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JOHN OCHANA, Plaintiff, v. FERNANDO FLORES and ANTHONY SCHWOCHER,
Defendants.
Case Number: 00 C 7869
UNITED STATES DISTRICT COURT
FOR THE NORTHERN DISTRICT OF ILLINOIS, EASTERN DIVISION
199 F. Supp. 2d 817
April 11, 2002, Decided
April 12, 2002, Docketed
MEMORANDUM OPINION AND ORDER
Currently before the court are: (1) plaintiff's motions in limine, (2)
defendants' motion in limine, (3) plaintiff's motion to take judicial notice,
(4) defendants' motion for summary judgment, and (5) defendants' motion to
strike. For the reasons set forth
below, the court (1) grants in part and denies in part plaintiff's motions in
limine, (2) grants in part and denies in part defendants' motion in limine, (3)
grants in part and denies in part [*823]plaintiff's motion to take judicial
notice, (4) grants defendants' motion for summary judgment, and (5) denies
defendants' motion to strike.
I.
BACKGROUND n1
In the late afternoon of June 23,
2000, plaintiff John Ochana ("Ochana") was the driver in the first
vehicle stopped southbound on Kostner at the intersection with Irving Park
Road, in Chicago, Illinois. Defendants Fernando Flores ("Flores") and
Anthony J. Schwocher ("Schwocher") (collectively "the officers"),
two Chicago police officers, were in their squad car also southbound on Kostner
a few cars behind Ochana's car. The light at the intersection changed, and
people started honking their horns. Someone coming northbound on Kostner told
the officers that a man was either asleep at the wheel or passed out at the
light, blocking traffic.
The officers activated their
emergency equipment and pulled up in their squad car next to Ochana's car so
that both cars were facing the same direction. Schwocher went over to Ochana's
car and observed that Ochana was asleep behind the wheel with his head down.
The gear of Ochana's car was in "drive," and his foot was on the
brake. Ochana's window was open, and Schwocher attempted to verbally wake him,
but Ochana did not respond. Schwocher reached in through the open window of
Ochana's car, shifted the gear into "park," and attempted to wake him
by shaking him. According to the officers, Ochana did not wake up entirely when
shaken, but kept waking up and then nodding off to sleep again. According to
Ochana, he woke up and was startled when the officers knocked on the door of
his car, but he does not remember the officers putting the car in
"park." Ochana did not know how long he was asleep, but thought it
was between a second and three minutes. He did not recall whether any cars behind him were
honking or whether any cars were passing in the opposite lane of traffic.
The officers told Ochana to get out of his car. According to the officers, they physically helped carry Ochana out of the car; but according to Ochana, he was physically able to get out of the car by himself. The officers escorted Ochana to the rear of the vehicles. Both officers thought Ochana was still groggy at this point. n2 He was awake but not alert. His speech was slurred, and the officers could not understand what he was saying. Standing at the rear of Ochana's vehicle, Schwocher asked Ochana to produce his driver's license, and either Ochana pulled out his license or one of the officers reached in his [*824]pocket and pulled it out. At this time, Ochana was still less than fully awake.
While Ochana was at the rear of
the vehicles with Schwocher, Flores looked into the passenger compartment of
Ochana's car and saw a backpack. The parties dispute whether the backpack was
open or closed. Flores testified that he saw a clear, unlabeled
"Ziplock" bag sticking out more than halfway from inside the open,
unzipped backpack, while Ochana testified that his backpack was closed. n3
Inside the Ziplock bag was a white powdery substance. The parties dispute
whether the substance had yellow flecks in it. n4 Flores removed the backpack
from Ochana's car. Further inside the backpack, Flores discovered a brown
bottle labeled in Spanish. The bottle did not show prescription information,
such as a doctor's name, a prescription number, the pharmacy, or a refill. The
parties dispute whether the bottle looked like it contained a prescription.
The officers handcuffed Ochana,
put him in their squad car, and took him to the police station. Ochana was
charged with the following offenses: (1) obstruction of traffic, in violation
of City of Chicago Municipal Code, CHI. MUN. CODE § 9-40-130, (2) possession of
a controlled substance in violation of 720 ILL. COMP. STAT. 570/402 (1998); and
(3) forging or altering a prescription, in violation of 720 ILL. COMP. STAT.
570/406 (1998). Ochana received supervision and was assessed a fifty-dollar
fine on the obstruction of traffic charge. The other two charges were dismissed
due to a negative laboratory result for the powdery substance in the plastic
"Ziplock" bag.
Ochana filed a two-count second
amended complaint pursuant to 42 U.S.C. § 1983, alleging: (1) that the officers
arrested Ochana without a warrant and without probable cause for possession of
a controlled substance and for forging or altering a prescription, and (2) that
the officers searched Ochana's vehicle and backpack without probable cause,
without a warrant, and without other lawful justification.
Currently before the court are: (1) Ochana's motions in limine, (2) the
officers' motion in limine, (3) Ochana's motion to take judicial notice, (4)
the officers' motion for summary judgment, and (5) the officers' motion to
strike.
II.
DISCUSSION
As
a threshold issue, the court will dispose of the parties' motions in limine and
Ochana's motion to take judicial notice, to establish what evidence is
admissible and, therefore, properly before this court in support of the summary
judgment motion. Both sides have also moved to strike portions of the other
side's expert testimony. However, as discussed infra Sect. II.E., the court
denies as moot both parties' motions regarding expert testimony.
