John McCottrell v. Marcus White
Opinion of the Court
The plaintiffs were inmates at Stateville Correctional Center when they were struck by buckshot fired by the defendant prison guards. The plaintiffs sued under
I.
On summary judgment, we must construe the facts in favor of the nonmovant, and may not make credibility determinations or weigh the evidence.
Anderson v. Liberty Lobby, Inc.
,
On this occasion, a scuffle broke out between two inmates (for security reasons, we will not name them) who were entering the hall via the chute, approximately forty to fifty feet from where the plaintiffs were seated. The brawling inmates were not armed and were wrestling or tussling with one another. Several correctional officers quickly intervened in the confrontation. Both inmates initially resisted the staff but short blasts of pepper spray from the officers on the floor brought compliance from each. According to the plaintiffs, after the inmates were separated and subdued, they were in the process of being handcuffed when White and Williams simultaneously discharged their shotguns over the dining hall.
Before proceeding, we must clarify the summary judgment record regarding the direction in which the shots were fired. In the district court, the plaintiffs argued that the guards fired toward the inmates in the dining hall, rather than into the ceiling. R. 82, at 1-2. Both plaintiffs testified in their depositions that, although they did not see where the guards were aiming their guns, they both assumed that the guns must have been pointed toward the inmates because of the number of inmates who were hit by buckshot and because of their own wounds. R. 75-3, Tr. at 34; R. 75-2, Tr. at 21. The guards averred that they fired into the ceiling. In response to the defendants' statement of uncontested facts, the plaintiffs' lawyer contended that it was unlikely that both guards had fired into the ceiling because it was composed of acoustic tile and yet four inmates were struck by buckshot.
But the direction of fire cannot be conclusively resolved on this thin and disputed
record. Circumstantial evidence supports two possible paths for the buckshot to travel to the plaintiffs. The plaintiffs' assertion that the guns were pointed toward the inmates is a reasonable inference drawn from circumstantial evidence given that the buckshot penetrated the clothing and the skin of multiple bystander inmates (including the plaintiffs). One could argue that when A fires a gun and the bullet ends up in B, the most natural inference is that the gun was pointed at B. That inference in this case is supported by the force with which the buckshot arrived (again, the shot penetrated the clothing and skin of the plaintiffs and buckshot remains embedded in Clay's arm) and the number of persons injured. The defendants' alternate assertion that the buckshot arrived indirectly, by ricochet, is also a reasonable inference, given that the shotguns (devices designed to scatter the pellets loaded in the shell) were fired indoors, in a crowded room, and away from the device installed to reduce ricochet. That inference is supported by the defendants' affidavits, but those affidavits do not conclusively resolve which competing inference is correct.
Circumstantial evidence "is proof of a fact, or a series of facts, that tends to show that some other fact is true." Seventh Circuit Pattern Jury Instructions - Civil § 1.12. For example, the observation of someone entering a room carrying a wet umbrella is circumstantial evidence that it is raining.
Id
. Similarly, the presence of buckshot in a person's body gives rise to competing inferences that the shotgun was either pointed in that person's direction or pointed in a manner that allowed the shot to arrive indirectly, by ricochet. Courts routinely direct juries that the "law makes no distinction between the weight to be given to either direct or circumstantial evidence."
Id
. That is so because "[c]ircumstantial evidence is not only sufficient, but may also be more certain, satisfying and persuasive than direct evidence."
Desert Palace, Inc. v. Costa
,
The dissent's assertion that the plaintiffs have "no evidence that the officers shot into the crowd" is incorrect. The plaintiffs possess circumstantial evidence that the gun was pointed in their direction. In the dissent's view, a court would be required to conclusively credit a witness's sworn statement that it was not raining even in the face of the proverbial wet umbrella. But in the face of circumstantial evidence, a jury would not be required to credit the defendants' statements here, and that would leave the two competing inferences that the shot arrived either directly or indirectly. On summary judgment, a " 'court may not assess the credibility of witnesses, choose between competing inferences or balance the relative weight of conflicting evidence; it must
view all the evidence in the record in the light most favorable to the non-moving party and resolve all factual disputes in favor of the non-moving party.' "
Orton-Bell v. Indiana
,
Contrary to the dissent's charge that we have given the plaintiffs "an assist," the plaintiffs' arguments below and on appeal encompass both the possibility that the shots were fired into the ceiling, as the defendants claim, or toward the inmates, as may be inferred from the injuries sustained.
See
R. 82, at 1-2 (characterizing the defendants' actions as "[f]iring shotguns into a crowd of innocent bystanders ..." and asserting that defendants "were aiming at them when they fired").
