requisite level of culpability is conscious disregard of a great
29 risk of serious harm:]274 The second of these four elements requires [plaintiff] to show that
271
This option can be used if the court concludes that the requisite level of
culpability is subjective deliberate indifference. See Comment.
272
It is unclear who has the burden of proof with respect to a defendant’s claim of lack
of awareness of an obvious risk. See Comment 4.11.1.
273
This option can be used if the court concludes that the requisite level of culpability is
objective deliberate indifference. See Comment.
274
This option is designed for use in cases where the requisite level of culpability is
213
Last updated July 2019
4.14 Section 1983 – State-created Danger
1 [defendant] acted with conscious disregard of a great risk of serious harm. It is not enough to show
2 that [defendant] was careless or reckless. On the other hand, [plaintiff] need not show that
3 [defendant] acted with the purpose of causing harm. Rather, [plaintiff] must show that [defendant]
4 knew there was a great risk of serious harm, and that [defendant] consciously disregarded that
5 risk.]
6
7 The third of these four elements requires [plaintiff] to show that there was some type of
8 relationship between [defendant] and [plaintiff] that distinguished [plaintiff] from the public at
9 large. It is not enough to show that [defendant’s] conduct created a risk to the general public.
10 Instead, [plaintiff] must show that [defendant’s] conduct created a foreseeable risk to [plaintiff] [a
11 definable group of people including [plaintiff]]275.
12
13 Comment
14
15 To recover on a theory of state-created danger,276 “a plaintiff must prove four elements: (1)
16 the harm ultimately caused was foreseeable and fairly direct;” (2) the defendant possessed the
17 requisite degree of culpable intent; “(3) there existed some relationship between the state and the
18 plaintiff; and (4) the state actors used their authority to create an opportunity that otherwise would
19 not have existed” for harm to occur. Estate of Smith v. Marasco, 318 F.3d 497, 506 (3d Cir. 2003).
20
21 These elements appear to overlap significantly. Though each element is discussed more
22 fully below, the following rough summary may help to demonstrate the overlap: The first element,
23 obviously, focuses on foreseeability. The second element, culpable intent, is formulated by
24 weighing both the foreseeability of the harm and the defendant’s opportunity to reflect on that risk
25 of harm. The third element, the relationship between the state and the plaintiff, is designed to
26 eliminate claims arising merely from a risk to the public at large; this element focuses on whether
27 the plaintiff is a member of a discrete group whom the defendant subjected to a foreseeable risk.
214
Last updated July 2019
4.14 Section 1983 – State-created Danger
1 The fourth element again returns to the question of foreseeability and risk, this time by asking
2 whether the defendant subjected the plaintiff to an increased risk of harm. The overlap among
3 these elements shows their interconnected nature; but by elaborating this four-part test for liability,
4 the Court of Appeals has indicated that each of the four elements adds something important to the
5 analysis. The model therefore enumerates each element and attempts to explain its significance in
6 terms that distinguish it from the others.
7
8 The first element. “The first element . . . requires that the harm ultimately caused was a
9 foreseeable and a fairly direct result of the state's actions.” Morse v. Lower Merion School Dist.,
10 132 F.3d 902, 908 (3d Cir. 1997) (holding “that defendants . . . could not have foreseen that
11 allowing construction workers to use an unlocked back entrance for access to the school building
12 would result in the murderous act of a mentally unstable third party, and that the tragic harm which
13 ultimately befell Diane Morse was too attenuated from defendants' actions to support liability”).
14 Though the concepts of foreseeability and directness may largely overlap, they do express
15 somewhat distinct concepts, both of which presumably should be conveyed to the jury.
16
17 Foreseeability, of course, concerns whether the defendant should have foreseen the harm
18 at issue. See, e.g., Marasco, 318 F.3d at 508 (“[T]he Smiths have presented sufficient evidence to
19 allow a jury to find that at least some of the officers were aware of Smith's condition and should
20 have foreseen that he might flee and suffer adverse medical consequences when SERT was
21 activated.”); Phillips v. County of Allegheny, 515 F.3d 224, 237 (3d Cir. 2008) (“We have never
22 held that to establish foreseeability, a plaintiff must allege that the person who caused the harm
23 had a ‘history of violence.’ Indeed, these types of cases often come from unexpected or impulsive
24 actions which ultimately cause serious harm.”). See also L.R. v. School District of Philadelphia,
25 836 F.3d 235, 245 (3d Cir. 2016) (“We think the risk of harm in releasing a five-year-old child to
26 a complete stranger was obvious.”).
27
28 Directness concerns whether the chain of causation is too attenuated for liability to attach.
29 For example, in Morse, the Court of Appeals held both that the defendants could not have foreseen
30 that leaving a back door unlocked would result in the murder of someone in the school building
31 (i.e., that foreseeability was lacking), and that “[t]he causation, if any, is too attenuated” (i.e., that
32 the harm was not a direct enough result of the defendant’s actions). Similarly, in Henry v. Erie,
33 728 F.3d 275, 285 (3d Cir. 2013), the Court of Appeals affirmed the dismissal of a complaint
34 alleging that state officials subsidized the rent at an apartment while failing to enforce housing
35 standards requiring smoke detectors and an alternative means of egress because such alleged
36 actions did not lead “fairly directly” to the fire that claimed the plaintiffs’ lives. Rather than being
37 “close in time and succession,” the alleged actions by the defendants were “separated from the
38 ultimate harm by a lengthy period of time and intervening forces and actions.” Id. Compare
39 Phillips, 515 F.3d at 240 (holding this element met where complaint’s allegations justified the
40 inference “that Michalski used the time, access and information given to him by the defendants to
41 plan an assault on Mark Phillips and Ferderbar”). See also L.R. v. School District of Philadelphia,
215
Last updated July 2019
4.14 Section 1983 – State-created Danger
1 836 F.3d 235, 246 (3d Cir. 2016) (“Here, randomness and attenuation are not in play. [Defendant]
2 released Jane directly to the unidentified adult who sexually assaulted her the same day.”).
