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UNITED STATES COURT OF
APPEALS FOR THE SIXTH CIRCUIT
MARVIN GARDNER,
Plaintiff-Appellee,
v.
TROOPER PATRICK WILLIAMS,
Defendant-Appellant.
No. 02-5363
56 Fed. Appx. 700
NOTICE: NOT RECOMMENDED FOR
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SITUATIONS. PLEASE SEE RULE 28(g) BEFORE CITING IN A PROCEEDING IN A COURT IN
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COURT. THIS NOTICE IS TO BE PROMINENTLY DISPLAYED IF THIS DECISION IS
REPRODUCED.
PER CURIAM. Marvin Gardner, along with his
son, Mark, and his wife, Betty, brought this action against Kentucky State
Trooper Patrick Williams and others for alleged violations arising out of the
arrest of Marvin and Mark on August 17, 1999. Williams arrested the two men
after they refused to leave an area in which Williams was issuing a traffic
citation and after Marvin refused to produce identification. Williams and the
other defendants moved for summary judgment, which the district court granted
except as to Marvin's claim against Williams for wrongful arrest. Williams appeals
from this ruling, arguing that he is entitled to qualified immunity because
there was probable cause to arrest Marvin or, in the alternative, because there
was no "clearly established law" regarding the statutory requirements
of the failure to disperse and disorderly conduct statutes. Because we conclude
that Williams's actions violated "clearly established statutory or
constitutional rights of which a reasonable person would have known," Harlow
v. Fitzgerald, 457 U.S. 800, 818, 73 L. Ed. 2d 396, 102 S. Ct. 2727 (1982), we
affirm the district court's decision denying Williams qualified immunity.
FACTUAL AND PROCEDURAL BACKGROUND
Kentucky
State Trooper Patrick Williams initiated a traffic stop on August [*702]17,
1999 after he observed a motorcycle driver execute an illegal u-turn. The
driver pulled over onto the private property of Joe Burke Jones, and Williams
followed. On Jones's property, Marvin and Mark Gardner were sitting in a
pick-up truck and talking with Jones, who was standing by the passenger-side
window of the truck. Marvin had gone to speak with Jones about purchasing a car
from him. Williams began a pat-down search of Jones at the front of the police
car, at which time Mark backed his truck behind and perpendicular to the police
car. Apparently concerned for his safety, Williams ordered the two Gardners to
leave the scene, but they refused to go. After searching the motorcycle driver
and his passenger, Williams repeated his request to the Gardners, and the Gardners
again refused.
Williams
then approached the Gardners' truck, ordering them to leave for a third time.
Marvin, adamant, told Williams that he was not leaving. Williams then explained
that if they did not leave he would issue each Marvin and Mark a citation for
failure to disperse. To this, Marvin responded, "It ain't gonna happen, do
what you got to do." Williams asked for identification from both men so
that he could complete the citations. Mark immediately complied, but Marvin
refused. At this point, Williams returned to his police car to request assistance and to check the motorcycle
driver's identification. On his way to the police car, Williams told Jones he
was free to leave.
Sheriff's
Deputy Eddie Wilson, in response to Williams's request for backup, arrived on
the scene and, together with Williams, arrested Marvin when he again refused to
produce identification. After Marvin was arrested, Williams returned his
attention to Mark, whose attorney had arrived at the scene. While Williams was
issuing Mark a citation, Mark became agitated and was ultimately placed in a
lateral vascular neck restraint and arrested by Williams.
Subsequently,
both Marvin and Mark Gardner were acquitted of all charges stemming from this
incident. They then initiated a civil action against Williams, Captain Wayne
Edwards, and Commissioner Gary Rose for alleged violations of 42 U.S.C. § 1983
and for state law claims of false arrest, assault, battery, false imprisonment,
malicious prosecution, intentional infliction of emotional distress, negligent
infliction of emotional distress, and outrageous conduct. Gardner's wife
brought a claim against Williams for loss of consortium.
The defendants moved for summary judgment on grounds of
qualified immunity, which the district court granted except as to Marvin's §
1983 claim against Williams for wrongful arrest. Williams now appeals from the
district court decision.
DISCUSSION
A. Standard of Review
We review a district court's denial of summary judgment on
qualified immunity grounds de novo. See
Heggen v. Lee, 284 F.3d 675, 679 (6th Cir. 2002). Summary judgment is appropriate when there is
"no genuine issue as to any material fact." Fed. R. Civ. P. 56. In
making this determination, we consider the evidence in the light most favorable
to the nonmoving party. See Matsushita Elec. Indus. Co. v. Zenith Radio Corp.,
475 U.S. 574, 587, 89 L. Ed. 2d 538, 106 S. Ct. 1348 (1986).
B. The Privilege of
Qualified Immunity
Under the doctrine of qualified immunity, "government
officials performing discretionary functions generally are shielded from
liability for civil damages insofar as [*703] their conduct does not violate
clearly established statutory or constitutional rights of which a reasonable
person would have known." Harlow v. Fitzgerald, 457 U.S. 800, 818 (1982).
Even if an official errs in his or her judgment and violates an individual's
constitutional rights, the officer is not subject to suit so long as the
mistake was a reasonable one. See Saucier
v. Katz, 533 U.S. 194, 205, 150 L. Ed. 2d 272, 121 S. Ct. 2151 (2001).
