Wright, J.
This action was brought pursuant to 42 U.S.C. § 1983 (2012). Appellant, Marilyn
Waldron claimed the deputies did not display badges and did not present a warrant upon demand before or after using force to enter her home. She claimed that Roark forcefully placed her in handcuffs, which caused injuries, including a torn rotator cuff. Waldron claimed that the entry was in violation of the Fourth Amendment and that Roark used excessive force. The district court found that as a matter of law, the deputies' entry was proper, that Waldron obstructed the work of the deputies, and that Roark's use of force was objectively reasonable.
For the reasons stated below, we reverse the order of the district court granting summary judgment and remand the cause for further proceedings.
The parties' characterizations of the facts of this case differ substantially, but in reviewing orders granting summary judgment, we consider the facts in the light most favorable to the nonmoving party.
On the evening of February 22, 2012, Roark and May went to Waldron's home to serve an arrest warrant on Copple for failure to appear at sentencing for a misdemeanor charge of disturbing the peace. Copple had prior police contacts, which included at least one weapons charge. Additionally, there was at least some indication that Copple may have had a desire for a "suicide by cop." The severity of the prior weapons charge and the context of the information concerning Copple's possible desire for a "suicide by cop" are unclear from the record.
Copple lived with Waldron at all relevant times. Waldron's husband, now deceased, was a retired captain with the Nebraska State Patrol and had instructed her to never allow a person claiming to be law enforcement into the home without a badge or a warrant. Roark and May were both dressed in plain clothes at the time. Roark was dressed in jeans, a sweatshirt, and a ball cap. May wore jeans and a nonuniform shirt. Neither deputy had a badge displayed. The deputies drove an unmarked vehicle.
Upon arriving at Waldron's home, Roark observed Copple's vehicle near the house. As Roark approached the home, he observed a young male he identified as Copple inside the house and proceeded to the front door. May went to the rear of the house to ensure Copple did not flee out the back door. Roark rang the doorbell. Waldron went to the door and began opening it cautiously. As Waldron began to open the door, Roark forced the door open and pushed his way past Waldron. When he entered the home, Roark stated that he was a deputy sheriff and demanded to know where Copple was located. Waldron demanded to see a warrant. Roark ignored Waldron's requests and did not present a warrant or display his badge.
Once inside the house, believing Copple had fled toward the basement, Roark and May drew their service weapons and ran toward the basement stairs. Roark encountered a young male, later identified as
Once Waldron was in the basement, Roark threw Waldron to the ground, breaking her glasses. Once on the ground, Roark placed his knee into Waldron's back and pulled her right arm back, causing her substantial pain. Waldron resisted Roark's attempts to place her in handcuffs by keeping her arm stiff. She told Roark that she had surgery on her right shoulder and did not want to be placed in handcuffs because of the pain it caused. After being restrained, Waldron slipped one of her hands out of the handcuffs due to the pain. Roark again placed Waldron in handcuffs, and at some point, she fell onto a couch and then to the floor. Waldron continued to resist being placed in handcuffs by keeping her arms stiff. Waldron sustained bruises to her hands and legs and experienced a great deal of pain in her shoulders. Waldron testified that during this time, the deputies had still not displayed either a badge or a warrant.
Uniformed Lincoln Police Department officers arrived to assist, and Copple was subsequently located in the house and arrested. Waldron admitted to one of the uniformed officers that she had not been compliant with Roark and May because she "`did not know who they were.'" One of the officers asked Roark whether he had a copy of the warrant, to which Roark responded that he did not have the warrant but that he knew one existed. Waldron was then transported to the Lancaster County jail, where she was lodged after being charged with obstructing government operations and resisting arrest. The resisting arrest charge was later amended to false reporting. Waldron successfully completed a pretrial diversion program, and the charges were dismissed without prejudice. Waldron has no additional criminal history or arrests.
On September 18, 2013, Waldron filed this action pursuant to 42 U.S.C. § 1983 against Roark in his individual and official capacities. She claimed that Roark's actions violated her civil rights under the 4th and 14th Amendments. Waldron claimed that Roark's actions constituted an unlawful entry into her home. Moreover, Waldron claimed Roark used excessive force to restrain her. Waldron alleged that she sustained physical injuries to her neck, back, and shoulders, requiring treatment, including a torn left rotator cuff.
