Albert Woods v. City of Chicago, Officer Makowski, Chicago Police Officer 16971, Officer Alanis, Chicago Police Officer 5001Albert Woods v. City of Chicago, Officer Makowski, Chicago Police Officer 16971, Officer Alanis, Chicago Police Officer 5001
Plaintiff-Appellant Albert Woods appeals from the order of the United States District Court for the Northern District of Illinois, Eastern Division, granting summary judgment to defendants-appellees MakowsM, Alanis, and the City of Chicago. For the reasons set forth below, we affirm.
Albert Woods was arrested at his place of employment for misdemeanor assault. After the charges against him were dropped, Woods filed an action under
Woods filed a memorandum opposing the City’s motion to dismiss, arguing that his complaint did not demonstrate that the officers had probable cause to arrest him. According to Woods, the complaint merely asserted that a citizen had walked into a Chicago police station on July 21, 1997 and stated that on July 18, 1997 he had been “verbally assaulted” by Woods. Woods noted that the complaint did not allege that this information was communicated to the arresting officers. Furthermore, he contended that even if the arresting officers had been aware of the citizen’s complaint, it did not provide them with probable cause to arrest because “verbal assault” is not an offense under Illinois law.
The City and the individual defendants jointly filed a reply. Attached to the reply were various exhibits, including a copy of Flores’ verified misdemeanor complaint and a copy of the arresting officer’s report of Woods’ arrest. The verified misdemeanor complaint (signed under oath by Flores) charged Woods with aggravated assault, and stated that “on or about 18 July ’97 ... [Woods] while using a deadly weapon, length of a lead pipe, did without lawful authority produce weapon and came at victim yelling I’m going to kill you, which placed Gabriel Flores in reasonable apprehension of receiving a battery.” The arrest report essentially repeated this account of the incident, stating that,
[t]he above subject arrested for [aggravated assault. On 18 July 97 victim went to truck leasing company where offender is employed to gas up a leased truck. At that time offender got into a verbal arguement [sic] with victim and produced a lead pipe and told victim I’m going to kill you. When offender started to approach victim, victim got into his truck and fled the scene. R/O’s interviewed victim who signed compiainats [sic], R/O’s went to offender’s place of employment, placed subject under arrest and advised subject of his rights which he stated he understood.
The arrest report was signed under the statement “I do solemnly, sincerely, and truly declare and affirm that the facts stated herein are accurate to the best of my knowledge.”
Woods moved to exclude these exhibits on grounds that such evidentiary material could not be considered during a motion to dismiss. He argued that the court could not consider the exhibits unless it first
Woods filed an amended complaint which restated his earlier claim that Flores claimed to have been “verbally assaulted” by Woods, and which explicitly stated that such a claim did not supply the officers with probable cause to arrest Woods. The amended complaint also reasserted that the officers violated Woods’ Fourth Amendment rights by arresting him without a warrant for a misdemeanor offense not committed in their presence and not involving a breach of the peace pursuant to a municipal policy authorizing such arrests. Again, the defendants moved to dismiss, arguing that Flores’ complaint established probable cause.
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Woods opposed the defendants’ motion, again contending that even if the officers had been aware of Flores’ complaint (which his complaint did not allege), that complaint did not provide probable cause to arrest because “verbal assault” is not an offense under Illinois law, which defines assault as “conduct which places another in reasonable apprehension of receiving a battery.”