White and Williams filed written Incident Reports with prison authorities and submitted to interviews with an internal affairs investigator from the Illinois Department of Corrections regarding the event. They also submitted affidavits with their motion for summary judgment. White and Williams wrote the Incident Reports within hours of the event, and the interviews took place in the early afternoon of the same day. In his brief Incident Report, Williams wrote that when staff rushed in to separate the inmates, the inmates began to struggle with the staff. He asserted that he believed the lives of the staff were in danger and so he "fired a warning round into the ceiling." He wrote that staff members were then able to secure the inmates. Williams told the investigator that he saw the inmates begin to fight but did not see any weapons. The inmates were wrestling up against a wall when staff rushed in to separate them. Williams saw the staff separate the inmates but did not see whether any officers on the ground used pepper spray. After the inmates were pulled apart, he could see only one of the inmates and that man was resisting and non-compliant but did not strike any staff members. Williams claimed that he thought the lives of the guards were in danger and so he fired a warning shot into the ceiling. R. 86, at 52-53.
In his Incident Report, White wrote that he saw the two inmates striking each other in the face and head with closed fists. He saw security staff respond to the scene and attempt to break up the fight but the men continued to be combative and would not stop fighting. At that point, White said, he believed that lives were in imminent danger and so he fired one warning shot into the ceiling. After the shot, the guards on the floor were able to separate and restrain the brawling inmates. White told the investigator that Williams directed his attention to the chute where two inmates were "punching each other in the face." He saw "a bunch of staff" attempt to stop the fight but the inmates continued to scuffle. White reported that the inmates were "still going at it" when he fired a warning shot into the ceiling. He did not see a weapon and did not see the inmates strike any staff member but would not rule out the possibility that a staff member had been struck. White told the investigator that he fired the warning shot because he felt that the staff members were in imminent danger. Finally, White said that he saw the staff members use pepper spray after he fired the warning shot.
After completing interviews and receiving reports from staff and inmate witnesses, the investigator issued a report concluding that both White and Williams "violated Department Rules regarding Use of Excessive Force[.]" R. 86, at 5. The investigator found that the shots were fired immediately after one of the guards administered pepper spray toward one of the brawling inmates. Both defendants failed to note in their Incident Reports that the fighting inmates had been separated before the warning shots were fired. Both White and Williams also failed to give accurate depictions of the incident in chronological order in their official reports. For example, White's claim that the inmates
were "still going at it" when he fired a warning shot conflicted with the video and other evidence.
McCottrell and Clay sued Williams and White under
On November 6, 2013, I witnessed two offenders fighting within the dining hall. Correctional staff acted quickly to separate the offenders. However, one of the offenders continued to struggle with correctional staff and refused to comply. Correctional staff members were having difficulty restraining this offender. I discharged a warning shot into the ceiling.
R. 75-5, at 2. Williams' affidavit repeats this language word for word, adding the phrase, "toward the nearest shot-box" to the end of the final sentence. R. 75-4, at 2. White added to his affidavit that he shot into the ceiling as opposed to the shot box because he had been advised that it would decrease the risk of ricochet and he wished to minimize that risk. Thus, contrary to their earlier reports, they acknowledged during the litigation that the inmates had been separated and that only a single inmate purportedly continued to struggle at the time the shots were fired. Williams had not previously reported that his firearm was directed toward the shot box, and White had not previously claimed that he believed the ceiling to present less of a risk of ricochet than the shot box. Both guards averred that they believed that warning shots were necessary to restore safety and order in the dining hall, that the struggling offender posed a serious threat to the correctional staff attempting to subdue him, that they did not know whether the offender possessed a weapon, and that they did not fire their weapons with the intent to injure anyone.
The district court granted summary judgment in favor of the defendants after concluding that the plaintiffs lacked evidence that the officers' use of force was wanton or unnecessary. Noting the statements of White and Williams that they fired the shots in order to restore order, the court found that the defendants' belief that the shots were necessary was reasonable given that prison fights often escalate quickly and inmates sometimes use makeshift
weapons. Crediting the defendants' statements that the shots were fired toward the ceiling rather than in the direction of the plaintiffs, the district court found that the direction of the shots indicated an attempt to temper the severity of the response. The court also noted that neither officer knew the plaintiffs or harbored any personal ill will toward them. After reviewing a blurry surveillance video of the dining hall, the court concluded that the shots were fired while one of the inmates continued to struggle with the officers, and the court found that it was therefore reasonable to believe that the warning shot was necessary to restore order.
II.
On appeal, McCottrell and Clay assert that there are genuine issues of material fact regarding the intent of the defendant officers when they fired the shots over the dining hall. They argue that the court should have applied the five-factor test set forth by the Supreme Court in
Hudson v. McMillian
,
A.
The Eighth Amendment forbids the imposition of "cruel and unusual punishments" against persons convicted of crimes.
