
B
The common-law rule of immunity is thus well settled.21 We now must determine whether the same considerations of
public policy that underlie the common-law rule likewise countenance absolute immunity under § 1983. We think
they do.
If a prosecutor had only a qualified immunity, the threat of § 1983 suits would undermine performance of his
duties no less than would the threat of common-law suits for malicious prosecution. A prosecutor is duty bound
to exercise his best judgment both in deciding which suits to bring and in conducting them in court. The public
trust of the prosecutor's office would suffer if he were constrained in making every decision by the consequences
in terms of his own potential liability in a {*425} suit for damages. Such suits could be expected with some frequency,
for a defendant often will transform his resentment at being prosecuted into the ascription of improper and malicious
actions to the State's advocate. Cf. Bradley v. Fisher, 13 Wall., at 348; Pierson v. Ray, 386 U.S., at 554. Further,
if the prosecutor could be made to answer in court each time such a person charged him with wrongdoing, his energy
and attention would be diverted from the pressing duty of enforcing the criminal law.
Moreover, suits that survived the pleadings would pose substantial danger of liability even to the honest prosecutor.
The prosecutor's possible knowledge of a witness' falsehoods, the materiality of evidence not revealed to the defense,
the propriety of a closing argument, and -- ultimately in every case -- the likelihood that prosecutorial misconduct
so infected a trial as to deny due process, are typical of issues with which judges struggle in actions for post-trial
relief, sometimes to differing conclusions.22 The presentation of such issues in a § 1983 action often would
require a virtual retrial of the criminal offense in a new forum, and the resolution of some technical issues by
the lay jury. It is fair to say, we think, that the honest prosecutor would face greater difficulty in meeting
the standards of qualified immunity than other executive or administrative officials. Frequently acting under serious
constraints of time and even information, a prosecutor inevitably makes many decisions that could engender colorable
claims of constitutional deprivation. Defending these decisions, often years after they were made, could impose
unique {*426} and intolerable burdens upon a prosecutor responsible annually for hundreds of indictments and trials.
Cf. Bradley v. Fisher, supra, at 349.
The affording of only a qualified immunity to the prosecutor also could have an adverse effect upon the functioning
of the criminal justice system. Attaining the system's goal of accurately determining guilt or innocence requires
that both the prosecution and the defense have wide discretion in the conduct of the trial and the presentation
of evidence.23 The veracity of witnesses in criminal cases frequently is subject to doubt before and after they
testify, as is illustrated by the history of this case. If prosecutors were hampered in exercising their judgment
as to the use of such witnesses by concern about resulting personal liability, the triers of fact in criminal cases
often would be denied relevant evidence.24
{*427} The ultimate fairness of the operation of the system itself could be weakened by subjecting prosecutors
to § 1983 liability. Various post-trial procedures are available to determine whether an accused has received
a fair trial. These procedures include the remedial powers of the trial judge, appellate review, and state and
federal post-conviction collateral remedies. In all of these the attention of the reviewing judge or tribunal is
focused primarily on whether there was a fair trial under law. This focus should not be blurred by even the subconscious
knowledge that a post-trial decision in favor of the accused might result in the prosecutor's being called upon
to respond in damages for his error or mistaken judgment.25
We conclude that the considerations outlined above dictate the same absolute immunity under § 1983 that the
prosecutor enjoys at common law. To be sure, this immunity does leave the genuinely wronged defendant without civil
redress against a prosecutor whose malicious or dishonest action deprives him of liberty. But the alternative of
qualifying a prosecutor's immunity would disserve the broader public interest. It would prevent the vigorous and
fearless performance of the prosecutor's duty that is essential to the proper functioning {*428} of the criminal
justice system.26 Moreover, it often would prejudice defendants in criminal cases by skewing post-conviction judicial
decisions that should be made with the sole purpose of insuring justice. With the issue thus framed, we find ourselves
in agreement with Judge Learned Hand, who wrote of the prosecutor's immunity from actions for malicious prosecution:
S
"As is so often the case, the answer must be found in a balance between the evils inevitable in either alternative.
