Elder v. Holloway

984 F.2d 991, 1993 WL 13398
CourtCourt of Appeals for the Ninth Circuit
DecidedJanuary 27, 1993
DocketNo. 91-35146
StatusPublished
Cited by26 cases

This text of 984 F.2d 991 (Elder v. Holloway) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Elder v. Holloway, 984 F.2d 991, 1993 WL 13398 (9th Cir. 1993).

Opinions

KOZINSKI, Circuit Judge,

with whom Circuit Judges PREGERSON, NORRIS, REINHARDT and TROTT join,

dissenting

from the order rejecting the suggestion for rehearing en banc.

It is not every day that one witnesses the birth of a totally new legal doctrine. And with good reason. Established legal principles, honed over decades — sometimes centuries — generally have much experience and wisdom behind them. Monumental change should be made only for compelling reasons and after careful consideration of all foreseeable consequences.

Despite the opinion’s modest language, the panel here has taken quite an extraordinary step. Simply stated, the panel has held that in raising a pure question of law a party may rely on appeal only on those authorities which it cited to the district court. A court of appeals, in turn, must ignore its own (and the Supreme Court’s) controlling case law if it was not cited to the court below. The panel reaches this result by adding a new term to the argot of jurisprudence: “legal facts.” The term is as self-contradictory and nonsensical as the doctrine it supports. Because we can ill afford to maintain this precedent as the law of this circuit, I respectfully dissent from the court’s refusal to take this case en banc.

I

The underlying facts are simple: Defendants, all police officers, surrounded Charles Elder’s house and ordered him to come out. He did come out and was promptly arrested in front of his house. Elder sued under 42 U.S.C. § 1983, alleging the police violated his Fourth Amendment right to not be arrested in his home without a valid warrant. Defendants moved for summary judgment claiming qualified immunity. To overcome the immunity defense, plaintiff cited a variety of cases to demonstrate that the specific Fourth Amendment right he sued on was clearly established. None of the cases was directly on point, and the district court granted defendants’ motion. Unknown to the parties and the district court was United States v. Al-Azzawy, 784 F.2d 890 (9th Cir.1985), cert. denied, 476 U.S. 1144, 106 S.Ct. 2255, 90 L.Ed.2d 700 (1986), which showed that the “principle [on which plaintiff rested his case] was clearly established at the time of Elder’s arrest.” Elder v. Holloway, 951 F.2d 1112, 1114 (9th Cir.1991) (previous version of this opinion).1

Whether the right was clearly established at the time of the incident, the majority recognizes, is a “pure question of law.” Elder v. Holloway, 975 F.2d 1388, 1392 (9th Cir.1992) (quoting Romero v. Kitsap County, 931 F.2d 624, 627-28 (9th Cir.1991)). It is, of course, well understood that questions of law are reviewed by us de novo, giving no deference to the ruling of the district court. Pierce v. Underwood, 487 U.S. 552, 557, 108 S.Ct. 2541, 2545, 101 L.Ed.2d 490 (1988); Bose Corp. v. Consumers Union, 466 U.S. 485, 501, 104 S.Ct. [993]*9931949, 1959, 80 L.Ed.2d 502 (1984); United States v. Silverman, 861 F.2d 571, 576 (9th Cir.1988) (“Under the de novo standard of review, we do not defer to the lower court’s ruling but freely consider the matter anew, as if no decision had been rendered below.”).

The reason for de novo review of legal questions is obvious enough: We are in a better position than the district court to resolve legal questions. We “are not encumbered, as are trial judges, by the vital, but time-consuming, process of hearing evidence.” United States v. McConney, 728 F.2d 1195, 1201 (9th Cir.) (en banc), cert. denied, 469 U.S. 824, 105 S.Ct. 101, 83 L.Ed.2d 46 (1984). We see many legal issues repeatedly, giving us a greater familiarity with the subject matter. We also have the advantage of sitting in panels where we can deliberate about legal issues. Even the en banc process (which failed us here) lets us talk to each other about issues that the district court must decide alone.

When it comes to facts, however, the district court has an institutional advantage. It can observe witnesses, hear their testimony, and see and touch the physical evidence. Our review of questions of fact is therefore very limited. This leaves resolving questions of law — if necessary, by writing opinions that refine, clarify and develop existing legal doctrines — as our principal mission.

Given these defined areas of responsibility, the panel’s holding is a true anomaly. According to the panel, because the plaintiff in a qualified immunity case has the burden of showing the defendant violated clearly established law, the relevant law on that point becomes a fact — a legal fact— which the plaintiff must prove up in the district court. But there is nothing about qualified immunity that requires or permits treating the law as fact. Facts by their nature are case specific. They must be proven through witnesses or documentary evidence; the proof is subject to skeptical review by the trier of fact who may not accept all that is put in front of him. Law is external to any particular case; it is not subject to evaluation by the trier of fact; it can be raised for the first time on appeal because it need not — cannot—be established by use of percipient witnesses or documentary evidence.

Every issue in every case turns on both fact and law; facts outside a legal framework are as irrelevant as abstract legal principles. When we say, for example, that the plaintiff must prove certain facts at trial, we mean he must first establish what the law is and then conform his proof to the applicable legal standard.2 If the plaintiff misunderstands the law, he may well prove up the wrong set of facts. The failure to get the law right in such a case may then be fatal, not because law is fact, but because a party can’t supplement the record on appeal once it discovers that it missed the legal target in the district court. It is quite another matter to say, as the panel does, that even though the facts proved in the district court would be sufficient to defeat a claim of qualified immunity under the existing law, the party might lose because it forgot to cite the correct case below.

The panel’s misguided ruling shifts the focus of the qualified immunity inquiry from the clarity of the law actually violated by the defendants to the clarity of the law as presented by the plaintiff to the district court. Thus, under the panel’s opinion, a government official’s conduct is not evaluated under the standard announced by the Supreme Court — the clearly established law at the time the official acted — but on the basis of what case law the plaintiff’s lawyer managed to dredge up and cite below. This is a drastic departure from the way questions of law are decided and reviewed in our system, where the adversaries present their versions of the law to the court and the court renders its determi[994]

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Elder v. Holloway
984 F.2d 991 (Ninth Circuit, 1993)

Cite This Page — Counsel Stack

Bluebook (online)
984 F.2d 991, 1993 WL 13398, Counsel Stack Legal Research, https://law.counselstack.com/opinion/elder-v-holloway-ca9-1993.