A. Ochana's motions in limine
Ochana has brought seven motions in limine. Ochana's motions in limine
seek to exclude the following: (1) reference to Ochana's ethnic background; (2)
reference to the officers' subjective beliefs regarding probable cause and
intent regarding arrest; (3) reference to the officers having probable cause to
arrest Ochana for closely-related [*825] offenses; (4) reference to the
officers' search of Ochana's car being incident to an arrest; (5) reference to
the officers having authority to arrest Ochana for obstructing traffic under
the Chicago Municipal Code; (6) any claim that Cynomel, Cytomel, or Synthroid
are controlled substances; and (7) certain opinion testimony of John W. Bowman
("Bowman"). Ochana's motion to bar portions of Bowman's expert
testimony will be discussed infra Sect. II.E. The officers agreed to Ochana's
first motion, so the court grants Ochana's first motion as to Ochana's ethnic
background. The officers oppose the remaining six motions.
1.
The officers' subjective beliefs
Ochana moves to bar any
reference to the officers' (a) subjective beliefs as to probable cause, and (b)
intent to arrest Ochana or subjective beliefs as to when Ochana was arrested.
In support, Ochana argues that (a) probable cause is measured by an objective
standard of a reasonable person in the position of the arresting officer, not
by the arresting officer's subjective belief; and (b) when an arrest occurs is
measured by an objective standard of a reasonable person in the position of the
suspect, not by the arresting officer's subjective belief or intent regarding
arrest.
First, the court disagrees with
Ochana as to the officers' subjective belief of probable cause. Ochana is correct
that "'subjective
intentions play no role in ordinary, probable-cause Fourth Amendment
analysis.'" Arkansas v. Sullivan, 532 U.S. 769, 772, 149 L. Ed. 2d
994, 121 S. Ct. 1876 (2001) (quoting Whren v. United States, 517 U.S. 806, 813, 135 L. Ed. 2d 89, 116
S. Ct. 1769 (1996)) (emphasis added). However, "subjective
intentions" refer to an officer's subjective motivation for making an
arrest, not to an officer's subjective
belief of probable cause. See id. On the contrary, an arresting
officer's subjective belief that he had probable cause is central in evaluating
the propriety of an arrest. "Probable cause for an arrest exists if, at
the time of the arrest, the facts and circumstances within the police officer's
knowledge were sufficient to warrant a reasonable belief that the suspects had
committed, were committing, or were about to commit a crime." Wollin v.
Gondert, 192 F.3d 616, 622 (7th Cir. 1999). Although Fourth Amendment
jurisprudence is objective, not subjective, see United States v. McCarty, 862 F.2d 143, 148 (7th Cir.1988), an
officer's subjective perceptions and thoughts may play a part, especially in
close cases. See Jones v. Baldwin, 1998 U.S. Dist. Lexis 19245, No. 97 C 617,
1998 WL 852887, at *2 (N.D. Ill. Dec. 4, 1998). For example, the officer's
"subjective belief at the time of the arrest that he lacks probable cause
may be relevant in determining what facts the officer actually did know at the
time of the arrest, and may tip the scale toward finding that the officer
lacked probable cause." Id. (quoting McCarty, 862 F.2d at 148 n.3). Even
further, in a § 1983 action such as this when
a defense of qualified immunity has been raised, "even if probable
cause is lacking with respect to an arrest, despite an officer's subjective
belief that he had probable cause, he is entitled to immunity as long as his
subjective belief was objectively reasonable." Humphrey v. Staszak, 148
F.3d 719, 726 (7th Cir. 1998) (citing Hunter v. Bryant, 502 U.S. 224, 227, 116
L. Ed. 2d 589, 112 S. Ct. 534 (1991)). Therefore, the officers' subjective
belief that probable cause existed is central to this case. Accordingly, the
court denies Ochana's motion as to the officers' subjective belief of probable
cause.
Second, the court agrees with Ochana as to the officers' subjective
beliefs or intent regarding arrest. "A seizure becomes an arrest when 'a
reasonable person [*826] in the suspect's position would have understood the
situation to constitute a restraint on freedom of movement of the degree which
the law associates with formal arrest.'" Brandon v. Vill. of Maywood, 157
F. Supp. 2d 917, 925 (N.D. Ill. 2001) (citing United States v. Ienco, 182 F.3d
517, 523 (7th Cir. 1999)). See United States v. Wyatt, 179 F.3d 532, 535
(7th Cir. 1999) (stating that "the test for whether an individual is in
custody is "how a reasonable man in the suspect's position would have
understood his situation.") (internal quotation omitted). Meanwhile,
"[a] policeman's unarticulated plan has no bearing on the question whether
a suspect was 'in custody' at a particular time; the only relevant inquiry is
how a reasonable man in the suspect's position would have understood his
situation. " Berkemer v. McCarty, 468 U.S. 420, 441, 82 L. Ed. 2d 317, 104
S. Ct. 3138 (1984). Therefore, the officers' subjective beliefs and intent
regarding arrest are not relevant to the question of whether Ochana was under arrest
or in custody. Further, the court finds that any probative value of such
evidence is substantially outweighed by the danger of unfair prejudice,
confusion of the issues, and misleading the jury. Accordingly, the court grants
Ochana's motion as to the officers' subjective beliefs or intent regarding
arrest.
2.
Probable cause for closely-related
offenses
Ochana moves to bar any
reference to the officers having probable cause to arrest Ochana for offenses
closely related to obstruction of traffic, possession of a controlled
substance, or forging or altering a prescription. Specifically, Ochana moves to
bar any reference that there was probable cause to arrest him for the offenses
of driving under the influence, reckless driving, and negligent driving because
Ochana argues these are not closely related to the offenses with which Ochana
was charged.