In this instance it has been thought in the end better to leave unredressed the wrongs done by dishonest officers
than to subject those who try to do their duty to the constant dread of retaliation." Gregoire v. Biddle,
177 F.2d 579, 581 (CA2 1949), cert. denied, 339 U.S. 949 (1950).I
See Yaselli v. Goff, 12 F.2d, at 404; cf. Wood v. Strickland, 420 U.S., at 320.27
We emphasize that the immunity of prosecutors from {*429} liability in suits under § 1983 does not leave the
public powerless to deter misconduct or to punish that which occurs. This Court has never suggested that the policy
considerations which compel civil immunity for certain governmental officials also place them beyond the reach
of the criminal law. Even judges, cloaked with absolute civil immunity for centuries, could be punished criminally
for willful deprivations of constitutional rights on the strength of 18 U.S.C. § 242,28 the criminal analog
of § 1983. O'Shea v. Littleton, 414 U.S. 488, 503 (1974); cf. Gravel v. United States, 408 U.S. 606, 627 (1972).
The prosecutor would fare no better for his willful acts.29 Moreover, a prosecutor stands perhaps unique, among
officials whose acts could deprive persons of constitutional rights, in his amenability to professional discipline
by an association of his peers.30 These checks undermine the argument that the imposition of civil liability is
the only way to insure that prosecutors are mindful of the constitutional rights of persons accused of crime.
{*430} IV
It remains to delineate the boundaries of our holding. As noted, supra, at 416, the Court of Appeals emphasized
that each of respondent's challenged activities was an "integral part of the judicial process." 500 F.2d,
at 1302. The purpose of the Court of Appeals' focus upon the functional nature of the activities rather than respondent's
status was to distinguish and leave standing those cases, in its Circuit and in some others, which hold that a
prosecutor engaged in certain investigative activities enjoys, not the absolute immunity associated with the judicial
process, but only a good-faith defense comparable to the policeman's.31 See Pierson v. Ray, 386 U.S., at 557. We
agree with the Court of Appeals that respondent's activities were intimately associated with the judicial phase
of the criminal process, and thus were functions to which the reasons for absolute immunity apply with full force.32
We have no occasion to consider whether like or similar reasons require immunity for those aspects of the prosecutor's
responsibility that cast him in the role of an administrator or investigative {*431} officer rather than that of
advocate.33 We hold only that in initiating a prosecution and in presenting the State's case, the prosecutor is
immune from a civil suit for damages under § 1983.34 The judgment of the Court of Appeals for the Ninth Circuit
accordingly is
Affirmed.
MR. JUSTICE STEVENS took no part in the consideration or decision of this case.
CONCURRENCE
MR. JUSTICE WHITE, with whom MR. JUSTICE BRENNAN and MR. JUSTICE MARSHALL join, concurring in the judgment.
I concur in the judgment of the Court and in much of its reasoning. I agree with the Court that the gravamen of
the complaint in this case is that the prosecutor knowingly used perjured testimony; and that a prosecutor is absolutely
immune from suit for money damages under 42 U.S.C. § 1983 for presentation of testimony later determined to
have been false, where the presentation of such testimony is alleged to have been unconstitutional solely because
the prosecutor did not believe it or should not have believed it to be true. I write, however, because I believe
that the Court's opinion may be read as {*433} extending to a prosecutor an immunity broader than that to which
he was entitled at common law; broader than is necessary to decide this case; and broader than is necessary to
to protect the judicial process. Most seriously, I disagree with any implication that absolute immunity for prosecutors
extends to suits based on claims of unconstitutional suppression of evidence because I believe such a rule would
threaten to injure the judicial process and to interfere with Congress' purpose in enacting 42 U.S.C. § 1983,
without any support in statutory language or history.