Roark denied the allegations in the complaint. He asserted the affirmative defense of qualified immunity and argued that Waldron's claims were barred by her participation in pretrial diversion for the offenses of false reporting and obstructing government operations.
On February 13, 2015, the district court granted summary judgment to Roark. The court stated that it was viewing the record and "drawing all reasonable inferences in the light most favorable to [Waldron], while simultaneously viewing the facts from the perspective of a reasonable law enforcement officer on the scene." In considering Waldron's Fourth Amendment argument, the court cited Payton v. New
The district court found that Roark possessed an arrest warrant for Copple, observed Copple in the window, and saw Copple go to the basement. It found that the exigent circumstances doctrine applied, because once Copple was aware of the deputies' presence, Roark had a realistic expectation that any delay in entry might result in Copple's arming himself, becoming a threat, destroying evidence, or simply escaping. Thus, even absent a warrant, the court found the circumstances justified the deputies' entry.
In considering the issue of whether Roark used excessive force, the district court concluded as a matter of law that Roark's use of force was objectively reasonable. It found that the undisputed facts showed Waldron was uncooperative by impeding Roark's entrance, failing to obey directives, following deputies to the basement, and physically resisting being handcuffed. The court also noted that an unknown third party (Copple's friend) was present and that the deputies knew Copple had prior contact with law enforcement that included weapons offenses.
The district court did not address the issue of whether Roark was entitled to qualified immunity or whether Waldron's claims were barred by her participation in pretrial diversion.
Waldron assigns that the district court erred in granting summary judgment in favor of Roark.
An appellate court will affirm a lower court's grant of summary judgment if the pleadings and admitted evidence show that there is no genuine issue as to any material facts or as to the ultimate inferences that may be drawn from the facts and that the moving party is entitled to judgment as a matter of law.
Viewing the evidence in a light most favorable to Waldron, we must determine if there is a material issue of fact whether Roark's entry into Waldron's home violated her Fourth Amendment right to be free from unreasonable searches and seizures and whether the district court erred in finding, as a matter of law, that Roark's use of force was objectively reasonable.
A civil remedy is provided under 42 U.S.C. § 1983 for deprivations of federally protected rights, statutory or constitutional, caused by persons acting under color of state law.
The question is whether the facts viewed most favorably to Waldron create an issue of fact whether Roark's conduct in serving the misdemeanor arrest warrant was objectively reasonable. In granting summary judgment in favor of Roark, the court found that Roark's entry into Waldron's home was proper pursuant to the arrest warrant for Copple and, even absent the warrant, was justified by the exigent circumstances exception to the warrant requirement. Furthermore, the district court found that as a matter of law, Roark's use of force to arrest Waldron was objectively reasonable.
We first consider if there was a question of fact whether Roark's entry into Waldron's home violated her rights under the Fourth Amendment.
The U.S. Supreme Court has noted that the right to be free from unlawful entry of one's residence is a constitutional right of the highest magnitude and that "the overriding respect for the sanctity of the home . . . has been embedded in our traditions since the origins of the Republic."
The district court concluded that Roark's entry was justified because he had a valid arrest warrant for Copple and reason to believe he resided at Waldron's home. Waldron does not contest the validity of the arrest warrant for failure to appear for sentencing on a misdemeanor disturbing the peace conviction. Nor does she argue that the deputies lacked reason to believe Copple resided at Waldron's home and was present there on the date and time in question. In general, Roark was authorized to enter Waldron's home under the U.S. Supreme Court's holding in Payton v. New York
The execution of arrest warrants in Nebraska is governed by Neb.Rev.Stat. § 29-411 (Reissue 2008), which in relevant part provides:
(Emphasis supplied.)
This statute codifies the common-law requirement of knocking and announcing when serving an arrest warrant prior to breaking into a person's dwelling.
