Lead Opinion
Wе here discuss 42 U.S.C. § 1983 excessive force claims preceded by a release of civil claims as a quid pro quo for dropping criminal charges. It is a case of first impression in this circuit. The City of Sioux City, Iowa, and the other individual appellants (collectively the City) appeal a jury verdict in favor of Diane Woods, in which she recovered damages for intentional infliction of emotional distress and assault and battery. In the district court, the City moved for summary judgment on the ground that Woods had voluntarily signed a valid, binding release which obligated her not to pursue any legal actions against the City. The district court denied the summary judgment motion. This denial of summary judgment is also on appeal. We hold that the release was valid as a matter of law and the City’s summary judgment motion should have been granted by the district court. Accordingly, we reverse the district court’s decision to deny summary judgment and remand with instructions to dismiss the case.
I. BACKGROUND
In the early morning hours of March 18, 1987, Diane Woods had an altercation with members of the Sioux City, Iowa, police department. The litigants have vastly different stories about what happened. According to Woods, Officer Jay Rhodes and other members of the Sioux City police department assaulted her for no reason, beat her severely, and humiliated her with brutal treatment and derisive, obscene remarks.
According to the City, Officer Rhodes observed Woods speeding and attempted to stop her. Rhodes, with the overhead lights in his marked squad car on, followed her for several blocks turning several corners in the process. During this period of pursuit, Woods refused to pull over. She finally stopped her vehicle in the alley behind her residence. At this point, Rhodes contends Woods exited her vehicle and refused to stop when he requested that she do so. Woods then became abusive and violent. According to Rhodes, he attempted to place Woods under arrest, but she was belligerent and uncooperative. At trial, Rhodes testified that she smelled of liquor. Rhodes used his walkie talkie to call for reinforcements to help him subdue Woods. Ultimately, it took four officers to get Woods under control and get her hands cuffed behind her back. Rhodes freely admits that a struggle ensued, but only as a means of arresting and controlling Woods who resisted all attempts to cooperate and struggled continually with the officers.
Ultimately, the officers on the scene placed Woods in a paddy wagon and took her to the Woodbury County Jail. At the jail, she was given a variety of field sobriety tests. The
Woods initially engaged an attorney named Dennis Mahr to représent her on the criminal charges. She terminated her relationship with Mahr and then engaged attorney Jack Faith to represent her. Faith is an experienced criminal attorney in the Sioux City area. Faith obtained photographs taken of Woods two days after March 18 allegedly showing the bruises she suffered because of the police’s conduct during the struggle. In his representation of Woods, Faith showed the pictures to Assistant Woodbury County Attorney Raymond Reel, the prosecuting attorney handling Woods’ criminal charges.
Later, Faith learned that Officer Rhodes had moved a considerable distance away from the Sioux City area. Knowing that a successful prosecution would be difficult without Rhodes’ testimony, Faith again asked Reel to drop the charges. After further negotiations, Reel offered to dismiss the pending criminal charges if Woods signed a release. Reel drafted the release document stating, among other things, that Woods would agree to “release, acquit, and forever discharge” Sioux City and the police department (including Officer Rhodes and many other named individuals) from “any and all liability whatsoever” for any “injuries, dam
After negotiating with Reel, Faith agreed to present the release to his client, Woods. After considering the document and consulting with Faith over a period of approximately two months, Woods signed the release on September 15, 1987, almost six months after the initial incident with the police.
In February of 1989, Woods filed a complaint in United States District Court for the Northern District of Iowa alleging 42 U.S.C. § 1983 violations by the police and the City of Sioux City in connection with the incident on March 18, 1987: In the complaint, she also alleged pendent state tort claims. The defendants moved for summary judgment based on the release. The district court denied the motion, ruling it could not state that the release was voluntary and there was no prosecutorial overreaching.
After a trial, the jury returned verdicts in favor of the City on two cоunts concerning the § 1983 claims and for a state law claim of false arrest. The jury also returned verdicts in favor of Woods on state law claims of assault and battery and intentional infliction of severe emotional distress and awarded her $1 punitive and $200,000 compensatory damages.