I
Title 42 U.S.C. § 1983 provides: S
"Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any State or Territory,
subjects, or causes to be subjected, any citizen of the United States or other person within the jurisdiction thereof
to the deprivation of any rights, privileges, or immunities secured by the Constitution... shall be liable to the
party injured in an action at law, suit in equity, or other proper preceding for redress."I
As the language itself makes clear, the central purpose of § 1983 is to "give a remedy to parties deprived
of constitutional rights, privileges and immunities by an official's abuse of his position." Monroe v. Pape,
365 U.S. 167, 172 (1961) (emphasis added). The United States Constitution among other things, places substantial
limitations upon state action, and the cause of action provided in 42 U.S.C. § 1983 is fundamentally one for
"[m]isuse of power, possessed by virtue of state law and made possible only because the wrongdoer is clothed
with the authority of state law." United States v. Classic, 313 U.S. 299, 326 (1941). It is manifest then
that all state {*434} officials as a class cannot be immune absolutely from damage suits under 42 U.S.C. §
1983 and that to extend absolute immunity to any group of state officials is to negate pro tanto the very remedy
which it appears Congress sought to create. Scheuer v. Rhodes, 416 U.S. 232, 243 (1974). Thus, as there is no language
in 42 U.S.C. § 1983 extending any immunity to any state officials, the Court has not extended absolute immunity
to such officials in the absence of the most convincing showing that the immunity is necessary. Accordingly, we
have declined to construe § 1983 to extend absolute immunity from damage suits to a variety of state officials,
Wood v. Strickland, 420 U.S. 308 (1975) (school board members); Scheuer v. Rhodes, supra (various executive officers,
including the State's chief executive officer); Pierson v. Ray, 386 U.S. 547 (1967) (policemen); and this notwithstanding
the fact that, at least with respect to high executive officers, absolute immunity from suit for damages would
have applied at common law. Spalding v. Vilas, 161 U.S. 483 (1896); Alzua v. Johnson, 231 U.S. 106 (1913). Instead,
we have construed the statute to extend only a qualified immunity to these officials, and they may be held liable
for unconstitutional conduct absent "good faith." Wood v. Strickland, supra, at 315. Any other result
would "deny much of the promise of § 1983." Id., at 322. Nonetheless, there are certain absolute
immunities so firmly rooted in the common law and supported by such strong policy reasons that the Court has been
unwilling to infer that Congress meant to abolish them in enacting 42 U.S.C. § 1983. Thus, we have held state
legislators to be absolutely immune from liability for damages under § 1983 for their legislative acts, Tenney
v. Brandhove, 341 U.S. 367 (1951),1 and state {*435} judges to be absolutely immune from liability for their judicial
acts, Pierson v. Ray, supra.2
In justifying absolute immunity for certain officials, both at common law and under 42 U.S.C. § 1983, courts
have invariably rested their decisions on the proposition that such immunity is necessary to protect the decision-making
process in which the official is engaged. Thus legislative immunity was justified on the ground that such immunity
was essential to protect "freedom of speech and action in the legislature" from the dampening effects
of threatened lawsuits. Tenney v. Brandhove, supra, at 372. Similarly, absolute immunity for judges was justified
on the ground that no matter how high the standard of proof is set, the burden of defending damage suits brought
by disappointed litigants would "contribute not to principled and fearless decision-making but to intimidation."
Pierson v. Ray, supra, at 554. In Bradley v. Fisher, 13 Wall. 335, 347 (1872), the Court stated: S
"For it is a general principle of the highest importance to the proper administration of justice that a judicial
officer, in exercising the authority vested in him, shall be free to act upon his own convictions, without apprehension
of personal consequences to himself. Liability to answer to every one who might feel himself aggrieved by the action
of the judge, would be inconsistent with the possession of this freedom, and would destroy that independence {*436}
which no judiciary can be either respectable or useful...."I
See also cases discussed in Yaselli v. Goff, 12 F.2d 396, 399-401 (CA2 1926), summarily aff'd, 275 U.S. 503 (1927).
The majority articulates other adverse consequences which may result from permitting suits to be maintained against
public officials. Such suits may expose the official to an unjust damage award, ante, at 425; such suits will be
expensive to defend even if the official prevails and will take the official's time away from his job, ante, at
425; and the liability of a prosecutor for unconstitutional behavior might induce a federal court in a habeas corpus
proceeding to deny a valid constitutional claim in order to protect the prosecutor, ante, at 427. However, these
adverse consequences are present with respect to suits against policemen, school teachers, and other executives,
and have never before been thought sufficient to immunize an official absolutely no matter how outrageous his conduct.