Whitley
,
The bystander inmate sustained severe injuries to his leg as well as mental and emotional distress. Like McCottrell and Clay, he brought suit under
At most, this evidence, which was controverted by petitioners' experts, establishes that prison officials arguably erred in judgment when they decided on a plan that employed potentially deadly force. It falls far short of a showing that there was no plausible basis for the officials' belief that this degree of force was necessary. Indeed, any such conclusion would run counter to common sense, in light of the risks to the life of the hostage and the safety of inmates that demonstrably persisted notwithstanding repeated attempts to defuse the situation. An expert's after-the-fact opinion that danger was not "imminent" in no way establishes that there was no danger, or that a conclusion by the officers that it was imminent would have been wholly unreasonable.
Whitley
,
In reaching this conclusion, the Court reasoned that Eighth Amendment claims must be analyzed "with due regard for differences in the kind of conduct
against which an Eighth Amendment objection is lodged."
Whitley
,
But, in making and carrying out decisions involving the use of force to restore order in the face of a prison disturbance, prison officials undoubtedly must take into account the very real threats the unrest presents to inmates and prison officials alike, in addition to the possible harms to inmates against whom force might be used.
Whitley
,
Where a prison security measure is undertaken to resolve a disturbance ... that indisputably poses significant risks to the safety of inmates and prison staff, ... the question whether the measure taken inflicted unnecessary and wanton pain and suffering ultimately turns on "whether force was applied in a good faith effort to maintain or restore discipline or maliciously and sadistically for the very purpose of causing harm."
Whitley
,
The ultimate determination of the intent of the person applying the force in an excessive force claim involving prison security measures depends upon a number of factors, including: (1) the need for the application of force; (2) the relationship between the need and the amount of force that was used; (3) the extent of injury inflicted; (4) the extent of the threat to the safety of staff and inmates, as reasonably perceived by the responsible officials on the basis of the facts known to them; and (5) any efforts made to temper the severity of a forceful response.
Whitley
,
Deference must be accorded to prison administrators in the adoption and execution of policies and practices that are needed to preserve order and ensure institutional security.
Whitley
,
[That deference] does not insulate from review actions taken in bad faith and for no legitimate purpose, but it requires that neither judge nor jury freely substitute their judgment for that of officials who have made a considered choice. Accordingly, in ruling on a motion for a directed verdict in a case such as this, courts must determine whether the evidence goes beyond a mere dispute over the reasonableness of a particular use of force or the existence of arguably superior alternatives. Unless it appears that the evidence, viewed in the light most favorable to the plaintiff, will support a reliable inference of wantonness in the infliction of pain under the standard we have described, the case should not go to the jury.
Whitley
,
Although Whitley involved a prison riot that included a guard being held hostage, the Court later remarked that the concerns underlying the holding of Whitley apply whenever guards use force to keep order:
Whether the prison disturbance is a riot or a lesser disruption, corrections officers must balance the need "to maintain or restore discipline" through force against the risk of injury to inmates. Both situations may require prison officials to act quickly and decisively. Likewise, both implicate the principle that " '[p]rison administrators ... should be accorded wide-ranging deference in the adoption and execution of policies and practices that in their judgment are needed to preserve internal order and discipline and to maintain institutional security.' " In recognition of these similarities, we hold that whenever prison officials stand accused of using excessive physical force in violation of the Cruel and Unusual Punishments Clause, the core judicial inquiry is that set out in Whitley : whether force was applied in a good-faith effort to maintain or restore discipline, or maliciously and sadistically to cause harm.
Hudson
,
In
Hudson
, the Court also made clear that not "every malevolent touch by a prison guard gives rise to a federal cause of action."
B.
In this case, the threshold question of whether the force applied was more than
de minimis
is easily answered. The firing of two shotguns toward the crowd, or into the ceiling of a crowded dining hall no doubt qualifies as more than a
de minimis
use of force, as the district court found.
See
McCottrell v. Correctional Officers
, No. 1:15-cv-03208, slip. op. at 9,
Setting aside for a moment the plaintiffs' claim that the guards may have fired directly toward the crowd, the dissent suggests that firing two shotguns loaded with buckshot into the ceiling of a crowded dining hall cannot be deemed to be malicious and sadistic or even characterized as an intentional application of force without a showing that a guard "intended to hit or harm someone with his application of force." That standard is met here. A jury may infer intent to make physical contact from the nature of the act taken, and spraying buckshot into a crowded room, either directly towards people or by the known force of ricochet, is circumstantial evidence that gives rise to an inference that the guards intended to injure the persons seated below. As we discuss
infra
, both defendants averred that they fired into the ceiling, avoiding the device intended to minimize ricochet. That action of purposely avoiding the shot box gives rise to an inference that the guards intended to make physical contact. That they might not have cared which particular inmate (or how many inmates) they hit is not relevant to the question of whether they intentionally applied force. Discharging shotguns loaded with buckshot in a crowded dining hall was a "force applied" that was more than
de minimis.
From consideration of the
Whitley
factors, "inferences may be drawn as to whether the use of force could plausibly have been thought necessary, or instead evinced such wantonness with respect to the unjustified infliction of harm as is tantamount to a knowing willingness that it occur."