3 The second element. Prior to 1998, the Court of Appeals held that “[t]he second prong . . .
4 asks whether the state actor acted with willful disregard for or deliberate indifference to plaintiff's
5 safety.” Morse, 132 F.3d at 910. “In other words, the state's actions must evince a willingness to
6 ignore a foreseeable danger or risk.” Id. In County of Sacramento v. Lewis, 523 U.S. 833 (1998),
7 the Supreme Court held that a “shocks-the-conscience test” governs substantive due process claims
8 arising from high-speed chases, and that in the context of a high-speed chase that test requires “a
9 purpose to cause harm.” Id. at 854. The Court of Appeals has since made clear that state-created
10 danger claims require “a degree of culpability that shocks the conscience.” Bright v. Westmoreland
11 County, 443 F.3d 276, 281 (3d Cir. 2006).277 See also Morrow v. Balaski, 719 F.3d 160 (3d Cir.
12 2013) (en banc) (stating the second element as “a state actor acted with a degree of culpability that
13 shocks the conscience”); Mann v. Palmerton Area School District, 872 F.3d 165, 171-72 (3d Cir.
14 2017) (same, and holding that a “coach may be held liable where the coach requires a player,
15 showing signs of a concussion, to continue to be exposed to violent hits”); cf. Spady v. Bethlehem
16 Area Sch. Dist., 800 F.3d 633, 638 (3d Cir. 2015) (reciting the elements from pre-1998 cases,
17 including that “the state actor acted in willful disregard for the safety of the plaintiff”).
18
19 However, “the precise degree of wrongfulness required to reach the conscience-shocking
20 level depends on the circumstances of a particular case.” Marasco, 318 F.3d at 508. “The level
21 of culpability required to shock the conscience increases as the time state actors have to deliberate
22 decreases.” Sanford v. Stiles, 456 F.3d 298, 309 (3d Cir. 2006); see also, e.g., Walter v. Pike
23 County, Pa., 544 F.3d 182, 192-93 (3d Cir. 2008).
24
277
See also Marasco, 318 F.3d at 507 (noting that Miller v. City of Philadelphia,
174 F.3d 368, 374-75 (3d Cir.1999) “suggested that the ‘shocks the conscience’ standard
[applies] to all substantive due process cases”); Schieber v. City of Philadelphia, 320 F.3d
409, 419 (3d Cir. 2003) (opinion of Stapleton, J.) (“[N]egligence is not enough to shock
the conscience under any circumstances. . . . [M]ore culpability is required to shock the
conscience to the extent that state actors are required to act promptly and under pressure.
Moreover, the same is true to the extent the responsibilities of the state actors require a
judgment between competing, legitimate interests.”); id. at 423 (reversing denial of
summary judgment to police officers sued by parents who alleged their daughter was
murdered after officers responded to 911 call but failed to enter daughter’s apartment,
“[b]ecause the record would not support a finding of more than negligence on the part of”
the officers); see also id. at 423 (Nygaard, J., concurring) (stating that he did “not
disagree with [Judge Stapleton’s] analysis as far as it goes” but that the crux of the case
was the plaintiff’s failure to show an affirmative act on the part of the police).
216
Last updated July 2019
4.14 Section 1983 – State-created Danger
1 As the court explained in Haberle v. Troxell, 885 F.3d 170 (3d Cir. 2018):
2 The required degree of culpability varies based on the “the circumstances
3 of each case,” and, in particular, on the time pressure under “which the government
4 actor[ ] had to respond . . . .” Phillips v. Cty. of Allegheny, 515 F.3d 224, 240 (3d
5 Cir. 2008). Split-second decisions taking place in a “hyperpressurized
6 environment,” usually do not shock the conscience unless they are done with “an
7 intent to cause harm.” Sanford, 456 F.3d at 309. At the other end of the continuum,
8 actions taken after time for “unhurried judgments” and careful deliberation may
9 shock the conscience if done with deliberate indifference. Id. (quoting Lewis, 523
10 U.S. at 853, 118 S. Ct. 1708). In the middle are actions taken under “hurried
11 deliberation.” Id. at 310. Such situations involve decisions that need to be made “in
12 a matter of hours or minutes.” Ziccardi v. City of Philadelphia, 288 F.3d 57, 65 (3d
13 Cir. 2002). If that standard applies, then an officer’s actions may shock the
14 conscience if they reveal a conscious disregard of “a great risk of serious harm
15 rather than a substantial risk.” Sanford, 456 F.3d at 310.