Indeed, these reasons are present with respect to suits against all state officials3 and must necessarily have
been rejected by Congress as a basis for absolute immunity under 42 U.S.C. § 1983, for its {*437} enactment
is a clear indication that at least some officials should be accountable in damages for their official acts. Thus,
unless the threat of suit is also thought to injure the governmental decisionmaking process, the other unfortunate
consequences flowing from damage suits against state officials are sufficient only to extend a qualified immunity
to the official in question. Accordingly, the question whether a prosecutor enjoys an absolute immunity from damage
suits under § 1983, or only a qualified immunity, depends upon whether the common law and reason support the
proposition that extending absolute immunity is necessary to protect the judicial process.
II
The public prosecutor's absolute immunity from suit at common law is not so firmly entrenched as a judge's, but
it has considerable support. The general rule was, and is, that a prosecutor is absolutely immune from suit for
malicious prosecution. 1 F. Harper & F. James, The Law of Torts § 4.3, p. 305 n. 7 (1956) (hereafter Harper
& James), and cases there cited; Yaselli v. Goff, supra; Gregoire v. Biddle, 177 F.2d 579 (CA2 1949); Kauffman
v. Moss, 420 F.2d 1270 (CA3 1970); Bauers v. Heisel, 361 F.2d 581 (CA3 1965); Tyler v. Witkowski, 511 F.2d 449
(CA7 1975); Hampton v. City of Chicago, 484 F.2d 602 (CA7 1973); Barnes v. Dorsey, 480 F.2d 1057 (CA8 1973); Duba
v. McIntyre, 501 F.2d 590 (CA8 1974); Robichaud v. Ronan, 351 F.2d 533 (CA9 1965). But see Leong Yau v. Carden,
23 Haw. 362 (1916). The rule, like the rule extending absolute immunity to judges, rests on the proposition that
absolute immunity is necessary to protect the judicial process. Absent immunity, "'it would be but human that
they [prosecutors] might refrain from presenting to a grand jury or prosecuting a matter which in their judgment
called for action; {*438} but which a jury might possibly determine otherwise.'" 1 Harper & James §
4.3, pp. 305-306, quoting Yaselli v. Goff, 8 F.2d 161, 162 (SDNY 1925). Indeed, in deciding whether or not to prosecute,
the prosecutor performs a "quasi-judicial" function. 1 Harper & James 305; Yaselli v. Goff, 12 F.2d,
at 404. Judicial immunity had always been extended to grand jurors with respect to their actions in returning an
indictment, id., at 403, and "'the public prosecutor, in deciding whether a particular prosecution shall be
instituted... performs much the same function as a grand jury.'" Id., at 404, quoting Smith v. Parman, 101
Kan. 115, 165 P. 633 (1917). The analogy to judicial immunity is a strong one.
Moreover, the risk of injury to the judicial process from a rule permitting malicious prosecution suits against
prosecutors is real. There is no one to sue the prosecutor for an erroneous decision not to prosecute. If suits
for malicious prosecution were permitted,4 the prosecutor's incentive would always be not to bring charges. Moreover,
the "fear of being harassed by a vexatious suit, for acting according to their consciences" would always
be the greater "where powerful" men are involved, 1 W. Hawkins, Pleas of the Crown 349 (6th ed. 1787).
Accordingly, I agree with the majority that, with respect to suits based on claims that the prosecutor's decision
to prosecute was malicious and without probable cause -- at least where there is no independent allegation that
the prosecutor withheld exculpatory information from a grand jury or the court, see Part III, infra -- the judicial
process is better served by absolute immunity than by any other rule.
{*439} Public prosecutors were also absolutely immune at common law from suits for defamatory remarks made during
and relevant to a judicial proceeding, 1 Harper & James §§ 5.21, 5.22; Yaselli v. Goff, 12 F.2d,
at 402-403; and this immunity was also based on the policy of protecting the judicial process. Veeder, Absolute
Immunity in Defamation: Judicial Proceedings, 9 Col. L. Rev. 463 (1909). The immunity was not special to public
prosecutors but extended to lawyers accused of making false and defamatory statements, or of eliciting false and
defamatory testimony from witnesses; and it applied to suits against witnesses themselves for delivering false
and defamatory testimony. 1 Harper & James § 5.22, pp. 423-424, and cases there cited; King v. Skinner,
Lofft 55, 98 Eng. Rep. 529, 530 (K.B. 1772) (per Lord Mansfield); Yaselli v. Goff, 12 F.2d, at 403. The reasons
for this rule are also substantial. It is precisely the function of a judicial proceeding to determine where the
truth lies.