Whitley
,
Although
Whitley
afforded deference to prison officials during a disturbance, the Court did "not insulate from review actions taken in bad faith and for no legitimate purpose."
The dissent also asserts that, in order to show that the guards intentionally shot the plaintiffs (as opposed to recklessly disregarding the risk of ricochet), the plaintiffs could have introduced evidence regarding the composition of the ceiling in order to demonstrate that ricochet was "very likely." In that event, the dissent continues, "firing into the ceiling would be the functional equivalent of firing into the crowd." Post , at 675. There is no evidence in the record regarding the composition of the ceiling but there is evidence that the prison regarded the ceiling as a dangerous target: the prison itself installed shot boxes throughout the facility to reduce ricochet from warning shots. The installation of those boxes is evidence that the prison itself considered ricochet to be "very likely." A jury may infer from the presence of the shot boxes that the guards were aware that a shotgun blast to the ceiling would ricochet into the crowd below.
As we discuss below, in analyzing the fifth
Whitley
factor (efforts made to temper the severity of the force), the plaintiffs contend that "failure to hit the shot box might have been malicious." Opening Brief at 26. The plaintiffs argued that the guns were either directed at the crowd or at the ceiling. They maintained that if the shots were fired into the ceiling, a reasonable jury could infer that the guards' "failure to hit the shot box intended to catch buckshot was because they did not want the buckshot caught." Opening Brief at 26. The plaintiffs also argued that a jury could find that the guards' claims regarding the shot box (including their inability to hit it or their decisions to aim elsewhere, purportedly for safety reasons) were not credible, especially in light of their other misleading statements.
Id
. Thus, the plaintiffs do in fact cite circumstantial evidence that shooting at the ceiling (and away from the shot box)
was
functionally equivalent to sending buckshot into the crowd. This is more than recklessness, as the dissent asserts; a jury could conclude that this application of force "evinced such wantonness with respect to the unjustified infliction of harm as is tantamount to a knowing willingness that it occur."
Whitley
,
C.
So we turn to the five factors that the Supreme Court set forth in
Whitley
, the controlling test for determining intent when more than
de minimis
force is applied in a prison disturbance.
1.
The first factor is the need for the application of force, and on this point, there are material disagreements of fact. The plaintiffs produced evidence that the fight was nothing more than a minor shoving match between two unarmed combatants, and that the tussling inmates had been separated and subdued and were in the process of being handcuffed when the shots were fired. In the plaintiffs' view, there was no need for the warning shots because the officers on the ground had already successfully used pepper spray to secure the situation. Some of the factual conclusions of the internal affairs report bolster this view. The report found that the fighting inmates had already been separated, that neither was armed with a weapon, that no staff members had been struck, and that the fighting inmates were brought to compliance with the application of pepper spray before the shots were fired.
The defendant guards, on the other hand, told an evolving story about the sequence of events, at first reporting that the inmates were fighting and struggling with staff members who were trying to separate them at the moment the shots were fired, then later stating that the inmates had been separated before the shots were fired, and then finally that the inmates had been separated and only one inmate continued to struggle before the shots were then fired. A jury could infer from the shifting stories told by the guards that they were not truthful regarding the need for the application of force.
See
Reeves
,
If the plaintiffs are correct about the sequence of events, then there was arguably no need for warning shots at all.
Lewis
,
2.
The second factor, the relationship between the need for force and the amount of force employed, is closely tied to the first factor. Obviously, if there was
no
need for the warning shots, then those shots were significantly disproportionate to the need for force. The guards on the
floor were already applying force, pulling the offenders apart and applying pepper spray when they did not comply with handcuffing procedures. Again, the stories told by the plaintiffs and the guards are materially different, and the prison itself concluded that the additional force applied by the defendants was not needed to secure the situation. That is not to say that the officers' violation of prison policies regarding the use of force was evidence of an unconstitutional amount of force. We have found in the Fourth Amendment context, for example, that "the violation of police regulations or even a state law is completely immaterial as to the question of whether a violation of the federal constitution has been established."
Thompson v. City of Chicago
,
As we noted in footnote 6 above, the district court concluded that the report was admissible under Federal Rule of Evidence 803(8), as "factual findings from a legally authorized investigation," a conclusion that the defendants did not contest on appeal. Thus, the plaintiffs are free to use the factual findings of the report to demonstrate that there are genuine issues of material fact that must be resolved at trial. It is not the prison's policies or the guards' violations of those policies that are relevant. Only the factual findings may be considered, and those findings bolster the plaintiffs' evidence that the shots were fired after the conflict was over, at a time when there may have been "no plausible basis for the officials' belief that this degree of force was necessary."
Whitley
,
3.
We next consider the extent of injury inflicted. McCottrell and Clay each suffered physical and psychological wounds caused by the buckshot. In Clay's case, the wound had to be closed with stitches and the buckshot remains in his arm. McCottrell bled from the wounds in his neck and leg, and required pain medication. Both men also suffered psychological trauma from the event and sought treatment for their emotional injuries. "Injury and force ... are only imperfectly correlated, and it is the latter that ultimately counts."