The U.S. Supreme Court, in Wilson v. Arkansas,
Years later, in Hudson v. Michigan,
Viewing the facts in the light most favorable to Waldron, we consider if there was a question of fact whether Roark provided proper notice of his office or purpose and displayed his badge or the warrant. The question is whether Roark complied with the knock-and-announce requirement of the Fourth Amendment and § 29-411. Roark and May drove an unmarked vehicle to Waldron's home. They were not in uniform, and Waldron testified that they failed to display anything that identified them as law enforcement officials. She testified that upon the doorbell ringing, she opened the door cautiously and Roark immediately began to force his way into her home. After forcing his way into the home, Roark stated that he was a sheriff's deputy and demanded to know where Copple was located. Roark drew his service weapon and began searching the home. At no point before or after their entry did they produce a copy of the warrant or show their badges as Waldron demanded.
Roark argues that his statement identifying himself as a sheriff's deputy was sufficient to announce his office and purpose. But given the facts of this case when considered most favorably to Waldron, we disagree. Roark was dressed in jeans, a sweatshirt, and a ball cap and did not show his badge. Instead, he displayed a weapon upon entry into Waldron's home. Although a misdemeanor warrant existed for Copple, Roark failed to produce a copy of the warrant before or after his forced entry into the home.
Waldron could have reasonably believed that Roark was an unknown male forcing his way into her home claiming to be a law enforcement officer. And without some official display of authority, a jury could find that Roark did not properly announce his entry. Indeed, the Legislature has recognized that it is an affirmative defense to the offense of resisting arrest if the peace officer involved was out of uniform and did not identify himself or herself as a peace officer by showing his or her credentials to the person whose arrest is attempted.
The district court, citing to Payton v. New York,
Roark's failure to knock and announce his office and purpose may have been reasonable if exigent circumstances existed at the time of his entry. The U.S. Supreme Court has held that it is not necessary for police officers to knock and announce their presence when executing a warrant when circumstances present a threat of physical violence, or if there is reason to believe that evidence would likely be destroyed if advance notice were given, or if knocking and announcing would be futile.
In determining whether an individual search or seizure is reasonable, courts evaluate the "totality of [the] circumstances."
In the context of a civil suit, whether exigent circumstances existed is
The district court determined that the undisputed facts showed that exigent circumstances existed to permit the deputies' entry even had no warrant existed. The court found that the deputies had a realistic expectation that any delay in their entry might result in Copple's arming himself, becoming a threat, destroying evidence, or simply escaping. But the officers were at Waldron's home to arrest Copple for failure to appear at sentencing for a misdemeanor disturbing the peace charge. Consequently, the officers could not have been concerned with destruction of evidence. Nor were they in hot pursuit of Copple. May was watching the back door of the home to prevent Copple from fleeing undetected. The only possible exigency would have been that Copple posed a threat to the safety of the deputies or the public.
The Eighth Circuit's decision in U.S. v. Lucht
Given the Eighth Circuit's reasoning in Lucht, we find there was a material issue of fact whether exigent circumstances existed in attempting to arrest Copple.
We next consider Waldron's claim that Roark used excessive force to arrest her.
The district court concluded as a matter of law that Roark's use of force was objectively reasonable. We consider whether there was a material issue
"Reasonable force" which may be used by an officer making an arrest is generally considered to be that which an ordinarily prudent and intelligent person, with the knowledge and in the situation of the arresting officer, would deem necessary under the circumstances.
The district court concluded that the undisputed facts showed that Waldron was uncooperative with Roark and May. The court noted that Waldron disregarded directives given to her, fought being restrained, and even slipped out of the handcuffs placed on her. The court stated, "This was all being done at a time where the officers were in pursuit of Copple, an unknown third party had made an appearance, and the officers knew that Copple had previous law enforcement contacts including weapons offenses." The court concluded that Waldron's actions diverted the deputies' attentions, which increased the risk to the deputies. The district court further suggested, if not concluded, that Roark had probable cause to arrest Waldron for obstruction of government operations and resisting arrest.