The court disagrees with Ochana. An arrest
is justified if officers had probable cause or arguable probable cause to
arrest the suspect either for the precise offense the officers cited or for a
closely-related offense. Williams v. Jaglowski, 269
F.3d 778, 783 (7th Cir. 2001) (citing Biddle v. Martin, 992 F.2d 673, 676 (7th
Cir. 1993)). "In order to rely on a closely-related charge, however, the
officers must show that the charge can reasonably be based on the same set of
facts that gave rise to the arrest and that the charge offered as justification
is one that 'would [have recommended] itself to a reasonable police officer
acting in good faith' at the time the arrest was made." Id. (quoting
Richardson v. Bonds, 860 F.2d 1427, 1431 (7th Cir. 1988)).
The crimes of driving under the
influence, reckless driving, and negligent driving are sufficiently related to
satisfy the requirements of Richardson. See Biddle, 992 F.2d at 676 (finding
disorderly conduct and a vehicular offense -- "allowing another to operate
his van in a manner contrary to law" -- closely related to the offense
charged, obstruction of a police officer). First, for the crime of driving under
the influence, the Illinois Vehicle Code provides in relevant part:
(a) A person shall not drive or be in actual physical control of any
vehicle within this State while: ... (3)under the influence of any intoxicating
compound or combination of intoxicating compounds to a degree that renders the
person incapable of driving safely; (4) under the influence of any other drug
or combination of drugs to a degree that renders the person incapable of safely driving; (5) under the
combined influence of alcohol, other drug or drugs, or intoxicating compound or
compounds to a degree that renders the person incapable of safely
driving ...
[*827]
625 ILL. COMP. STAT. 5/11-501(a). Second, for
the crime of reckless driving, the Illinois Vehicle Code provides in relevant
part: "Any person who drives any vehicle with a willful or wanton
disregard for the safety of persons or property is guilty of reckless
driving." 625 ILL. COMP. STAT. 5/11-503(a). Third, for the crime of
negligent driving, the Chicago Municipal Code provides: "It shall be
unlawful for any person to operate any vehicle upon a public way negligently,
heedlessly and without due caution in a manner so as to endanger or likely to
endanger any person or property." CHI. MUN. CODE § 9-40-140.
All three of these charges could
reasonably be based on the same set of facts -- that Ochana was asleep or
unconscious at the wheel of his car, while at a stoplight in front of a line
of traffic, with the gear of his car in
drive and his foot on the brake -- that gave rise to the arrest. In light of
the facts, these three charges would have recommended themselves to a
reasonable officer acting in good faith at the time the arrest was made.
See Williams, 269 F.3d at 783
(articulating the standing for finding charges closely related). These charges
offered by the officers to justify the arrest are not ex post facto
extrapolations of the crimes which might have been charged. See id. The
justifications for arrest which the officers provide are neither "novel"
nor "extravagant." See id. Rather these three crimes are closely
related on the present facts to the crimes charged. See id. Accordingly, the
motion is denied.
3.
Search as incident to an arrest
Ochana moves to bar any
reference to the officers' search of Ochana's car being incident to an arrest.
Ochana argues that he was not under arrest when his car was searched, and that a reasonable person in his
position would not have thought he was under arrest. Therefore, Ochana argues,
the search of the car and backpack cannot be justified as a search incident to
an arrest. The court disagrees.
"A seizure becomes an arrest when 'a reasonable person in the
suspect's position would have understood the situation to constitute a
restraint on freedom of movement of the degree which the law associates with
formal arrest.'" Brandon, 157 F. Supp. 2d at 925 (citing Ienco, 182 F.3d
at 523). The Seventh Circuit has identified several factors to consider in
determining whether, based on the totality of the circumstances, a reasonable
person would believe he was free to leave, including: whether the encounter
occurred in a public or private place; whether the suspect was informed that he
was not under arrest and free to leave; whether the suspect consented or
refused to talk to the investigating officers; whether the investigating
officers removed the suspect to another area; whether there was physical
touching, display of weapons, or other threatening conduct; and whether the
suspect eventually departed the area without hindrance. See United States v. Scheets, 188 F.3d 829, 837
(7th Cir. 1999).
Here, there is no dispute that
the encounter occurred on a public street, that the investigating officers
removed the suspect from his car and brought him to another area near their
police car, that Ochana consented to talk to the investigating officers, and
that Ochana did not depart the area without hindrance. Meanwhile, there is no
evidence that the officers informed Ochana that he was not under arrest or that
he was free to leave, that the officers physically touched Ochana other than to
assist him from his car, or that the officers displayed weapons or otherwise
threatened Ochana. Based on these undisputed facts, the court finds that a
reasonable person in Ochana's position would not have believed that when a
police officer wakes him up in the middle of traffic at [*828] the wheel of his
car, orders and possibly assists him out of his car, and removes him to the
rear of his vehicle, that he was free to leave. Therefore, the court finds that
a reasonable person in Ochana's position would have thought he was under
arrest.
Further, as discussed infra
Sect. II.D.2., the officers had probable cause to believe that Ochana had
committed the traffic offense of obstruction of traffic, in violation of the
City of Chicago Municipal Code. As the Seventh Circuit recently stated,
"traffic stops supported by probable cause are arrests, with all the
implications that follow from probable cause to believe that an offense has
been committed." United States v. Childs, 277 F.3d 947, 953 (7th Cir.
2002) (citing Whren, 517 U.S. at 819). For this reason as well, the court find
that Ochana was under arrest.
Because the court finds that Ochana was
under arrest when his car was searched, the court will not bar any reference to
the officers' search of Ochana's car being incident to arrest. Accordingly, the
motion is denied.
4.
The officers' authority to arrest under the Chicago Municipal Code
Ochana moves to bar any reference to the officers having authority to
arrest Ochana for obstructing traffic under the Chicago Municipal Code. Ochana
argues that the officers lacked the authority to arrest Ochana for a minor
violation of obstruction of traffic.