Wilkins
,
4.
The fourth factor is the extent of the threat to the safety of staff and inmates, as reasonably perceived by the responsible individuals on the basis of the facts known to them. The evidence on this point is also mixed. The guards presented evidence that the dining hall is the site of frequent fights, that makeshift weapons sometimes appear during these incidents, that the guards on the floor are vastly outnumbered by the inmates in the hall, and that prison fights can escalate quickly. No doubt even a shoving match between two inmates can quickly turn into something much more serious. The undisputed evidence demonstrated that even after guards were able to pull the inmates apart, they continued to struggle for some period of time until pepper spray brought about compliance. From beginning to end, the entire incident lasted less than a minute and the guards in the tower had to decide very quickly whether the warning shots were necessary. Under the standards set forth in Whitley , this factor initially appears to favor White and Williams.
At the same time, other witnesses reported that the fight was over by the time the shots were fired, that no weapons had materialized, that no other inmates joined the fracas, and that no staff had been attacked. Unlike
Whitley
, there was no prison riot, no hostage, and no armed agitator. In combination with the finding that White and Williams gave inaccurate and evolving accounts of the sequence of events, a jury could infer that their perception of the threat was not reasonable. If the defendants saw that the fight was over and that the guards on the floor had the situation under control, then there was no penological justification for firing warning shots, giving rise to an inference of malice and sadism.
Whitley
,
5.
The fifth and final factor is whether any efforts were taken to temper the severity of a forceful response. This factor is also disputed. As we discussed above, there is a reasonable inference that the guards fired directly toward the bystander inmates. Supra at pp. 656-59. That would indicate that little or no effort was taken to temper the severity of the force. Even the defendants' evidence, as construed in favor of the plaintiffs, demonstrates that White and Williams purposely fired into the ceiling rather than the shot box, the device intended to reduce injuries from ricochet. Williams submitted an affidavit during summary judgment proceedings in which he stated that he "discharged a warning shot into the ceiling toward the nearest shot-box." R. 75-4, at 2. Williams did not indicate whether he was trying to hit the shot box and missed, or purposely aimed at the ceiling, but the evidence raises an inference that he purposely shot at the ceiling. In his official "Incident Report," Williams wrote that he "fired one warning round into the ceiling." R. 85, at 54. In his interview with the investigator, he also stated that he fired a round "into the ceiling." R. 85, at 52. Only in his affidavit did he add the detail that he fired the shot "toward the nearest shot-box." Construing this account in favor of the plaintiffs, Williams chose the ceiling rather than the shot box for the warning shot. As discussed above, the plaintiffs also raised a reasonable inference that the shots were directed toward the inmates.
White conceded that he purposely "discharged a warning shot into the ceiling," rather than at the shot box. He claimed that, prior to this incident, he "had been told by [his] colleagues that shooting into the ceiling, as opposed to the shot box, decreased the chance of ricochet." R. 75-5, at 2-3. He asserted that he fired into the ceiling "in order to minimize the chance that anyone would be struck by ricocheted buckshot." R. 75-5, at 3.
In any event, this evidence, construed in favor of the plaintiffs, indicates that both White and Williams purposely fired into the ceiling rather than the shot box. If the jury determines that the shots were directed at the ceiling instead of toward the inmates, the jury must also assess the credibility of White's purported reason for his choice. Williams has yet to explain why he did not fire into the shot box. Negligence (even gross negligence) is not actionable but neither defendant has claimed that he mistakenly missed the shot box. A jury could conclude that purposely shooting toward the inmates or into the ceiling of a crowded dining hall rather than the shot box "evinced such wantonness with respect to the unjustified infliction of harm as is tantamount to a knowing willingness that it occur."
Whitley
,
Moreover, purposely avoiding the shot box served no penological purpose. That is, a warning shot aimed at the shot box fulfills the purpose of a warning shot, and no additional penological value is gained by purposely avoiding this safety device, again giving rise to an inference of malice and sadism.
See
Fillmore
,
D.
There are a number of contested issues of material fact that preclude the entry of summary judgment at this stage. To summarize, a finder-of-fact must first determine whether the guards intended to hit the inmates with buckshot when they discharged their shotguns over the crowded dining hall, a calculus that depends in part on the disputed direction of fire. Whether the guards fired in the direction of the inmates or at the ceiling, there are genuine disputes of material fact for virtually every factor in the Supreme Court's five-part test, and we must vacate the judgment and remand for further proceedings.