The ability of courts, under carefully developed procedures, to separate truth from falsity, and the importance
of accurately resolving factual disputes in criminal (and civil) cases are such that those involved in judicial
proceedings should be "given every encouragement to make a full disclosure of all pertinent information within
their knowledge." 1 Harper & James § 5.22, p. 424. For a witness, this means he must be permitted
to testify without fear of being sued if his testimony is disbelieved. For a lawyer, it means that he must be permitted
to call witnesses without fear of being sued if the witness is disbelieved and it is alleged that the lawyer knew
or should have known that the witness' testimony was false. Of course, witnesses should not be encouraged to testify
falsely nor lawyers encouraged to call witnesses who testify falsely. However, if the risk of having to defend
a civil damage suit is added to the deterrent against such {*440} conduct already provided by criminal laws against
perjury and subornation of perjury, the risk of self-censorship becomes too great. This is particularly so because
it is very difficult if not impossible for attorneys to be absolutely certain of the objective truth or falsity
of the testimony which they present. A prosecutor faced with a decision whether or not to call a witness whom he
believes, but whose credibility he knows will be in doubt and whose testimony may be disbelieved by the jury, should
be given every incentive to submit that witness' testimony to the crucible of the judicial process so that the
factfinder may consider it, after cross-examination, together with the other evidence in the case to determine
where the truth lies. S
"Absolute privilege has been conceded on obvious grounds of public policy to insure freedom of speech where
it is essential that freedom of speech should exist. It is essential to the ends of justice that all persons participating
in judicial proceedings (to take a typical class for illustration) should enjoy freedom of speech in the discharge
of their public duties or in pursuing their rights, without fear of consequences." Veeder, supra, 9 Col. L.
Rev., at 469.I
For the above-stated reasons, I agree with the majority that history and policy support an absolute immunity for
prosecutors from suits based solely on claims5 that they knew or should have known that the testimony of a witness
called by the prosecution was false; and I would not attribute to Congress an intention to remove such immunity
in enacting 42 U.S.C. § 1983.
{*441} Since the gravamen of the complaint in this case is that the prosecutor knew or should have known that certain
testimony of a witness called by him was untrue and since -- for reasons set forth below -- the other allegations
in the complaint fail to state a cause of action on any other theory, I concur in the judgment in this case. However,
insofar as the majority's opinion implies an absolute immunity from suits for constitutional violations other than
those based on the prosecutor's decision to initiate proceedings or his actions in bringing information or argument
to the court, I disagree. Most particularly I disagree with any implication that the absolute immunity extends
to suits charging unconstitutional suppression of evidence. Brady v. Maryland, 373 U.S. 83 (1963).
III
There was no absolute immunity at common law for prosecutors other than absolute immunity from suits for malicious
prosecution and defamation. There were simply no other causes of action at common law brought against prosecutors
for conduct committed in their official capacity.6 There is, for example, no reported case of a suit at common
law against a prosecutor for suppression or nondisclosure of exculpatory evidence. Thus, even if this Court had
accepted the proposition, which {*442} it has not, Scheuer v. Rhodes, 416 U.S. 232 (1974), that Congress incorporated
in 42 U.S.C. § 1983 all immunities existing at common law, it would not follow that prosecutors are absolutely
immune from suit for all unconstitutional acts committed in the course of doing their jobs. Secondly, it is by
no means true that such blanket absolute immunity is necessary or even helpful in protecting the judicial process.
It should hardly need stating that, ordinarily, liability in damages for unconstitutional or otherwise illegal
conduct has the very desirable effect of deterring such conduct. Indeed, this was precisely the proposition upon
which § 1983 was enacted. Absent special circumstances, such as those discussed in Part II, supra, with respect
to actions attacking the decision to prosecute or the bringing of evidence or argument to the court, one would
expect that the judicial process would be protected -- and indeed its integrity enhanced -- by denial of immunity
to prosecutors who engage in unconstitutional conduct.