The court then converted the defendants’ motion to dismiss into a motion for summary judgment, noting that the defendants had attached “pertinent eviden-tiary material” to their reply to Woods’ memorandum in opposition to the motion to dismiss Woods’ original complaint. Addressing Woods’ claim that Flores had complained merely of a “verbal assault,” the court quoted the arrest report’s account of Flores’ complaint, which stated that Woods had brandished a lead pipe during the altercation and which specifically referenced Illinois’ aggravated assault statute. The court stated that “the misdemeanor complaint, filed by Gabriel Flores, further indicates that Woods committed an aggravated assault with a deadly weapon while threatening to kill Flores,” and that “this evidence indicates that the arresting officers arrested Woods based on information that Woods committed an aggravated assault.” In ordering Woods to respond to the motion for summary judgment, the court admonished him to “pay particular attention” to
In Woods’ response, he argued that the arrest report and the misdemeanor complaint could not be considered on a motion for summary judgment because: (1) the defendants had not laid any foundation for their admission, (for example, they did not show the date or time of the alleged interview between Flores and the arresting officers in the arrest report); (2) they were unauthenticated; and (3) the police report
In ruling on the summary judgment motion, the district court found that it could properly consider the police report and the misdemeanor complaint. Responding to Woods’ objection that the documents were not authenticated, the court held that the documents were “credible and trustworthy” because they were sworn to under oath by the officers and by Flores, and because they were business records kept by the police department. Additionally, the court found that Woods had admitted to the accuracy of the complaint and the arrest report by attaching and relying on the case report, which corroborated the account given by the complaint and the arrest report. The court also noted that it was examining the records “not for their truth, but for what the officers knew when they arrested Woods.”
Upon considering the exhibits, the court concluded that they showed that the officers had arrested Woods believing that he had threatened to kill Flores with a lead pipe, and that this alone established probable cause. In response to Woods’ discovery request, the court noted that it had given Woods the opportunity to show why it should not accept the information in the complaint and the arrest report as credible, and that he had failed to do so (indeed, he had even corroborated the documents by submitting the case report). Moreover, the court found that Woods had offered absolutely no evidence that the documents were “fraudulent, signed by mistake, or even inaccurate,” nor had he even denied that he had threatened to kill Flores while approaching him with a lead pipe. Under the circumstances, the court found that depositions would be a waste of time, and it granted summary judgment for the defendants without allowing Woods to depose Flores or the officers who signed the arrest report. This appeal followed.
DISCUSSION
I. Procedural Issues
Woods argues that, in deciding the converted motion for summary judgment, the district court improperly considered the verified misdemeanor complaint and the arrest report. He also argues that the district court abused its discretion in ruling on the motion without allowing him to depose Flores and the officers who prepared and signed the arrest report.
A district court may properly grant summary judgment when “the record
We review a district court’s grant of summary judgment de novo, drawing all reasonable inferences from the record in the light most favorable to the nonmovant.
As a preliminary matter, we note that the court did nothing improper in converting the defendants’ motion to dismiss into a motion for summary judgment. Under
However, Woods argues that the district court erred in considering the arrest report and the misdemeanor complaint in deciding the summary judgment motion because the reports contained inadmissible hearsay, and because the documents were not “affidavits” under
A. Woods ’ Hearsay Argument
Woods argues that the arrest report and the misdemeanor complaint contained inadmissible hearsay, and therefore could not properly be considered on a motion for summary judgment. The district court found that the information in these documents was credible and trustworthy under
While we agree fully with this principle of law, we find that it is not implicated in this case and is of no help to Woods. As the district court noted, the defendants offered the statements in the arrest report and the verified criminal complaint describing the details of the alleged altercation- between Woods and Flores not for their truth, but to show the effect that the statements had on the officers. Because the officers asserted the defense of qualified immunity, Woods had
B. Woods’ “affidavit” argument
Woods also argues that the district court should not have considered the arrest report and the misdemeanor complaint because they did not qualify as admissible “affidavits” under
Woods’ arguments are unpersuasive. First, while
The district court found the documents admissible as a business record under
Woods attached a Chicago Police Case Report to his response to the defendants’ motion for summary judgment, and he relied on the case report for its accuracy both in his original response before the district court and in his appellate brief presented to this Court. The case report recapitulated Flores’ account of the altercation as presented in the arrest report and the misdemeanor complaint in each of its essential details. By submitting and relying upon the case report, Woods conceded the accuracy of the documents that the defendants sought to introduce. This situation is strikingly similar to the situation that the First Circuit confronted in
Cerqueira v. Cerqueira,
We find this reasoning persuasive and applicable to the facts of this case. By submitting the case report and relying on it, Woods has conceded that Flores made out a complaint against him to the Chicago Police, and that in that complaint Flores alleged that Woods had threatened to kill him while wielding a lead pipe. Since these are exactly the facts that the defendants sought to prove through the arrest report and the misdemeanor complaint, we conclude that Woods cannot reasonably question the reliability of those documents. Requiring authenticating affidavits in this case would be an empty formality, and the district court did not abuse its discretion when it considered the documents without such affidavits.