The facts, construed in favor of the plaintiffs, support an inference that the defendants acted maliciously and sadistically rather than in good faith to restore order. If the jury found both that the brawling inmates were subdued before the shots were fired
and
that the defendants perceived as much, then the jury could find that by purposely discharging shotguns toward the crowd or into the ceiling (rather than toward the shot box), the defendants acted maliciously and sadistically for the purpose of causing harm, and did so at a time when there was no need for any force. The jury would have to focus on what the defendants could see and actually did see before they discharged their firearms. But on this record, we cannot rule out the possibility that the defendants saw that the fight was over, and that the combatants had been separated and subdued before the shots were fired. Failing to accurately depict the event in official reports and failing to aim for the very device intended to protect bystanders are
facts that weigh in favor of the plaintiffs' view that the officers' actions were not a good faith effort to restore order but rather were undertaken maliciously and sadistically for the very purpose of causing harm.
Hudson
,
III.
We acknowledge that the Supreme Court called for deference to prison officials making split-second decisions during disturbances. But a jury must determine whether the shots were fired during an ongoing struggle that threatened staff and other prisoners, or after the struggle was over.
Whitley
,
VACATED AND REMANDED.
At his deposition, Clay testified that the guards "separated the individuals that was tussling, put cuffs on them, and then a shot rang out." R. 75-3, Tr. at 11. He also testified that, "Both inmates were separated. Both inmates was in handcuffs, so there was no need to shoot." R. 75-3, Tr. at 65. But he also testified that the inmates were "being cuffed" at the moment the shot rang out. R. 75-3, Tr. at 25-26. In response to the clarifying question, "They were both handcuffed?" Clay responded, "They was being cuffed at that time." R. 75-3, Tr. at 25. That specific clarification governs our understanding of the timing, although it is not necessary to the outcome to determine whether the cuffs were in place or in the process of being applied when the shots were fired.
The plaintiffs' counsel argued that ricochet was unlikely in response to the claim by the guards that they fired at the ceiling rather than directly at the crowd. Having not seen the direction of fire, the plaintiffs argued in the alternative that the guns were either pointed directly at the crowd or at the ceiling and away from the shot boxes. We address the plaintiffs' preservation of this claim infra at note 5 and accompanying text.
We agree with the dissent that the district court correctly resolved the hearsay issue but as we explain, hearsay was
not
the only evidence supporting an inference that the guards fired in the direction of the inmates. The district court did not address the plaintiffs' circumstantial evidence on this point. On summary judgment, the scope of our review is plenary. Although we review the court's ruling on the hearsay issue for abuse of discretion, we review the grant of summary judgment
de novo
, granting no deference to the district court.
Haynes v. Indiana Univ.
,
As the dissent notes, an internal investigation into the incident also characterizes the injuries as occurring from the ricochet of warning shots. But the report does not expressly analyze the issue of the direction of fire and reaches no official conclusion on that issue. The part of the report quoted by the dissent is based on "information" that initiated the investigation. The report then addresses various versions of the incident from staff and inmate witnesses. The report assumes that the injuries occurred by ricochet. In any case, the report presents nothing more than a competing view of a contested fact, and it is not conclusive for summary judgment purposes.
Indeed, even the defendants extensively referenced the plaintiffs' theory that the shots were fired in their direction in their Statement of Uncontested Facts. R. 75, at 5, ¶¶ 24-29. Paragraph 27 specifies, "Plaintiff McCottrell admits that the only reason he believes that the gun was aimed at him when he was shot is the fact that he was hit." The plaintiffs, in turn, admitted that assertion in their Response. R. 84, at 6. The defendants argued in their Memorandum of Law in Support of Their Motion for Summary Judgment that the plaintiffs' injuries were not sufficient evidence of the defendants' intent , and that there was no evidence supporting a claim that they fired directly into the dining hall. R. 76, at 12. The plaintiffs then countered in their response brief below that they both credibly believed that the defendants were aiming at them when the shotguns were discharged. R. 82, at 2. In their reply, the defendants argued that the plaintiffs' injuries were not evidence of the direction of fire, characterizing this circumstantial evidence as an assertion of the plaintiffs' "unsupported beliefs." R. 90, at 3-4. But as we explain, it is reasonable to infer from the presence of buckshot in a person's body that the shooter was pointing the shotgun in that person's direction.
The district court concluded that the factual findings from the internal affairs report were admissible under Federal Rule of Evidence 803(8), and the defendants have not challenged that conclusion. We discuss below the use of the report in summary judgment proceedings.
There is no "Rule 501.30 Justifiable Use of Force," and so the reference to Rule 501.30 may have been in error. Rule 501.30 covers "Resort to Force," and Rule 501.40 is titled "Justifiable Use of Force." Both rules would arguably apply to the incident at issue here.
The plaintiffs initially raised a number of additional claims against the guards and the prison's health care providers but the only claim that is on appeal is the one against White and Williams for excessive force.