16
17 Haberle, 885 F.3d at 177. See also Sauers v. Borough of Nesquehoning, 905 F.3d 711, 717 (3d
18 Cir. 2018) (“Our case law establishes three distinct categories of culpability depending on how
19 much time a police officer has to make a decision.”).
20
21 The classic example of a hyperpressurized situation is the high-speed car chase of a fleeing
22 suspect, addressed in section 4.15. If other cases arise in this category, it might be useful to draw
23 on Instruction 4.15.
24
25 For examples at the other end of the continuum, where there is time for unhurried
26 judgments, see, e.g., L.R. v. School District of Philadelphia, 836 F.3d 235, 246 (3d Cir. 2016)
27 (holding that “the appropriate culpability standard here is deliberate indifference, since there is
28 nothing to indicate that [defendant] faced circumstances requiring him to make a quick decision”);
29 Marasco, 318 F.3d at 508 (stating that “in the custodial situation of a prison, where forethought
30 about an inmate’s welfare is possible, deliberate indifference to a prisoner’s medical needs may be
31 sufficiently shocking”).278
278
In Phillips, Michalski was suspended and then fired from his job as a 911 dispatcher.
After his suspension, two of his former dispatcher colleagues gave him information that would
help him to locate Phillips (Michalski’s ex-girlfriend’s new boyfriend). After being fired,
Michalski told his former colleagues that he had nothing to live for and that his ex-girlfriend and
Phillips would “pay for putting him in his present situation.” The dispatchers failed to contact
Phillips, the ex-girlfriend, or the police departments of the areas in which those two people were
located. Michalski then shot and killed his ex-girlfriend, her sister, and Phillips. Phillips, 515
F.3d at 228-29. The court of appeals held that the deliberate indifference standard applied to the
217
Last updated July 2019
4.14 Section 1983 – State-created Danger
dispatchers because they “had no information which would have placed them in a
‘hyperpressurized environment.’” Id. at 241.
279
Despite stating the standard as one involving conscious disregard, the Sanford court
also noted in the next sentence – and apparently with respect to the same point on the shocks-the-
conscience spectrum – that “it is possible that actual knowledge of the risk may not be necessary
where the risk is ‘obvious.’” Sanford, 456 F.3d at 310. Earlier in its opinion (as mentioned in the
footnote following this one), the Sanford court discussed a similar point in connection with the
deliberate indifference standard, see id. at 309 & n.13.
See also Rivas v. City of Passaic, 365 F.3d 181, 184, 196 (3d Cir. 2004) (holding that
emergency medical technicians “who responded to an emergency in an apartment where a
middle-aged man was experiencing a seizure” would be held to have violated substantive due
process only if they “consciously disregard[ed] a substantial risk that [the man] would be seriously
harmed by their actions”) id. at 196 (stating that this test would be met if the EMTs had falsely
told police officers that the man was violent and had failed to tell the police officers that the man
was suffering a seizure); cf. Brown v. Commonwealth of Pennsylvania, 318 F.3d 473, 481 (3d Cir.
2003) (holding that “EMTs who attempted to arrive at the scene of the incident as rapidly as they
could” did not behave in a way that shocks the conscience).
218
Last updated July 2019
4.14 Section 1983 – State-created Danger
1 717. Sauers distinguished County of Sacramento v. Lewis, 523 U.S. 833 (1998), so that the intent-
2 to-harm standard set in Lewis applies when officers are responding to emergencies or making split-
3 second decisions to pursue fleeing suspects—but not when there is no compelling justification for
4 an officer to engage in high-speed pursuit and the officer has time to consider whether to engage
5 in such inherently risky behavior. See also Haberle v. Troxell, 885 F.3d 170 (3d Cir. 2018) (holding
6 that this intermediate standard applied where a person with suicidal tendencies had stolen a deadly
7 weapon (so this was not a time for casual deliberation) but a few hours had passed and there was
8 no indication of escalation (so instantaneous action was not required)).
9
10 Sauers concluded that the conduct alleged—making a u-turn and driving recklessly at
11 speeds over 100 miles per hour to pursue a non-fleeing motorist who had committed a minor traffic
12 offense, resulting in the death of a passenger in a unrelated vehicle—met this standard. By contrast,
13 Haberle concluded that an officer’s decision to “immediately knock [on the apartment door of a
14 suicidal person who had stolen a deadly weapon] while other officers counseled waiting manifests
15 only a disagreement over how to manage a risk, not a disregard of it,” 885 F.3d at 177-78, even
16 though suicide resulted immediately.
17
18 In Kaucher v. County of Bucks, 455 F.3d 418 (3d Cir. 2006), the Court of Appeals noted
19 uncertainty whether the deliberate-indifference test that applies under the Lewis substantive due
20 process framework is an objective or a subjective test, see id. at 428 n.5.280 The Court observed
21 that the Eighth Amendment deliberate-indifference test is subjective, see id. at 427, but that the
22 deliberate-indifference test for municipal liability is objective, see id. at 428 n.5. The Kaucher
23 Court “recognize[d] strong arguments weighing in favor of both standards,” but declined to decide
24 the question because the plaintiff’s claim failed under either standard. Id.281
280
See also Sanford, 456 F.3d at 309 & n.13 (noting “the possibility that
deliberate indifference might exist without actual knowledge of a risk of harm when the
risk is so obvious that it should be known,” but “leav[ing] to another day the question
whether actual knowledge is required to meet the culpability requirement in state-created
danger cases”).