The absolute immunity extended to prosecutors in defamation cases is designed to encourage them to bring information
to the court which will resolve the criminal case. That is its single justification. Lest they withhold valuable
but questionable evidence or refrain from making valuable but questionable arguments, prosecutors are protected
from liability for submitting before the court information later determined to have been false to their knowledge.7
It would stand this immunity rule on its head, however, to apply it to a suit based on a claim that {*443} the
prosecutor unconstitutionally withheld information from the court. Immunity from a suit based upon a claim that
the prosecutor suppressed or withheld evidence would discourage precisely the disclosure of evidence sought to
be encouraged by the rule granting prosecutors immunity from defamation suits. Denial of immunity for unconstitutional
withholding of evidence would encourage such disclosure. A prosecutor seeking to protect himself from liability
for failure to disclose evidence may be induced to disclose more than is required. But, this will hardly injure
the judicial process.8 Indeed, it will help it.
Accordingly, lower courts have held that unconstitutional suppression of exculpatory evidence is beyond the
scope of "duties constituting an integral part of the judicial process" and have refused to extend absolute
immunity to suits based on such claims. Hilliard v. Williams, 465 F.2d 1212, 1218 (CA6), cert. denied, 409 U.S.
1029 (1972); Haaf v. Grams, 355 F. Supp. 542, 545 (Minn. 1973); Peterson v. Stanczak, 48 F.R.D. 426 (ND Ill. 1969).
Contra, Barnes v. Dorsey, 480 F.2d 1057 (CA8 1973).
Equally important, unlike constitutional violations committed in the courtroom -- improper summations, introduction
of hearsay evidence in violation of the Confrontation Clause, knowing presentation of false testimony -- which
truly are an "integral part of the judicial process," ante, at 416, the judicial process has no way to
prevent or correct the constitutional violation of suppressing evidence. The judicial process will by definition
be ignorant of the violation when it occurs; and it is {*444} reasonable to suspect that most such violations never
surface. It is all the more important, then, to deter such violations by permitting damage actions under 42 U.S.C.
§ 1983 to be maintained in instances where violations do surface.
The stakes are high. In Hilliard v. Williams, supra, a woman was convicted of second-degree murder upon entirely
circumstantial evidence. The most incriminating item of evidence was the fact that the jacket worn by the defendant
at the time of arrest -- and some curtains -- appeared to have bloodstains on them. The defendant denied that the
stains were bloodstains but was convicted and subsequently spent a year in jail. Fortunately, in that case, the
defendant later found out that an FBI report -- of which the prosecutor had knowledge at the time of the trial
and the existence of which he instructed a state investigator not to mention during his testimony -- concluded,
after testing, that the stains were not bloodstains. On retrial, the defendant was acquitted. She sued the prosecutor
and the state investigator under 42 U.S.C. § 1983 claiming that the FBI report was unconstitutionally withheld
under Brady v. Maryland, 373 U.S. 83 (1963), and obtained a damage award against both after trial.
The prosecutor's petition for certiorari is now pending before this Court. Hilliard v. Williams, 516 F.2d 1344 (CA6 1975), cert. pending, No. 75-272. The state investigator's petition, in which he claimed that he had only followed the prosecutor's orders, has been denied. Clark v. Hilliard, 423 U.S. 1066 (1976). It is apparent that the injury to a defendant which can be caused by an unconstitutional suppression of exculpatory evidence is substantial, particularly if the evidence is never uncovered. It is virtually impossible to identify any injury to the judicial process resulting from a rule permitting suits for such unconstitutional {*445} conduct, and it is very easy to identify an injury to the process resulting from a rule which does not permit such suits. Where the reason for the rule extending absolute immunity to prosecutors disappears, it would truly be "monstrous to deny recovery." Gregoire v. Biddle, 177 F.2d, at 581.
No legal advice is given on this Website or Webpage
Send comments to American Injustice
Copyright © 1997, 1998 & 2005 by American Injustice, Inc. All rights reserved
In accordance with Title 17 U.S.C. section 107,
this material is distributed without profit or payment to those who have expressed
a prior interest in receiving this information for non-profit research and educational purposes only.