Like the district court, we too have reviewed the video. The quality of the blurred black and white video is extremely poor and there is no audio track. It is difficult to distinguish one individual from another in the area where the fight took place, and it is only from the reactions of the seated bystanders that one could hazard a guess as to when the shots were fired. Although there is a counter/time index included with the video, the parties could not agree during Clay's deposition whether the index represented seconds elapsed. R. 75-3, Tr. at 31. The jerky motion of the persons moving in the video suggests that more than one second has elapsed between frames or that perhaps only one image was taken each second; it is simply impossible to tell. It is also impossible to determine when the pepper spray was applied. We cannot discern from the video if the fighting inmates were continuing to struggle with officers at the time the shots were fired. But the internal affairs investigator who cited the video had the benefit of interviewing the persons depicted in it and appears to have drawn conclusions about the video based on those interviews as well as on the video itself. A person who participated in the event might be able to identify the blurry figures and the actions taken but we are not able to do so. The district court made no express ruling on the admissibility of the video. The defendants made no attempt in the record to lay a foundation for the video, and so we have no idea if the view presented in the video is the same view that the guards had of the situation. Nor do we know whether the video has been altered in any way. We will not draw independent factual conclusions from it. To the extent that the district court's interpretation of the poor quality video conflicts with the testimony of the plaintiffs or the conclusions of the investigator who interviewed the persons involved in the incident, we must credit the plaintiffs' version of events on summary judgment.
Cf.
Scott v. Harris
,
As we will discuss below, in
Whitley v. Albers
,
The district court suggested that, in
Fillmore v. Page
,
In the final sentence of their brief on appeal, the defendants also assert that they were "at least entitled to qualified immunity." Defendants' Brief at 31. Perfunctory and undeveloped arguments are waived, and we need not consider this single-sentence argument further.
Tobey v. Chibucos
,
Dissenting Opinion
As the plaintiffs briefed and argued this case, they would have lost it. They argued that the defendants violated the Eighth Amendment by discharging their weapons into the ceiling, rather than into the shot box, immediately after the fight had been broken up and there was no plausible need for that use of force. But they did not argue-and had no evidence to prove-that the defendants intentionally hit anyone. That deficit should have been fatal, because if the officers did not intend to hit anyone, they could not have done so "maliciously and sadistically," as
Whitley v. Albers
requires.
The Supreme Court has drawn a clear distinction between the standard applicable to claims challenging the conditions of confinement and the standard applicable to claims challenging the use of excessive force. In
Farmer v. Brennan
, it explained
that prisoners challenging the conditions of their confinement must show that officials were deliberately indifferent to an excessive risk to inmate health or safety, and that "deliberate indifference to a substantial risk of serious harm to a prisoner is the equivalent of recklessly disregarding that risk."
The Court emphasized, however, that " 'application of the deliberate indifference standard is inappropriate' in one class of prison cases: when 'officials stand accused of using excessive physical force.' "
An inmate cannot satisfy the "malicious and sadistic" standard without showing that a guard intended to hit or harm someone with his application of force. After all, if the guard did not intentionally apply force to a prisoner, how could he have had a malicious and sadistic intent to cause him pain? In the absence of an intent to exert force on someone, there is nothing for the
Whitley
factors to probe.
Faced with this hole in the plaintiffs' case, the majority gives them an assist by changing the case. It offers two theories of why the plaintiffs can show that the guards intended to shoot the inmates. First, it insists that the guards might have shot directly into the crowd of inmates, rather than at the ceiling. Second, it suggests that the guards might have intentionally tried to hit the inmates by bouncing buckshot off of the ceiling. Yet the plaintiffs did not raise the first argument at all before us, and the second argument consists of one oblique sentence in their brief. And in any event, there is insufficient evidence in the record to permit a reasonable juror to draw either conclusion.
In the district court, the plaintiffs relied on the hearsay testimony of two other inmates to support the claim that the guards shot directly into the crowd. The defendants, in contrast, swore in their affidavits that they aimed at the ceiling. The district court resolved that issue against the plaintiffs. It stated:
Plaintiffs have speculated that the Officer Defendants were aiming at them, but it is undisputed that they did not see where the Officer Defendants were aiming and there is no admissible evidence that would create a genuine factual dispute regarding where the Officer Defendants aimed. ... Plaintiffs have attempted to create a factual dispute by asserting that two inmates, identified only as "Rico" and "Fuzz," told McCottrell that they observed one of the Officer Defendants aiming at the inmates. This statement, however, is inadmissible hearsay, and the Court may not consider it at the summary judgment stage. As a result, there is no evidence suggesting that the Officer Defendants aimed at the inmates.
Memorandum Opinion and Order at 12 (record citations omitted).
The plaintiffs have not challenged either the district court's evidentiary ruling or its conclusion that the plaintiffs had failed to create a factual dispute on this issue. That was a prudent choice. The district court's resolution of the hearsay issue was plainly correct, and without that testimony, the plaintiffs have no evidence that the officers shot into the crowd. It bears emphasis that this is so even if the officers lied in their affidavits about the direction of the shots. A plaintiff cannot discharge her burden simply by tearing the defendant's case down; "[i]nstead, the plaintiff must present affirmative evidence in order to defeat a properly supported motion for summary judgment."