281
The plaintiffs in Kaucher were a corrections officer and his spouse, both of
whom contracted drug-resistant Staphylococcus aureus infections. The Court of Appeals
upheld the dismissal of the plaintiffs’ substantive due process claims, on the ground that
the evidence would not permit a reasonable jury to find deliberate indifference on the part
of the defendants. See id. at 431. The Kaucher court, relying on Collins v. City of
Harker Heights, Tex., 503 U.S. 115 (1992), for the proposition “that the Constitution
does not guarantee public employees a safe working environment,” Kaucher, 455 F.3d at
424, distinguished claims by corrections employees from prisoner claims. Noting a
recent verdict in favor of inmates who had contracted staph infections, the Court of
219
Last updated July 2019
4.14 Section 1983 – State-created Danger
1 In L.R. v. School District of Philadelphia, 836 F.3d 235, 245 (3d Cir. 2016), the court of
2 appeals stated that a teacher who released a kindergartener to a stranger “knew, or should have
3 known, about the risk of his actions.” In Kedra v. Schroeter, 876 F.3d 424, 439 (3d Cir. 2017), the
4 court of appeals read this passage from L.R. as adopting the objective standard. Thus the current
5 standard in the circuit appears to be the objective standard.
6
7 Kedra, however, did not apply the objective standard to the defendant in that case, because
8 the objective standard had not been clearly established at the time of the conduct involved in that
9 case. It nevertheless concluded that the allegations of the complaint were “more than sufficient to
10 state a claim for a state-created danger based on actual knowledge of a substantial risk of serious
11 harm—the subjective theory of deliberate indifference that was then-clearly established.” 876 F.3d
12 at 444. Accordingly, there are cases, such as Kedra, that may go to a jury on the subjective
13 standard, because the underlying events occurred before the objective standard became clearly
14 established.
15
16 Kedra involved a police officer who was training other officers in firearm safety but failed
17 to perform safety checks. As a result, he failed to realize that the gun he was demonstrating was
18 loaded, and pointed that gun at a fellow officer and pulled the trigger, killing him. Applying the
19 subjective standard, the court of appeals explained that it had “regularly relied on the obviousness
20 of risk as a permissible and highly relevant basis from which to infer actual knowledge—even
21 directing in our Model Civil Jury Instructions that, in assessing deliberate indifference for state-
22 created danger claims, a jury is ‘entitled to infer from the obviousness of the risk that [the state
23 actor] knew of the risk.’ Third Circuit Model Civil Jury Instructions § 4.14 (Mar. 2017).” Kedra
24 v. Schroeter, 876 F.3d 424, 442 (3d Cir. 2017). Accordingly, the court concluded that the
25 allegations of the complaint permitted the inference that the defendant officer “acted with actual
26 knowledge of a substantial risk of lethal harm—that is, knowledge that gives rise to a degree of
27 culpability that shocks the conscience under the then-clearly established actual knowledge theory
28 of deliberate indifference.” Id. at 448 (internal quotation marks and citations omitted); see also id.
29 at 446–47 (stating that “the subjective knowledge test requires knowledge only of the substantial
30 risk of serious harm, not of the certainty of that harm”).
31
32 In Walter v. Pike County, 544 F.3d 182 (3d Cir. 2008), the Court of Appeals considered
33 claims arising from the July 2002 murder of a man who was pressing charges against the murderer
Appeals observed that the inmates had presented evidence of conditions that “did not
affect corrections officers, who were free to seek outside medical treatment, who did not
live in the jail, and who received detailed instructions on infectious disease prevention in
the jail's standard operating procedures.” Id. at 429 n.6. More generally, the Court of
Appeals noted “well recognized differences between the duties owed to prisoners and the
duties owed to employees and others whose liberty is not restricted.” Id. at 430.
220
Last updated July 2019
4.14 Section 1983 – State-created Danger
1 for sexually assaulting the victim’s daughters. The plaintiffs’ claims focused on two sets of law
2 enforcement actions: first, law enforcement officials’ August 2001 actions in involving the father
3 in the perpetrator’s arrest on the sexual assault charges, and second, the officials’ failure to warn
4 the father of the perpetrator’s subsequent menacing behavior (in the summer and perhaps the
5 spring of 2002) toward the police chief who arrested him. In holding that the plaintiffs’ state-
6 created danger claims failed, the Court of Appeals disaggregated the defendants’ actions at the
7 time of the arrest from the defendants’ state of mind when they later failed to warn the victim about
8 the perpetrator’s menacing behavior. The Court of Appeals held that (1) at the time of the arrest
9 in 2001 the defendants lacked the requisite culpable state of mind, and (2) at the time of the
10 subsequent failure to warn in 2002 the defendants may have had a culpable state of mind but they
11 took no affirmative act that would ground a state-created danger claim. See id. at 192-96. Under
12 Walter, it appears that some state-created danger claims may fail because the culpable state of
13 mind occurs too long after the affirmative act.
14
15 The third element. The third element requires “a relationship between the state and the
16 person injured . . . during which the state places the victim in danger of a foreseeable injury.”