Furthermore, once a defendant asserts the privilege of qualified immunity, the
burden shifts to the plaintiff "to establish that the defendant's conduct
violated a right so clearly established that any official in his position would
have clearly understood that he was under an affirmative duty to refrain from
such conduct." Flint ex rel. Flint v. Kentucky Dept. of Corrections, 270
F.3d 340, 347 (6th Cir. 2001).
To determine if qualified immunity attaches, we apply the
sequential analysis set forth by the Supreme Court in Saucier v. Katz, 533 U.S.
194 (2001). See Greene v. Barber, 310 F.3d 889, 894 (6th
Cir. 2002), Goad v. Mitchell, 297 F.3d 497, 501 (6th Cir. 2002). As an initial
matter, we must determine whether, taken in the light most favorable to the
party asserting the injury, the facts alleged are sufficient to make out a
constitutional violation. See Saucier,
533 U.S. at 201. "If the answer is yes, then the second step is to
determine whether the right is so 'clearly established' that a 'reasonable
official' would understand that what he is doing violates that right." Brennan
v. Township of Northville, 78 F.3d 1152, 1154 (6th Cir. 1996) (quoting Anderson v. Creighton, 483 U.S. 635,
640, 97 L. Ed. 2d 523, 107 S. Ct. 3034 (1987)).
C. Constitutional Violation
The Fourth
Amendment of the United States Constitution guarantees the "right of the
people to be secure in their persons, houses, papers, and effects, against
unreasonable searches and seizures." U.S. CONST. amend. IV. Consistent
with this guarantee, an officer may effectuate an arrest without a warrant so
long as there is probable cause for the arrest. See Michigan v. DeFillippo, 443 U.S. 31, 36, 61 L. Ed. 2d 343, 99 S.
Ct. 2627 (1979). "Probable cause justifying an arrest 'means facts and
circumstances within the officer's knowledge that are sufficient to warrant a
prudent person, or one of reasonable caution, in believing, in the
circumstances shown, that the suspect has committed, is committing, or is about
to commit an offense.'" Estate of Dietrich v. Burrows, 167 F.3d 1007,
1010-11 (6th Cir. 1999) (quoting DeFillippo, 443 U.S. at 37).
Williams contends that there
was probable cause to arrest Marvin under Kentucky's failure-to-disperse law,
which provides:
A person is guilty of failure to disperse if he
participates with two (2) or more persons in a course of disorderly conduct
likely to cause substantial harm or serious inconvenience, annoyance or alarm,
and intentionally refuses to disperse when ordered to do so by a peace officer
or other public servant engaged in executing or enforcing the law.
Ky. Rev. Stat. § 525.160. As explained by the district court, "It
appears that only Marvin and Mark were involved in the alleged failure to
disperse. If so, the Gardners could not violate K.R.S. § 525.160 as the statute
requires the presence of three people before a violation occurs."
Williams contends that the
statute does not require more than two people.
To support his argument, Williams directs our attention to Kentucky Criminal
Law, written by Professors Robert G. Lawson [*704] and William H. Fortune, in
which the authors note, without citation to authority, that the statute
requires proof of "participation of two or more persons." However, as
the district court noted in response to Williams's motion to reconsider, the
plain language of the statute mandates the presence of at least three
individuals. Simply put, Williams did not have probable cause to arrest Marvin
pursuant to the failure to disperse statute because Marvin and Mark were the
only individuals involved in the alleged offense, and the statute requires the
participation of at least three individuals.
In the
alternative, Williams contends that there was probable cause to arrest Marvin
for disorderly conduct. In relevant part, Kentucky law provides:
A person is guilty of
disorderly conduct when in a public place and with intent to cause public
inconvenience, annoyance or alarm, or wantonly creating a risk thereof, he ...
refuses to obey an official order to disperse issued to maintain public safety
in dangerous proximity to a fire, hazard or other emergency.
Ky. Rev. Stat. § 525.060(1)(c). Contrary to Williams's position,
however, the arrest cannot be justified by this statute because Marvin was on
private property and not in a public place at the time of the arrest, and
Williams's order to disperse was not made in response to "a fire, hazard,
or other emergency."
Plainly,
Williams did not have probable cause to arrest Marvin under the state statutes
prohibiting failure to disperse and disorderly conduct. Furthermore, as noted
by the district court, there does not appear to be a Kentucky statute
permitting the arrest of an individual simply because he refuses to produce
identification. Thus, there can be only one conclusion based on the set of
facts in this case: that Williams arrested Marvin without probable cause and in
violation of his Fourth Amendment rights.
D. Clearly Established
Rights
The conclusion that Williams arrested Marvin without probable cause does not end our inquiry, however, because we must also determine whether Marvin's rights under the Fourth Amendment were clearly established such that a reasonable official would have understood that his actions violated those rights. As the Supreme Court has noted, "The contours of the right must be sufficiently clear that a reasonable official would understand that what he is doing violates that right." Anderson v. Creighton, 483 U.S. 635, 640 (1987).
Williams
contends that the facts here do not meet that standard, pointing to the
proposition in the Lawson and Fortune treatise that only two individuals are
required under the failure to disperse statute. Despite the opinion of these
two commentators, we conclude that no reasonable interpretation of the
disorderly conduct statute could possibly support Williams's arrest of Marvin.
Because the statutory language cited by Williams is unambiguous and not
reasonably open to an alternative interpretation, we hold that Marvin's rights
were so clearly established that a reasonable officer would have been aware of
the unconstitutionality of the arrest.
CONCLUSION
For
the reasons set out above, we AFFIRM the judgment of the district court.