Anderson v. Liberty Lobby, Inc.
,
Although the plaintiffs do not ask us to reverse this ruling, the majority, reading between the lines of the brief, maintains that "the plaintiffs' arguments ... encompass
both the possibility that the shots were fired into the ceiling ... or toward the inmates." Maj. Op. at 658. Yet in the absence of an explicit factual assertion that the officers fired into the crowd, much less an explicit request that we reverse the district court, it is safe to say that the plaintiffs have waived this argument on appeal. The majority resurrects the issue on its own, and-faulting the district court for failing to appreciate the significance of circumstantial evidence-concludes that the plaintiffs can rest on the fact that shots hit them to prove that the guards fired at them. That argument should have lost even if the plaintiffs had made it. One can draw two plausible inferences from the circumstantial evidence of the plaintiffs' injury: the buckshot hit them either directly or by ricochet. The officers' affidavits and the prison's internal affairs report, which asserts that the "[i]nmates were struck with pellets from the ricochet" of warning shots, support the ricochet theory.
As for the claim that the guards indirectly aimed at the plaintiffs by intentionally bouncing buckshot off the ceiling and into the crowd: this too is an argument that the plaintiffs do not develop and that the evidence does not support. To be sure, the plaintiffs contend that the guards fired into the ceiling and that the buckshot then ricocheted and hit them. But to show that the guards intentionally shot them-as opposed to recklessly disregarding the risk that the buckshot would ricochet-the plaintiffs needed to introduce some evidence that guards were intentionally, albeit indirectly, aiming to hit them.
The most that the plaintiffs say to support a "deliberate ricochet" theory is that "a reasonable jury could [ ] determine that Defendants' decision to shoot in the first place and their failure to hit the shot box intended to catch buckshot was because they did not want the buckshot caught." The guards' failure to hit the shot box is certainly evidence in the plaintiffs' favor. But without any evidence of how likely ricochet was from the ceiling, the comparatively lower risk of ricochet from the shot box would not permit a reasonable jury to find that the officers pinballed buckshot off the ceiling with the intent to hit a prisoner.
If the plaintiffs could win by showing that the guards recklessly put them at risk by firing warning shots into the ceiling after the fight on the floor was under control, I would agree that they could survive summary judgment. But because that is not the standard, I respectfully dissent.
That is not to say that the guard must intend to exert force on the particular inmate who is injured.
See
Gomez v. Randle
,
The majority minimizes the report's repeated statements that the plaintiffs were injured by ricochet, asserting that these statements reflect no more than an assumption about the direction of the shots. Maj. Op. at 657 n.4. It was not an assumption. The report concludes by stating that "[a]fter a total review of the evidence, statements, reports, and all available facts," the investigators determined that White and Williams "used an unreasonable amount of force ( warning shot )" in violation of Department policy. (Emphasis added). A "warning shot" is one intentionally aimed away from people. The report does not identify a single piece of evidence suggesting that there was direct fire, and such evidence would have been important, to say the least, in an investigation of whether the officers used unreasonable force.
According to the majority, my view is that "a court would be required to conclusively credit a witness's sworn statement that it was not raining even in the face of the proverbial wet umbrella." Maj. Op. at 657. That is certainly not my view. The overwhelming inference raised by the circumstantial evidence of a wet umbrella is that it was raining outside; the inference is nowhere close to as powerful here. I'm also unsure why the majority invokes "the force with which the buckshot arrived ... and the number of persons injured" as additional circumstantial evidence that the guards aimed at the prisoners rather than at the ceiling. Maj. Op. at 656-57. As an initial matter, the record contains no evidence about the force with which the bullets hit the inmates, and the incident report, which determined that the inmates' injuries were "minor," is inconsistent with the proposition that the shots hit the inmates with great force. Moreover, the force of the hit and the number of injuries support the "direct hit" theory only if those two factors would be different with a hit from ricochet. Maybe they would be. To carry their burden on summary judgment, though, the plaintiffs would have had to introduce evidence to support that.
The majority says that under my reading of
Whitley
, "a guard could blindly unload a shotgun above a crowd of bystanders with impunity because making contact is not a certainty." Maj. Op. at 665. But those facts-a guard emptying his shotgun above a crowd of bystanders-raise an inference that the guard intended for a bullet to hit someone. The facts in this case-two guards each firing a warning shot into the ceiling-do not, standing alone, raise the same inference. It is also worth observing that a guard who shoots a gun outside the context of prison discipline is subject to the "criminal recklessness" standard of
Farmer v. Brennan
, and there is no doubt that unloading a shotgun above a crowd of bystanders would be criminally reckless.
Reference
- Full Case Name
- John MCCOTTRELL and Dustin S. Clay, Plaintiffs-Appellants, v. Marcus WHITE and Labarin Williams, Defendants-Appellees.
- Cited By
- 200 cases
- Status
- Published