"The violation of a state statute is not a per se violation of the
federal Constitution." Pasiewicz v. Lake County Forest Pres. Dist., 270
F.3d 520, 526 (7th Cir. 2001). "Just because Illinois chooses to regulate
police behavior in a certain way does not mean the police officers violate the
Constitution by transgressing those rules." Kraushaar v. Flanigan, 45 F.3d
1040, 1048 (7th Cir. 1995). See
Pasiewicz, 270 F.3d at 526 ("The federal government is not the
enforcer of state law.") (citing Kraushaar, 45 F.3d at 1048; Archie v.
City of Racine, 847 F.2d 1211, 1217 (7th Cir. 1988); Sheik-Abdi v. McClellan,
37 F.3d 1240, 1249 (7th Cir. 1994); McKinney v. George, 726 F.2d 1183, 1188
(7th Cir. 1984)). Even if the officers were not authorized by the Chicago
Municipal Code to make the arrest for the offense in question, if they had
probable cause to make the arrest, it is irrelevant to the constitutionality of
their conduct that the arrest may have violated state or municipal law.
See McKinney, 726 F.2d at 1188 (noting
that even if police officers exceeded their authority under a municipal
ordinance in arresting the plaintiff, that did not mean they violated the
Constitution).
Here, any evidence regarding the officers' authority or lack of
authority to arrest for obstructing traffic is irrelevant to Ochana's § 1983
claims. Further, the court finds that any probative value of such evidence is
substantially outweighed by the danger of unfair prejudice, confusion of the
issues, and misleading the jury. Accordingly, the court grants Ochana's motion
to the extent that the court bars any reference to officers' authority or lack
of authority to arrest for obstructing traffic under the Chicago Municipal
Code.
5.
Cynomel, Cytomel, and Synthroid as controlled substances
Ochana moves to bar any claim that Cynomel, Cytomel, or Synthroid are
controlled substances. Ochana argues that whether these medications are
controlled substances is a matter of law. Defendant responds that whether these
substances are controlled substances is irrelevant to the question of whether
the defendant officers reasonably believed them to be controlled substances.
[*829]
The
Supreme Court has stated that, "the validity of the arrest does not depend
on whether the suspect actually committed a crime; the mere fact that the
suspect is later acquitted of the offense for which he is arrested is
irrelevant to the validity of the arrest." Michigan v. DeFillippo, 443
U.S. 31, 36, 61 L. Ed. 2d 343, 99 S. Ct. 2627 (1979). See also Humphrey, 148 F.3d at 728 (finding that the
fact that charges were voluntarily dismissed did not mean that there was no
probable cause to arrest). Probable cause for an arrest exists if, at the time
of the arrest, the facts and circumstances within the officer's knowledge were
sufficient to warrant a reasonable belief that the suspect had committed, is
committing, or is about to commit an offense." Wollin, 192 F.3d at 622.
Here, because the probable cause determination focuses on the
information within the officers' knowledge at the time of the arrest, whether
or not Cynomel, Cytomel and Synthroid are, in fact, controlled substances is
irrelevant to the probable cause inquiry. Further, the court finds that any
probative value of such evidence is substantially outweighed by the danger of
unfair prejudice, confusion of the issues, and misleading the jury.
Accordingly, the court grants Ochana's motion to the extent that the court bars
any reference to whether or not Cynomel, Cytomel, and Synthroid are or are not,
in fact, controlled substances.
B. The officers' motion in limine
The
officers' motion in limine consists of ten numbered paragraphs which seek to
exclude the following: (1) evidence of laboratory testing and the disposition
of underlying criminal charges; (2) reference to Ochana's unrelated treatment
for Hodgkin's disease and other prior injuries or conditions; (3) evidence of
the City of Chicago Police Department General Orders; (4) the Fraternal Order
of Police disclaimer; (5) reference to the officers' attorneys as
"Corporation Counsel," "Assistant Corporation Counsel,"
"the City lawyers," or "the City;" (6) evidence/reference
to indemnification by the city; (7) evidence/reference that police officers
generally conspire, cover-up or lie; (8) any testimony, evidence, argument or
comments regarding recent publicized events concerning allegations of police
misconduct; (9) undisclosed witnesses; and (10) non-party witnesses. Ochana
agreed to the fourth, fifth, sixth, seventh, ninth, and tenth paragraphs of the
officers' motion; thus, the court grants as unopposed these paragraphs of the
officers' motion. Ochana opposes the remaining four paragraphs of the officers'
motion.
1.
Laboratory testing and disposition of underlying criminal charges
In
the first paragraph of their motion, the officers move to bar any evidence of
laboratory testing and disposition of the underlying criminal charges because
such evidence is irrelevant to whether the officers had probable cause to
arrest Ochana. In response, Ochana argues that such evidence is relevant to the
issue of probable cause because it makes it more likely that the powder did not
appear to be cocaine, that the powder was creatine, and that the pills were not
a controlled substance.[*830]
As
stated supra Sect.II.A.5, the probable cause determination focuses on the
information within the officers' knowledge at the time of the arrest. The
results of the laboratory testing and the ultimate disposition of the charges
were not within the officers' knowledge at the time of the arrest. Therefore,
this evidence is irrelevant to the probable cause inquiry. Further, the court
finds that any probative value of such evidence is substantially outweighed by
the danger of unfair prejudice, confusion of the issues, and misleading the
jury. Accordingly, the court grants the officers' motion as to the first
paragraph.
2.