While a jury may accept Roark's testimony over Waldron's or make factual findings identical to the district court, we are obliged to view the facts most favorably to Waldron and give her all reasonable inferences of those facts. Accepting Waldron's testimony, at the time she was being "uncooperative," was failing to "comply with directives," and "fought being restrained," unknown persons had forced their way into her home and displayed weapons. The
Roark argues that he had the authority to restrain Waldron and place her under arrest for multiple misdemeanors. Under Neb.Rev.Stat. § 29-404.02(1)(b) (Reissue 2008), a peace officer may arrest a person without a warrant if the officer has reasonable cause to believe that such person has committed a misdemeanor in the presence of the officer. Among the misdemeanors alleged were violations of Neb.Rev.Stat. § 28-907(1) (Reissue 2008) and Lincoln Mun.Code § 9.08.040 (2016) (intentionally false reporting by stating that Copple was not home), Neb.Rev.Stat. § 28-901 (Reissue 2008) (obstructing government operations), and § 28-904 (resisting arrest). The district court supported this view, stating, "[Waldron] knew, at some point, that Deputy Roark and Deputy May were there to arrest her grandson. She knew they were officers of the law and she knew she was obstructing the execution of the warrant."
It is true that under no circumstances should a person resist arrest by officers, regardless of the lawfulness of the arrest. This court has held that an illegal search does not justify the use of force in resisting an officer.
Given the facts viewed most favorably to Waldron, we question how she would know "at some point" that Roark and May were sheriff's deputies if they were not in uniform and did not display their badges or the arrest warrant. Once uniformed officers arrived on the scene, there is no evidence suggesting that Waldron continued to be uncooperative. Roark testified that Waldron, while demanding he and May leave her home immediately, yelled that she was going to call the police.
The district court did not find that Waldron was physically threatening or interfering with the deputies, but only that she was yelling at them and at Copple. The court instead found that she presented a danger to the deputies by distracting their attention. She yelled at Roark and May and demanded that they show either a badge or warrant, or leave her home. The Eighth Circuit has held, "`[T]he use of any force by officers simply because a suspect is argumentative, contentious, or vituperative'
Both the district court and Roark also discuss the presence at the scene of the arrest of a young adult male, who was later determined to be Copple's friend, as a justification for Roark's actions. But there is no indication whatsoever that this individual was uncooperative or threatening or otherwise presented a danger to the deputies. The record suggests the opposite is true. Waldron and Roark each testified that the individual was cooperating with the deputies by giving them information concerning Copple's whereabouts. Roark testified that he had asked the individual to show his hands to determine he was not a threat and that he was "cooperating the whole time," remaining seated with his hands visible, and providing the deputies with information as to Copple's whereabouts. Regardless, it is unclear how any lack of cooperation by Copple's friend would justify the use of force against Waldron.
At the time of the incident, Waldron was 78 years old, was approximately 5 feet 1 inch tall, and weighed approximately 145 pounds. She had recently had surgery on her shoulder and had limited mobility of her arm. She had previously suffered a stroke. Waldron alleged Roark threw her to the ground, causing Waldron to break her glasses and bruise her face, hands, and legs. He pressed his knee into her back, pulling her arms forcefully behind her as he did so. Waldron informed Roark of her recent shoulder surgery and the pain his actions were causing to her shoulder. Once Waldron slipped out of the handcuffs due to the pain, Roark again pulled her arms behind her back and placed her in the handcuffs.
Waldron testified that once uniformed officers arrived on the scene, one officer removed the handcuffs. When Roark observed her without handcuffs, he insisted that she be placed in handcuffs again, despite her cooperation at that point and the presence of uniformed officers on the scene who had found and arrested Copple. Another officer on the scene requested that Roark cuff her in the front rather than forcing her arms behind her back due to Waldron's pain. Waldron alleged that as a result of Roark's use of force, she sustained considerable bruising to her legs and hands. She claimed she suffered a full thickness tear of the rotator cuff in her shoulder. She received treatment for pain in her neck, back, and shoulders. A medical report indicates she experiences constant pain in her shoulder.
On a motion for summary judgment, the question is not how the factual issues are to be decided but whether any real issue of material fact exists.
For the reasons stated above, we reverse the order of the district court granting
REVERSED AND REMANDED FOR FURTHER PROCEEDINGS.
Heavican, C.J., and Miller-Lerman, J., participating on briefs.
McCormack, J., not participating.