Moreover, even were we to hold that the district court erred in considering the arrest report and misdemeanor complaint absent a certifying affidavit or some other traditional method of authentication, such an error would be harmless in this case.
C. Woods’ discovery request
Woods also argues that the district court “applied an erroneous legal standard” in refusing to permit him to depose Flores and the arresting officers before ruling on the defendants’ summary judgment motion. Citing
Illinois State Employees Union v. Lewis,
A district court’s decision to consider a defendant’s motion for summary judgment before allowing the plaintiff to depose certain witness is a discovery matter which we review for abuse of discretion.
Doty v. Illinois Central R.R. Co.,
Further, even if we were to waive
Indeed, under the circumstances of this case, we would most likely affirm even if the district court had converted the defendants’ motion to dismiss into a motion for summary judgment and granted the motion without giving Woods any notice of the conversion or any opportunity to respond to the summary judgment motion. While the conversion of a 12(b)(6) motion into a summary judgment motion
“should
be accompanied by prior notice and ‘a reasonable opportunity to establish the existence of material controverted facts,’ ” the failure to afford such procedure will not necessarily mandate reversal unless “the record discloses the existence of unresolved material fact issues,” or “the parties represent that they would have submitted specific controverted material factual issues to the trial court if they had been given the opportunity.”
Milwaukee Typographical Union No. 23 v. Newspapers, Inc.,
II. Fourth Amendment Issue
Woods argues that his warrantless arrest for misdemeanor assault was unconstitutional because the alleged assault did not involve a breach of the peace and did not occur in the presence of the arresting officers. Woods notes that the Supreme Court has recently stated that “[i]n determining whether a particular governmental action violates [the Fourth Amendment], we inquire first whether the action was regarded as an unlawful search or seizure under the common law when the Amendment was framed.”
Wyoming v. Houghton,
The Supreme Court has never held that a police ■ officer violates the Fourth Amendment merely by arresting someone without a warrant for a misdemeanor offense which did not occur in the officer’s presence and/or did not involve a breach of the peace. Rather, when determining the constitutionality of a warrantless arrest for a criminal offense, the Court has repeatedly focused its inquiry on the existence of probable cause for the arrest.
See, e.g., Gerstein v. Pugh,
However, Woods argues that the historical analysis employed by the Court in
Houghton
changed the traditional Fourth Amendment inquiry and imposed a warrant requirement for all routine misdemeanor arrests unless the misdemeanor is committed in the presence of the arresting officer and involved a breach of the peace. Unfortunately for Woods, however,
Houghton
did not constitutionalize the common law rules regarding misdemeanor arrests, nor did it even address the reasonableness of an arrest under the Fourth Amendment.
Houghton
addressed the reasonableness of a search, not of a seizure of the person, and it held merely that “police officers with probable cause to search a car may inspect passengers’ belongings found in the car that are capable of concealing the object of the search.”
Moreover, in a case that was decided after both
Hodari
and
Wilson,
the Court strongly and unequivocally affirmed its traditional view that, absent certain extraordinary circumstances, a seizure is reasonable under the Fourth Amendment when it is based upon probable cause regardless of the severity of the offense involved.
See Whren v. United States,
In addition, while we have never decided whether the Fourth Amendment incorporates the common law “in the presence” rule for misdemeanor arrests,
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we have held that other aspects of the common law standards of misdemeanor arrests are not part of the Fourth Amendment’s prohibition of “unreasonable” searches and seizures. In
Ricci v. Arlington Heights, Illinois,
the plaintiff brought a
Moreover, several of our sister circuits have squarely addressed Woods’ argument, and they have uniformly held or stated that the common law “in the presence” rule is not part of the Fourth Amendment.