Ochana's treatment for Hodgkin's disease and other prior conditions
In
the second paragraph of their motion, the officers move to bar any evidence of
Ochana's prior injuries or conditions related to a 1996 car accident and
Ochana's treatment for Hodgkin's Disease because such evidence is irrelevant to
whether the officers had probable cause to arrest Ochana and search his
vehicle. Ochana has no objections regarding prior injuries or conditions
related to the 1996 car accident. However, Ochana argues that evidence of
Ochana's treatment for Hodgkin's Disease is relevant in providing a context for
Ochana's possession of Cynomel. Ochana also responded that on October 30, 2001,
the court informed defense counsel that Ochana's treatment for Hodgkin's
Disease was relevant and not more prejudicial than probative.
The
court reiterates that, as stated supra Sect.II.A.5, the probable cause
determination focuses on the information within the officers' knowledge at the
time of the arrest. It is undisputed that at the time of Ochana's arrest, the officers did not know
of Ochana's alleged treatment for Hodgkin's Disease. Therefore, evidence of
Ochana's treatment for Hodgkin's Disease is irrelevant to the probable cause
inquiry. Further, the court finds that any probative value of such evidence is
substantially outweighed by the danger of unfair prejudice, confusion of the
issues, and misleading the jury. Regardless of what was said at the status on
October 30, 2001, the court grants the officers' motion as to the second
paragraph.
3.
City of Chicago Police Department General Orders
In
the third paragraph of their motion, the officers move to bar evidence of City
of Chicago Police Department general orders as irrelevant and immaterial.
Ochana responds that Chicago Police Department General Order 99-12-02 is
relevant because it deprived the officers of the authority to arrest Ochana for
a minor traffic violation because he was too incapacitated to drive.
Allegations that the officers violated a Police Department General Order
do not support a § 1983 claim, which must be grounded on violations of Ochana's
federal constitutional rights. See Smith v. Martin, 1994 U.S. Dist. Lexis
11867, No. 91 C 4257, 1994 WL 465808, at *2 n.2 (N.D. Ill. Aug. 22, 1994)
(stating that an allegation that the Superintendent violated Chicago Police
Department rules and regulations did not support a § 1983 claim). As stated
supra Sect. II.A.4., "just because Illinois chooses to regulate police
behavior in a certain way does not mean the police officers violate the
Constitution by transgressing those rules." Kraushaar, 45 F.3d at 1048.
Even if the officers were not authorized by the police regulations to make an
arrest for the offense in question, if they had probable cause to make an
arrest, it is irrelevant to the constitutionality of their conduct that the
arrest may have violated state law.
McKinney, 726 F.2d at 1188 (noting that even if police officers exceeded
their authority under a municipal ordinance in arresting the plaintiff, that
did not mean they violated the Constitution).
Here, the police department general orders are irrelevant to Ochana's §
1983 claims. Further, evidence of a
Chicago Police Department rule violation would confuse the jury and obscure the
central issue of whether the officers violated Ochana's civil rights.
Therefore, the court finds that any probative value of such evidence is
substantially outweighed by the danger of unfair prejudice, confusion of the
issues, and misleading the jury. Accordingly, the court [*831] grants the
officers' motion as to the third paragraph.
4.
Recent publicized events concerning
allegations of police misconduct
In
the eighth paragraph of their motion, the officers move to bar any testimony,
evidence, argument, or comments regarding recent publicized events concerning
allegations of police misconduct as irrelevant and unduly prejudicial. Ochana
has no objections regarding testimony or evidence regarding any recent
publicized events concerning allegations of police misconduct, but Ochana
argues that in speaking to the jury, counsel should be allowed to refer to such
events. The court finds that any reference to recent publicized events
concerning allegations of police misconduct would be unduly prejudicial, as it
would distract the jury's attention from the conduct at issue. Accordingly, the
court grants the officers' motion as to the eighth paragraph.
C. Ochana's Motion to Take Judicial Notice
Ochana moves this court, pursuant to Federal Rule of Evidence 201
("Rule 201") to take judicial notice of certain facts. "A court
may take judicial notice of an adjudicative fact that is both 'not subject to
reasonable dispute' and either (1) 'generally known within the territorial
jurisdiction of the trial court' or (2) 'capable of accurate and ready
determination by resort to sources whose accuracy cannot reasonably be
questioned.'" GE Capital Corp. v. Lease Resolution Corp., 128 F.3d 1074,
1081 (7th Cir. 1997) (quoting Rule 201). Judicial notice is premised on the
concept that certain facts or propositions exist which a court may accept as
true without requiring additional proof from the opposing parties. Id. It is an
adjudicative device that substitutes the acceptance of a universal truth for
the conventional method of introducing evidence. Id. "Judicial notice, therefore, merits that traditional
caution is given, and courts should strictly adhere to the criteria established
by the Federal Rules of Evidence before taking judicial notice of pertinent
facts." Id. Rule 201(f) allows a court to take judicial notice at any
stage in a proceeding; therefore, a court may take judicial notice at the
summary judgment stage. See Pantry,
Inc. v. Stop-N-Go Foods, Inc., 777 F. Supp. 713, 733 (S.D. Ind. 1991) (taking
judicial notice at the summary judgment stage).