17 Kneipp v. Tedder, 95 F.3d 1199, 1209 (3d Cir. 1996) (holding that jury could find third element
18 met where defendant, “exercising his powers as a police officer, placed [the plaintiff] in danger of
19 foreseeable injury when he sent her home unescorted in a visibly intoxicated state in cold
20 weather”).282 This element excludes cases “where the state actor creates only a threat to the general
21 population.” Morse, 132 F.3d at 913 (citing Martinez v. California, 444 U.S. 277, 285 (1980));
22 see also Mark v. Borough of Hatboro, 51 F.3d 1137, 1153 (3d Cir. 1995) (“When the alleged
23 unlawful act is a policy directed at the public at large – namely a failure to protect the public by
24 failing adequately to screen applicants for membership in a volunteer fire company” – the requisite
25 relationship is absent). However, the Court of Appeals has suggested that the plaintiff need not
26 always show that injury to the specific plaintiff was foreseeable – i.e., that “in certain situations,
27 [a plaintiff may] bring a state-created danger claim if the plaintiff was a member of a discrete class
28 of persons subjected to the potential harm brought about by the state's actions.” Morse, 132 F.3d
29 at 913 (dictum).283 “The primary focus when making this determination is foreseeability.” Id. See
282
See also Rivas, 365 F.3d at 197 (“If the jury credits ... testimony that [the police] were
told by the EMTs that Mr. Rivas physically assaulted Rodriguez but were not given any
information about his medical condition, it is foreseeable that Mr. Rivas would be among the
‘discrete class’ of persons placed in harm's way as a result of [the EMTs’] actions.”).
283
See also Marasco, 318 F.3d at 507 (“In Morse we held that the third requirement – a
relationship between the state and the plaintiff – ultimately depends on whether the plaintiff was
a foreseeable victim, either individually or as part of a discrete class of foreseeable victims.”);
Bright, 443 F.3d at 281 (third element requires “a relationship between the state and the plaintiff
... such that ‘the plaintiff was a foreseeable victim of the defendant's acts,’ or a ‘member of a
221
Last updated July 2019
4.14 Section 1983 – State-created Danger
1 also L.R. v. School District of Philadelphia, 836 F.3d 235, 247 & n.57 (3d Cir. 2016) (concluding
2 that the kindergarten student was a foreseeable victim of the teacher’s conduct in releasing her to
3 a stranger and noting that no “special relationship” is required on a state-created danger theory).
4
5 The fourth element. “The final element . . . is whether the state actor used its authority to
6 create an opportunity which otherwise would not have existed for the specific harm to occur,”
7 Morse, 132 F.3d at 914, or, in other words, “whether, but for the defendants' actions, the plaintiff
8 would have been in a less harmful position,” Marasco, 318 F.3d at 510.284 In Morse, the Court of
9 Appeals reasoned that “the dispositive factor appears to be whether the state has in some way
10 placed the plaintiff in a dangerous position that was foreseeable, and not whether the act was more
11 appropriately characterized as an affirmative act or an omission.” Morse, 132 F.3d at 915.285 More
12 recently, however, the Court of Appeals has required a “showing that state authority was
13 affirmatively exercised,” on the theory that “[i]t is misuse of state authority, rather than a failure
14 to use it, that can violate the Due Process Clause.” Bright, 443 F.3d at 282.286 The panel majority
15 in Bright stressed that the fourth element requires an affirmative act on the defendant’s part. See
16 id.287 Moreover, in Kaucher, the Court of Appeals noted that “a specific and deliberate exercise
discrete class of persons subjected to the potential harm brought about by the state's actions,’ as
opposed to a member of the public in general”).
284
See also Rivas, 365 F.3d at 197 (“A reasonable factfinder could conclude that the
EMTs' decision to call for police backup and then (1) inform the officers on their arrival that Mr.
Rivas had assaulted [an EMT], (2) not advise the officers about Mr. Rivas's medical condition,
and (3) abandon control over the situation, when taken together, created an opportunity for harm
that would not have otherwise existed.”).
285
Compare Kneipp, 95 F.3d at 1210 (concluding that a reasonable jury could find the
fourth element satisfied where “[t]he affirmative acts of the police officers ... created a dangerous
situation”).
286
See also Burella v. City of Philadelphia, 501 F.3d 134, 146 (3d Cir. 2007) (“Jill
Burella cannot succeed on her state-created danger claim because she fails to allege any facts
that would show that the officers affirmatively exercised their authority in a way that rendered
her more vulnerable to her husband's abuse.... As in Bright, Jill Burella does not allege any facts
that would establish that the officers did anything other than fail to act.”); Jiminez v. All
American Rathskeller, Inc., 503 F.3d 247, 255-56 (3d Cir. 2007) (following Bright); Phillips v.
County of Allegheny, 515 F.3d 224, 236 (3d Cir. 2008) (same).
287
The dissent in Bright, by contrast, argued that the fourth element can be satisfied by
combining an action with subsequent omissions. See Bright, 443 F.3d at 290 (Nygaard, J.,
222
Last updated July 2019
4.14 Section 1983 – State-created Danger
1 of state authority, while necessary to satisfy the fourth element of the test, is not sufficient. There
2 must be a direct causal relationship between the affirmative act of the state and plaintiff's harm.
3 Only then will the affirmative act render the plaintiff ‘more vulnerable to danger than had the state
4 not acted at all.’ ” Kaucher, 455 F.3d at 432 (quoting Bright, 443 F.3d at 281).288 In Morrow v.