See Vargas-Badillo v. Diaz-Torres,
Therefore, given the weight of Supreme Court authority on this issue, the overwhelming consensus of the circuits, and our similar holding in Ricci, we reject Woods’ invitation to constitutionalize the framing-era common law of misdemeanor arrests and to overturn any Illinois state or municipal laws which abrogate it.
However, while the Fourth Amendment does not require a warrant for a misdemeanor arrest like the one effected here, it does require that all warrantless arrests be “reasonable.”
Payton,
Probable cause has been defined as “facts and circumstances ‘sufficient to warrant a prudent man in believing that the [suspect] had committed or was committing an offense.’ ”
Gerstein,
Applying this standard, we have consistently held that an identification or a report from a single, credible victim or eyewitness can provide the basis for probable cause.
See Tangwall v. Stuckey,
In an effort to call the credibility of Flores’ complaint into question, Woods notes that Flores made out the complaint three days after the alleged assault occurred. He also points to the case report, which, in reporting Flores’ description of the assault, states that Flores told the officers that he left the altercation thinking that Woods was “overreacting.” As we have already noted, however, the case report submitted by Woods indicated that Flores told the police that Woods had renewed his threats against Flores through two of Flores’ coworkers on the very day that Flores made out his complaint. This amounts to an apparently credible explanation for why Flores reported the offense when he did, and Woods offers absolutely nothing either to rebut this explanation or to undermine its credibility. Moreover, the bare fact that Flores left the scene of the altercation thinking that Woods was overreacting does not support any reason able inference that Flores did not take Woods’ threats seriously, nor does it in any way tend to diminish the credibility of Flores’ account of the incident. Finally, even if these facts did somehow diminish the credibility of the complaint that Flores made to the police, they certainly would not render it dubious enough to require the police to conduct a further investigation before arresting Woods (that is, they would not render his report incredible as a matter of law). We have found probable cause to arrest based upon uncorroborated citizen complaints which were far more questionable than was Flores’ complaint.
See Spiegel,
CONCLUSION
For the foregoing reasons, the judgment of the district court is AFFIRMED.
Notes
. The defendants also asserted the defense of qualified immunity and argued that Woods failed to establish a causal connection between the alleged municipal policy and his claimed injury. However, the district court did not address these issues, and they are not at issue in this appeal.
. Woods did contend that there was no evidence that Flores' complaint was communicated to the particular officers who arrested him, but given that the case report opened its narration of Flores' complaint with the statement that "R/O interviewed victim who related to R/O that .... " this argument is at worse disingenuous, and is at best pure sophistry.
. Woods also pointed to Flores’ delay in reporting the incident as a possible ground for the police to doubt his credibility. However, as the case report indicates, Flores provided the police with a credible explanation for the delay — namely, the renewed threat that Woods had communicated to Flores' co-workers on the day that he reported the incident. Woods does not deny that Flores gave this explanation, nor does he suggest why it might have been incredible.
. In
Maryland v. Macon,
which was decided five years after
Payton,
the Court expressly reserved the question of whether the Fourth Amendment prohibits a warrantless arrest outside of the home for the state law misdemeanor of distribution of obscene materials.
See
. Furthermore, even after
Houghton,
courts have continued to apply the traditional "probable cause” standard that was reaffirmed in
Whren
in determining the reasonableness of an arrest.
See, e.g., United States v. Moore,
. In
Gramenos v. Jewel Cos., Inc.,
we reserved the question of whether a state statute abrogating the common law "in the presence” rule for misdemeanor arrests "without putting equivalent guarantees of reasonable conduct in its place” comports with the Fourth Amendment.
.As Woods notes, in Ricci we held that the plaintiff had waived any argument under the warrant clause. See id. at 292.
. Indeed, most of these courts upheld the constitutionality of the warrantless misdemeanor arrests at issue even though the arrests violated the relevant state law which had incorporated some variant of the common law "in the presence” rule. Since Illinois law authorizes misdemeanor arrests regardless of whether the offense occurred in the presence of the arresting officer, Woods' claim of a Fourth Amendment violation seems even weaker than the similar claims rejected by many of our sister circuits.