Ochana's motion to take judicial notice consists of several numbered
paragraphs, each asking the court to take note of a certain fact. Because the
officers have no objection to the certain paragraphs in Ochana's motion, the
court takes judicial notice of the following indisputable facts: (1) in
Illinois, possession of 186 grams of cocaine is a Class 1 felony which can
result in imprisonment of not less than six and not more than thirty years; (2)
in Illinois, forging or altering a prescription to obtain a controlled
substance is a Class 4 felony which can result in one to three years of
imprisonment; (3) in Chicago, obstruction of traffic is an ordinance violation
punishable by a fine of between $50 and $200; (4) in Illinois, when a person is
charged with a crime and a cash bond is set, ten percent of the amount of the
bond, or $25, whichever is larger, has to be paid as a deposit; (5) in
Illinois, when a person is charged with a crime and bonds out of jail on a cash
bond, when the criminal case is finished, the Clerk of the Circuit Court keeps
ten percent of the bond money that was deposited, or $5, whichever is larger,
regardless of the outcome of the criminal case.
The
officers oppose the remaining paragraphs of Ochana's motion, and the court
finds the facts in these paragraphs are [*832] subject to reasonable dispute.
Further, the court finds that the facts in these paragraphs are not controlling
or operative facts because they are irrelevant to the issue of probable cause,
and are, therefore, not "adjudicative facts" proper for a motion to
take judicial notice. Therefore, the court will not take judicial notice of
these paragraphs and denies the remaining paragraphs. In sum, the court grants
in part and denies in part Ochana's motion to take judicial notice.
D. The officers' motion for summary judgment
Having decided the evidentiary issues raised in the parties' motions in
limine and Ochana's motion to take judicial notice, the court now proceeds to
the officers' motion for summary judgment. The officers argue they are entitled
to summary judgment because (1) probable cause bars Ochana's unlawful arrest
and illegal search claims, and (2) the officers are entitled to qualified
immunity.
1.
Summary judgment standard
A
motion for summary judgment is proper "if the pleadings, depositions,
answers to interrogatories, and admissions on file, together with the
affidavits, if any, show that there is no genuine issue as to any material fact
and that the moving party is entitled to a judgment as a matter of law."
FED. R. CIV. P. 56(c). A genuine issue of material fact exists for trial when,
in viewing the record and all reasonable inferences drawn therefrom in a light
most favorable to the non-moving party, a reasonable jury could return a
verdict for the non-movant. Anderson v.
Liberty Lobby, Inc., 477 U.S. 242, 248, 91 L. Ed. 2d 202, 106 S. Ct. 2505
(1986); Smith v. Severn, 129 F.3d 419, 425 (7th Cir. 1997).
The
burden is on the moving party to show that no genuine issues of material fact
exist. Celotex Corp. v. Catrett, 477
U.S. 317, 322, 91 L. Ed. 2d 265, 106 S. Ct. 2548 (1986); Anderson, 477 U.S. at
256. Once the moving party presents a prima facie showing that it is entitled
to judgment as a matter of law, the non-moving party may not rest upon the mere
allegations or denials in its pleadings but must set forth specific facts
showing that a genuine issue for trial exists.
Celotex, 477 U.S. at 324; Anderson, 477 U.S. at 256-57; Schroeder v.
Lufthansa German Airlines, 875 F.2d 613, 620 (7th Cir. 1989). The court will
address each of Ochana's claims in turn.
2.
Unlawful arrest
The
officers argue they are entitled to summary judgment on Ochana's unlawful
arrest claim because they had probable cause to make a custodial arrest for
Ochana for a traffic violation, based on the fact that Ochana was either asleep
or unconscious behind the wheel of a vehicle, and they had probable cause to
arrest Ochana for possession of a controlled substance and forging or altering
a prescription.
A
necessary predicate to any unlawful arrest claim under § 1983 is the absence of
probable cause. Jones v. Webb, 45 F.3d 178, 181 (7th Cir. 1995). If a defendant
can establish probable cause for the arrest, a plaintiff is absolutely barred
from maintaining an unlawful arrest claim under § 1983. Id. at 183. As the Seventh Circuit recently
stated, "An officer has probable cause to arrest when the totality of the
facts and circumstances within his knowledge and of which he has reasonably
trustworthy information is sufficient that a prudent person would believe that
the suspect committed or was committing an offense." Marshall v. Teske, F.3d
, 2002 U.S. App. Lexis 5055, Nos. 01-2722, 01-2793, 2002 WL 461380, at
*3 (7th Cir. Mar. 27, 2002). Suspicion
of a traffic offense constitutes probable cause. See United States v. Williams , 106 F.3d 1362, 1366 (7th Cir. 1997).
A court evaluates [*833] probable cause not from the perspective of an
omniscient observer, but on the facts as they would have appeared to a
reasonable person in the position of the arresting officer. Marshall, 2002 U.S. App. Lexis 5055, 2002 WL
461380, at *3. Thus, as long as the officer's belief is reasonable, it need not
be correct; reasonable mistakes will be excused. Texas v. Brown, 460 U.S. 730, 742, 75 L. Ed. 2d 502, 103 S. Ct.
1535 (1983); Sheik-Abdi, 37 F.3d at 1246.
Whether an officer had probable cause to make an arrest generally
presents a question for the jury, although the court can decide it when the
material facts are undisputed. Jones,
45 F.3d at 182. If facts sufficient to create probable cause are undisputed,
probable cause is a question of law. Potts v. City of Lafayette, 121 F.3d 1106,
1112 (7th Cir. 1997); People v. Cooke , 299 Ill. App. 3d 273, 701 N.E.2d 526,
529, 233 Ill. Dec. 676 (Ill. App. Ct.
1998). A dispute concerning some facts relevant to determining the
existence of probable cause does not preclude a finding of probable cause, so
long as the finding survives after adopting the plaintiff's version of disputed
facts supported by the record.
Cervantes v. Jones, 188 F.3d 805 at 811. See Hunter, 502 U.S. at 228 (stating that the question of whether a
reasonable officer could have believed that he had probable cause to arrest was
question for the court, not the trier of fact, on the officers' summary
judgment motion on qualified immunity grounds). The court can find probable
cause as a matter of law when no reasonable jury could find that the officer
did not have probable cause to make an arrest. Jones, 45 F.3d at 182.