5 Balaski, 719 F.3d 160, 178 (3d Cir. 2013) (en banc), the Court of Appeals stated while suspending
6 a bully “was an affirmative act by school officials, we fail to see how the suspension created a new
7 danger” for the plaintiff children or rendered them more vulnerable. The Court of Appeals refused
8 to treat the failure to expel the bully, or allowing him to return to school after the suspension, as
9 an affirmative act. It similarly refused to treat the school’s failure to prevent the bully from
10 boarding the plaintiffs’ bus as an affirmative act. Id. at 178-79 (“merely restating the Defendants’
11 inaction as an affirmative failure to act does not alter the passive nature of the alleged conduct”).
12 In L.R. v. School District of Philadelphia, 836 F.3d 235, 242-43 (3d Cir. 2016), the court of appeals
13 noted the “inherent difficulty in drawing a line between an affirmative act and a failure to act” and
14 found it useful to evaluate the status quo “before the alleged act or omission occurred, and then to
dissenting) (“The conduct alleged here, when taken together, contains both an initial act – the
confrontation between the parole officer and Koschalk – and then an omission – the parole
officer's abdication of his responsibility to take action on a clear parole violation.”).
288
See Phillips, 515 F.3d at 236 (following Kaucher). The requirement of a
causal relationship between the affirmative act and the plaintiff’s harm appears to have
been the dispositive problem for a state-created danger claim dismissed in Bennett v. City
of Philadelphia, 499 F.3d 281 (3d Cir. 2007). In Bennett, the Bennett family was placed
under the Philadelphia Department of Human Services’ supervision because the mother
posed a serious risk of harm to her children. Some three years later, DHS successfully
petitioned the family court to discharge its supervision of the family based on its
contention that it could not locate the family. Some three years after that, DHS received
a hotline report that the man with whom the Bennett children then lived beat them; but
whatever actions were taken by the DHS worker assigned to investigate that report failed
to prevent one of the Bennett children from being beaten to death three days after the
hotline report. The surviving children based their state-created danger claim against DHS
on the argument “that the closing of their dependency case rendered them more
vulnerable to harm by their mother and acquaintances because closing the case
effectively prevented a private source of aid, the Child Advocate, from looking for the
children.” Bennett, 499 F.3d at 289. The court upheld the grant of summary judgment to
the defendants, reasoning that “DHS' case closure did not prevent the Child Advocacy
Unit from searching for the children,” and thus that “Appellants failed to demonstrate a
material issue of fact that the City used its authority to create an opportunity for the
Bennett sisters to be abused that would not have existed absent DHS intervention.” Id.
223
Last updated July 2019
4.14 Section 1983 – State-created Danger
1 ask whether the state actor’s exercise of authority resulted in a departure from that status quo.”
2 Viewed from that perspective, the teacher’s “actions resulted in a drastic change to the status quo,
3 not a maintenance of a situation that was already dangerous.”
4 The Court of Appeals has summarized the fourth element’s requirements thus: “The three
5 necessary conditions to satisfy the fourth element of a state-created danger claim are that: (1) a
6 state actor exercised his or her authority,289 (2) the state actor took an affirmative action, and (3)
7 this act created a danger to the citizen or rendered the citizen more vulnerable to danger than if the
8 state had not acted at all.” Ye v. United States, 484 F.3d 634, 639 (3d Cir. 2007). In Ye, the plaintiff
9 presented evidence that despite the plaintiff’s cardiac symptoms the defendant, a government-
10 employed physician, told him there was nothing to worry about; that due to this assurance, he and
11 his family failed to seek timely emergency medical care; and that due to that failure, he suffered
12 permanent physical harm. See id. at 635-36. The Court of Appeals indicated that this evidence
13 would justify a reasonable jury in finding that the fourth element’s first and third sub-elements
14 were met – i.e., that the physician was exercising state authority, see id. at 639-40, and that but for
15 the physician’s assurance that he was fine, the plaintiff would have sought emergency treatment,
16 see id. at 642-43. But the Court of Appeals held that no reasonable jury could find for the plaintiff
17 on the second sub-element – the “affirmative action” requirement – because “a mere assurance
18 cannot form the basis of a state-created danger claim.” Id. at 640. The Ye Court, noting that the
19 state-created danger doctrine is an outgrowth of the Supreme Court’s discussion in DeShaney v.
20 Winnebago County Department of Social Services, 489 U.S. 189 (1989), relied on language in
21 DeShaney stating that “[i]n the substantive due process analysis, it is the State's affirmative act of
22 restraining the individual's freedom to act on his own behalf – through incarceration,
23 institutionalization, or other similar restraint of personal liberty – which is the ‘deprivation of
24 liberty’ triggering the protections of the Due Process Clause.” Ye, 484 F.3d at 640-41 (quoting
25 DeShaney, 489 U.S. at 200). The Court of Appeals reasoned that just as an assurance that someone
26 will be arrested does not meet the affirmative-act requirement, see Bright, 443 F.3d at 284, neither
27 does a doctor’s assurance that the patient is fine, see Ye, 484 F.3d at 641-42.