Ochana was charged with the following offenses: (1) obstruction of
traffic, in violation of CHI. MUN. CODE § 9-40-130; (2) possession of a
controlled substance, in violation of 720 ILL. COMP. STAT. 570/402 (1998); and
(3) forging or altering a prescription, in violation of 720 ILL. COMP. STAT.
570/406 (1998). So long as probable cause existed for one of these offenses,
Ochana is barred from maintaining a § 1983 unlawful arrest claim. n5 Even
further, probable cause need not have existed for a charge for which Ochana was
initially arrested so long as it existed for a closely-related [*834]
charge. Marshall, 2002 U.S. App. Lexis
5055, 2002 WL 461380, at *5 (citing Biddle, 992 F.2d at 676). The officers
contend that they had probable cause to arrest Ochana for the closely-related
crimes of driving under the influence, reckless driving, and negligent driving.
As discussed supra Sect. II.A.2., because these three crimes could reasonably
be based on the same set of facts that gave rise to Ochana's arrest, they are
sufficiently related to the crimes charged. Thus, if the court determines that
probable cause existed for any of these three closely-related charges -- or one
of the charges for which Ochana was initially arrested -- then Ochana is barred
from maintaining a § 1983 unlawful arrest claim.
Here, the facts and
circumstances within the officers' knowledge were sufficient to warrant a
prudent officer to believe that Ochana had committed or was committing a crime.
The following facts are undisputed and are sufficient to create probable cause
as a matter of law. When the officers approached Ochana's car, they observed
him either asleep or unconscious at the wheel of his car while at a stoplight
in front of a line of traffic. His head was down, his foot was on the brake,
and the gear of his car was in drive. When they tried to verbally wake him, he
did not respond. Schwocher had to reach through the open window and put the car
in park for Ochana, and Ochana does not remember Schwocher doing this. After
they escorted him out of his car, he was still groggy and unalert, and his
speech was slurred.
These facts, when viewed in
their entirety, lead to only one reasonable conclusion, that a reasonably
competent officer with knowledge of these facts would have concluded that
probable cause existed to arrest Ochana for (1) committing an offense with
which he was charged, obstructing traffic, because he was "operating the
vehicle as to form an unreasonable obstruction to traffic, " CHI. MUN.
CODE § 9-40-140; and (2) committing the closely-related offenses of (a) driving
under the influence, because Ochana appeared to be "in actual physical
control of any vehicle ... while ... under the influence of any intoxicating
compound ... to a degree that renders the person incapable of safely
driving," 625 ILL. COMP. STAT. 5/11-501(a); (b) driving recklessly,
because being asleep at the wheel of a car in the middle of traffic with the
car in drive constitutes "wanton disregard for the safety of persons or
property," 625 ILL. COMP. STAT. 5/11-503(a); and (c) driving negligently,
because those same facts show that Ochana was operating his vehicle "upon
a public way negligently, heedlessly without due caution in a manner so as to
endanger or likely to endanger any person or property," CHI. MUN. CODE §
9-40-140. The court finds, as a matter of law, that the officers had probable
cause to arrest Ochana based on these facts. Therefore, the other issues
concerning whether the officers had probable cause for possession of a
controlled substance or forging or altering a prescription are immaterial.
See Calusinski, 24 F.3d at 935
(finding in a § 1983 false arrest claim, that "at the time of the arrest
police officers need probable cause that a crime has been committed, not that
the criminal defendant committed all of the crimes for which he or she is later
charged.") (emphasis in original). Also, because the officers had probable
cause to arrest Ochana, the court need not decide the qualified immunity
question.
Because the officers had
probable cause to arrest Ochana, the arrest was lawful, and Ochana is
absolutely barred from maintaining an unlawful arrest claim under § 1983.
Therefore, the officers are entitled to judgment as a matter of law on Ochana's
§ 1983 claim for unlawful arrest. Accordingly, the court grants the officers'
motion for summary judgment on Count I of Ochana's second amended complaint.
[*835]
3.
Unreasonable Search
Ochana claims that the officers violated his rights by searching his
passenger compartment and backpack. The officers argue that the search was
based on probable cause, was proper as a search incident to arrest, and was
valid under the automobile exception to the warrant requirement.
In
United States v. Sholola, 124 F.3d 803, 816-17 (7th Cir. 1997), the Seventh
Circuit summarized the Supreme Court's stance on a search such as this. The
Seventh Circuit stated that:
The Court announced a straightforward rule
that when a policeman has made a lawful custodial arrest of the occupant of an
automobile, he may, as a contemporaneous incident of that arrest, search the
interior of that automobile, as well as any containers found therein. The Court
reasoned that articles inside of an automobile are in fact generally, if not
inevitably, within the area into which an arrestee might reach in order to grab
a weapon or evidentiary item. The Supreme Court has since emphasized that the
bright line rule ... authorizes an automobile search whenever officers effect a
custodial arrest, in part because the need to preserve evidence justifies an
automatic search.
Sholola, 124 F.3d at 816-17 (discussing New
York v. Belton, 453 U.S. 454, 458-460, 69 L. Ed. 2d 768, 101 S. Ct. 2860
(1981)). Further, the Supreme Court held that any container within the
passenger compartment "may, of course, be searched whether it is open or
closed." Belton, 453 U.S. at 461.
Ochana's case falls squarely
within the scope of the rule announced in Belton and reiterated in Sholola. As
discussed supra Sect. II.D.2., the arrest of Ochana was lawful. Therefore, the
officers were justified in searching Ochana's vehicle and backpack incident to
the lawful arrest of Ochana. Because the search was proper as a search incident
to arrest, the officers are entitled to judgment as a matter of law on Ochana's
§ 1983 claim for unreasonable search. Accordingly, the court grants the
officers' motion for summary judgment on Count II of Ochana's second amended
complaint.
E. Motions to Bar Expert Testimony
Both
parties move to strike portions of the other side's expert testimony and/or
report. Ochana has filed a motion in limine to bar some of the opinion
testimony of John W. Bowman ("Bowman"). Meanwhile, the officers have
filed a motion in limine and a motion to strike the testimony and report of
Ochana's expert, Paul Oggerino ("Oggerino"). The parties were
offering these experts to testify to the issue of probable cause. Because the
court finds that the only reasonable interpretation of the undisputed facts is
that the officers had probable cause to arrest Ochana, see supra Sect. II.D.2.,
the court need not consider expert testimony on this issue. Therefore, the
court denies as moot (1) Ochana's motion in limine to bar certain opinion
testimony of Bowman, (2) the officers' motion in limine to bar the testimony
and report of Oggerino, and (3) the officers' motion to strike the testimony
and report of Oggerino.
III. CONCLUSION
For
the foregoing reasons, the court (1) grants in part and denies in part plaintiff's
motions in limine, (2) grants in part and denies in part defendants' motions in limine, (3) grants in
part and denies in part plaintiff's motion to take judicial notice, (4) grants
defendants' motion for summary judgment, and (5) denies defendants' motion to
strike.
APR 11 2002
Date
James H. Alesia
United States District Judge
JUDGMENT IN A CIVIL CASE
Decision by Court. This action came to
hearing before the Court. The issues have been heard and a decision has been
rendered.
IT IS HEREBY ORDERED AND ADJUDGED that the
court grants defendants' motion for summary judgment. Final judgment is entered
in favor of defendants Fernando Flores and Anthony Schwocher and against
plaintiff John Ochana.
Date: 4/11/2002
FOOTNOTES:
n1 Unless otherwise
indicated, the following facts -- taken from the parties' Local Rule 56.1
statements -- are undisputed.
n2 Ochana insists that he
did not appear groggy and was not slurring his speech. (Pl.'s Resp. to Defs.'
Stmt. of Facts PP 14, 15, 17.) To support this statement, Ochana points to
several excerpts of his own deposition. Of all these excerpts, the court finds
only two portions relevant. In one excerpt, Ochana testified, "I dazed off, I got up, they said, I felt fine,
okay, I got to go to work now, give me the ticket." (Ochana's Dep.
84:21-23.) In another portion, Ochana testified that the officers did not
assist him out of the car (Ochana's Dep. 111:20-21.), and that physically he
was able to get out of the car by himself (Ochana's Dep. 112: 10-11.). However,
even if Ochana felt fine and was physically able to get out of the car by
himself, this deposition testimony does not establish that Ochana did not
appear groggy and was not slurring his speech. See Valance v. Wisel, 110 F.3d 1269, 1275-76 (7th Cir. 1997)
(finding that a plaintiff's testimony that he did not believe he was traveling
across the center line did not establish that the plaintiff did not in fact
travel across the center line as the officer asserted). Therefore, the court
finds it an undisputed fact that Ochana appeared groggy at this point.
n3 Whether the backpack was
open or closed is not a material fact. As discussed infra Sect. II.D.3., when a
police officer has made a lawful custodial arrest of the occupant of an
automobile, the officer may, as a contemporaneous incident of that arrest,
search the passenger compartment of that automobile along with any containers
-- open or closed -- within the passenger compartment.
n4 Whether or not the
substance contained yellow flecks is not a material fact because Flores
testified that he had previously seen white powder with yellow flecks test
positive for cocaine.
n5 The court notes that
Ochana's second amended complaint alleges unlawful arrest for possession of a
controlled substance and forging or altering a prescription, but fails to
mention the obstruction of traffic charge. Ochana provides no support
authorizing a plaintiff to parcel out the different charges for his arrest. So
long as the officers had probable cause to believe that Ochana had committed
any offense -- including a minor traffic offense of obstructing traffic -- they
were entitled to arrest Ochana. See
Calusinski v. Kruger, 24 F.3d 931, 935 (7th Cir. 1994) (finding in a § 1983
false arrest claim, that "at the time of the arrest police officers need
probable cause that a crime has been committed, not that the criminal defendant
committed all of the crimes for which he or she is later charged.")
(emphasis in original).
Also, the Supreme Court recently held that arrests for
misdemeanor violations that would be punishable only by a fine do not offend
any constitutional principles.
Williams, 269 F.3d at 784 (citing Atwater v. City of Lago Vista, 532
U.S. 318, 149 L. Ed. 2d 549, 121 S. Ct. 1536 (2001)). As the Seventh Circuit
noted in Williams, Atwater held that "if an officer has probable cause to
believe that an individual has committed even a very minor criminal offense in
his presence, he may, without violating the Fourth Amendment, arrest the
offender." Id. See also Marshall,
2002 U.S. App. Lexis 5055, 2002 WL 461380, at *5 (citing Atwater for the
proposition that the Fourth Amendment allows police officers to make
warrantless arrests for minor criminal offenses even if they are punishable only by a fine). Because obstruction of
traffic is at least a violation of municipal ordinance punishable by a fine,
Atwater indicates that as long as the officers had probable cause to believe
that Ochana had committed obstruction of traffic, the Fourth Amendment allowed
the officers to arrest Ochana for this offense. See Williams, 106 F.3d at 1366 (stating that suspicion of a traffic
offense constitutes probable cause).