28
29 The Ye court recognized that the DeShaney opinion focused much of its attention on the
30 “special relationship” theory of liability (as distinct from a state-created danger theory), see Ye,
31 484 F.3d at 641, which raises some question as to whether the “deprivation of liberty” concept
32 should provide the template for judging all state-created danger claims. Perhaps for this reason,
289
Having set forth the first sub-element (requiring exercise of government authority),
the Ye Court acknowledged that this sub-element merely duplicates the “state action”
requirement for all Section 1983 claims (see supra Instructions 4.4 through 4.4.3): The court
rejected the defendant’s contention “that there exists an independent requirement that the
‘authority’ exercised must be peculiarly within the province of the state,” and explained that
“[t]he ‘authority’ language is simply a reflection of the ‘state actor’ requirement for all § 1983
claims.” Id. at 640.
224
Last updated July 2019
4.14 Section 1983 – State-created Danger
1 the Ye Court noted that “[t]he act that invades a plaintiff's personal liberty may not always be a
2 restraint, as in the special-relationship context.” Ye, 484 F.3d at 641 n.4. See, e.g., Phillips, 515
3 F.3d at 229, 243 (holding that complaint properly alleged state-created danger claim where it
4 alleged that 911 dispatchers gave their co-worker confidential information that enabled him to
5 locate and kill his ex-girlfriend's current boyfriend).
6
7 See the discussion of the second element, above, for a summary of Walter v. Pike County,
8 544 F.3d 182 (3d Cir. 2008), in which the plaintiffs’ claims failed because the defendants’
9 affirmative acts occurred at a time when the defendants did not (yet) have the requisite culpable
10 state of mind.
225
Last updated July 2019
4.15 Section 1983 – High-Speed Chase
290
Such claims will be governed by substantive due process rather than Fourth
Amendment standards, because there is no “seizure” for Fourth Amendment purposes
either during a high-speed chase or even when the police accidentally crash into a
suspect. See Lewis, 523 U.S. at 843-44; compare infra note 287 (discussing possibility
that seizure might result from use of force during high-speed chase). By contrast, when
police “s[eek] to stop [a suspect] by means of a roadblock and succeed[] in doing so[,]
[t]hat is enough to constitute a ‘seizure’ within the meaning of the Fourth Amendment,”
and the seizure will be evaluated under the Fourth Amendment reasonableness standard.
Brower v. County of Inyo, 489 U.S. 593, 599 (1989); see also Scott v. Harris, 127 S. Ct.
1769, 1776 (2007) (noting that law enforcement officer defendant did not dispute “that
his decision to terminate the car chase by ramming his bumper into respondent's vehicle
constituted a [Fourth Amendment] ‘seizure’”).
Prior to the Supreme Court’s decision in Lewis, the Court of Appeals had already
226
Last updated July 2019
4.15 Section 1983 – High-Speed Chase
1 automobile chase aimed at apprehending a suspected offender .... only a purpose to cause harm
2 unrelated to the legitimate object of arrest will satisfy the element of arbitrary conduct shocking to
3 the conscience, necessary for a due process violation.” Id. at 836. The Lewis Court rejected a less
4 demanding standard (such as deliberate indifference) because it reasoned that the decision whether
5 to pursue a high-speed chase had to be made swiftly and required police to weigh competing
6 concerns: “on one hand the need to stop a suspect and show that flight from the law is no way to
7 freedom, and, on the other, the high speed threat to all those within stopping range, be they
8 suspects, their passengers, other drivers, or bystanders.” Id. at 853. Based on the conclusion that
9 “the officer's instinct was to do his job as a law enforcement officer, not to induce [the motorcycle
10 driver’s] lawlessness, or to terrorize, cause harm, or kill,” the Court found no substantive due
11 process violation in Lewis. Id. at 855.
12
13 Courts should not “second guess a police officer's decision to initiate pursuit of a suspect
14 so long as the officers were acting ‘in the service of a legitimate governmental objective,’ ” such
15 as “to apprehend one fleeing the police officers' legitimate investigation of suspicious behavior.”
16 Davis v. Township of Hillside, 190 F.3d 167, 170 (3d Cir. 1999) (quoting Lewis, 523 U.S. at 846).
17 In Davis, the plaintiff asserted that a police car chasing a suspect bumped the suspect’s car, causing
18 the suspect to hit his head and pass out, which caused the suspect’s car to collide with other cars,
19 one of which hit and injured the plaintiff (a bystander). See id. at 169. Finding no “evidence from
20 which a jury could infer a purpose to cause harm unrelated to the legitimate object of the chase,”
21 the Court of Appeals affirmed the grant of summary judgment to the defendants. Id. Judge McKee
22 concurred but wrote separately to note that “if the record supported a finding that police
23 gratuitously rammed [the suspect’s] car, and if plaintiff properly alleged that they did so to injure
24 or terrorize [the suspect], liability could still attach under Lewis.” Id. at 172-73 (McKee, J.,
25 concurring); see also id. at 173 (“I do not read the majority opinion as holding that police can use
26 any amount of force during a high speed chase no matter how tenuously the force is related to the
applied the “shocks the conscience” standard to police pursuit claims. See Fagan v. City
of Vineland, 22 F.3d 1296, 1308-09 (3d Cir. 1994) (en banc). Because Lewis provides a
more specific articulation of the “shocks the conscience” standard as applied to police
pursuit cases, the model instruction follows Lewis. However, Lewis was distinguished in
Sauers v. Borough of Nesquehoning, 905 F.3d 711 (3d Cir. 2018) (stating that the intent-
to-harm standard set in Lewis applies when officers are responding to emergencies or
making split-second decisions to pursue fleeing suspects—but not when there is no
compelling justification for an officer to engage in high-speed pursuit and the officer has
time to consider whether to engage in such inherently risky behavior). In some
circumstances, then, Instruction 4.14 rather than 4.15 may be appropriate for a high speed
pursuit.
227
Last updated July 2019
4.15 Section 1983 – High-Speed Chase
291
In at least some instances, the use of force by police during a high-speed chase could
effect a seizure so as to trigger the application of Fourth Amendment standards. In explaining
that a seizure occurs “only when there is a governmental termination of freedom of movement
through means intentionally applied,” Brower, 489 U.S. at 597, the Court gave the following
example:
[I]n the hypothetical situation that concerned the Court of Appeals[,] [t]he
pursuing police car sought to stop the suspect only by the show of authority
represented by flashing lights and continuing pursuit; and though he was in fact
stopped, he was stopped by a different means – his loss of control of his vehicle
and the subsequent crash. If, instead of that, the police cruiser had pulled
alongside the fleeing car and sideswiped it, producing the crash, then the
termination of the suspect's freedom of movement would have been a seizure.
Id.; see also Scott v. Harris, 127 S. Ct. 1769, 1777-79 (2007) (using Fourth Amendment
excessive force analysis to assess claim arising from county deputy’s decision to ram fleeing
suspect’s car with his bumper in order to end the chase).
228
Last updated July 2019
4.16 Section 1983 – Duty to Protect Child in Foster Care
292
If the plaintiff is someone other than the child, then the child’s name (rather than the
plaintiff’s name) should be inserted in appropriate places in this instruction.
293
It is unclear who has the burden of proof with respect to a defendant’s claim of lack
of awareness of an obvious risk. See Comment 4.11.1.
229
Last updated July 2019
4.16 Section 1983 – Duty to Protect Child in Foster Care
230
Last updated July 2019
4.16 Section 1983 – Duty to Protect Child in Foster Care
1 the conscience”; the precise level of culpability required will vary depending on the circumstances,
2 and especially on the availability (or not) of the opportunity for the defendant to deliberate before
3 acting. See id. at 810. In Nicini, the Court of Appeals applied a “deliberate indifference” standard.
4 See id. at 811 (“In the context of this case . . . Cyrus's actions in investigating the Morra home
5 should be judged under the deliberate indifference standard.”).296 The Nicini court did not,
6 however, decide whether this “deliberate indifference” standard should follow the subjective
7 “deliberate indifference” standard applied to prisoners’ Eighth Amendment claims, see Nicini, 212
8 F.3d at 811 (citing Farmer v. Brennan, 511 U.S. 825 (1994)),297 or whether a defendant’s “failure
9 to act in light of a risk of which the official should have known, as opposed to failure to act in light
10 of an actually known risk, constitutes deliberately indifferent conduct in this setting,” because
substantive due process claims for failure to protect a child in foster care. Nicini, 212
F.3d at 811 n.9.
296
Compare Miller v. City of Philadelphia, 174 F.3d 368, 375-76 (3d Cir. 1999)
(“[A] social worker acting to separate parent and child . . . . rarely will have the luxury of
proceeding in a deliberate fashion . . . . As a result, . . . the standard of culpability for
substantive due process purposes must exceed both negligence and deliberate
indifference, and reach a level of gross negligence or arbitrariness that indeed ‘shocks the
conscience.’”); B.S. v. Somerset County, 704 F.3d 250, 267-68 (3d Cir. 2013) (applying
Miller and holding that child welfare worker’s actions in obtaining court order and
removing daughter from mother’s custody did not “shock the conscience”); Mulholland
v. Government County of Berks, 706 F.3d 227, 234, 241-44 (3d Cir. 2013) (applying
Miller and finding no conscience-shocking behavior by county agency in removal of
plaintiffs’ children and grandchild or in assertion during administrative appeal that
Mulholland’s status “should be changed from ‘indicated’ perpetrator [of child abuse] to
‘founded’ perpetrator”).
297
For a discussion of this standard, see the Comment to Instruction 4.11, supra.
A number of circuits have adopted a subjective standard. See, e.g., Hernandez ex
rel. Hernandez v. Texas Dept. of Protective and Regulatory Services, 380 F.3d 872, 882
(5th Cir. 2004) (“[T]he central inquiry for a determination of deliberate indifference must
be whether the state social workers were aware of facts from which the inference could
be drawn, that placing children in the Clauds foster home created a substantial risk of
danger.”); Lewis v. Anderson, 308 F.3d 768, 775-76 (7th Cir. 2002) (“If state actors are to
be held liable for the abuse perpetrated by a screened foster parent, under K.H. the
plaintiffs must present evidence that the state officials knew or suspected that abuse was
occurring or likely.”); Ray v. Foltz, 370 F.3d 1079, 1083-84 (11th Cir. 2004) (issue is
whether “defendants had actual knowledge or deliberately failed to learn of the serious
risk to R.M. of the sort of injuries he ultimately sustained”).
231
Last updated July 2019
4.16 Section 1983 – Duty to Protect Child in Foster Care
1 under either standard the court held the plaintiff’s claim should fail, see Nicini, 212 F.3d at 812
2 (holding that defendant’s conduct “amounted, at most, to negligence”).
232
Last updated July 2019