II. SUMMARY JUDGMENT EVIDENCE
When the City moved for summary judgment, the evidence the court considered consisted of depositions of Diane Woods, Jack Faith, and Raymond Reel; a copy of the release; copies of two letters sent by Faith to Woods regarding the release; and Woods’ typed recollection of the events of March 17 and March 18, 1987.
On cross-examination, Reel was asked whether one of his concerns in obtaining the release was to protect the officers from civil liability. He replied, “That’s not — certainly not a primary concern of mine.” When asked whether he was concerned about potential civil liability for the City when he obtained the release, he responded that he was indeed concerned about the City’s potential civil exposure. Reel also indicated he did not recall talking to Woods during the months following the incident when she was represented by counsel, but he could not unequivocally say that he did not. In Reel’s words: “I can say I don’t believe I spoke with her.... [T]he possibility is yes, I did, but I don’t recall doing it.” Reel testified further that he did not know of any other law enforcement official who had contacted Woods after March 18.
In her deposition, Woods testified that she received a phone call sometime during the month of June or July from someone who identified himself as being from the county attorney’s office. According to Woods’ testimony, the man “said he would personally bring Jay Rhodes back and he would personally see that I was — it would go to the full extent of the law and that he would see that I went to jail if I did not sign the release.” Woods testified that she did not catch the name of the individual who called her. She further testified that both of her attorneys, Mahr and Faith, had explained to her the possibility she might go to jail if the charges against her were pursued. When asked if the alleged county attorney in the phone call had told her anything that she did not already know, Woods replied, “No.”
When Woods was asked about her motivation for signing the release, she responded she was threatened with the possibility of going to jail and threatened with the possibility that Officer Rhodes would come back to testify against her. She stated she was personally afraid of Rhodes and she feared another beating. Woods testified further that pursuing a lawsuit would have been expensive and she did not want to jeopardize her family’s security. She stated the financial impact of a lawsuit was a real concern for her. When asked about other factors that influenced her decision to sign the release, Woods testified she was embarrassed and humiliated because she had been arrested for driving while intoxicated, and she knew the criminal charges would be dropped if she agreed to the release.
In his deposition, Faith discussed his representation of Woods. Faith testified he had represented Woods before the Iowa Department of Transportation, and the administrative decision had been to suspend Woods’ driving privileges because of her refusal to submit to alcohol content tests on March 18, 1987. Faith further testified he represented Woods in the negotiations with Reel which resulted in the dropping of the criminal charges.
Faith testified he told Woods he believed the release proposed by Reel was of questionable validity because he believed it was void as against public policy. He also testi
Mr. Raymond Reel has contacted me оn this date inquiring whether or not you are willing to accept this offer. If no acceptance is made by July 27, 1987, he intends to acquire the attendance of Mr. Rhodes, who is presently residing in Alabama. Mr Reel indicates that he will purchase an airline ticket for his flight to testify at these proceedings.
In a letter of August 17, 1987, Faith again wrote to Woods, enclosing a copy of the release, and explained to her all of the criminal charges against her would be dropped in exchange for her signing the release. On September 15,1987, in the presence of Faith, Woods signed the release. All criminal charges against Woods were dropped shortly thereafter.
III. DISCUSSION
We review decisions on summary judgment under the same standards as the district court. Kegel v. Runnels,
The Supreme Court held in Town of Newton v. Rumery,
A. Voluntariness
Courts have considered several factors in determining voluntariness. These factors include: the sophistication of the signer, Rumery,
Additional factors in determining volun-tariness are: whether the signer was represented by counsel, Rumery,
Even assuming it is a fact question, reasonable minds could not dispute that the release in this case was executed voluntarily. Woods offered no evidence of any unwillingness at the time she signed the document. As her deposition reveals, Woods was well aware of the benefits of signing the release and she knew the consequences if she did not agree to sign. Woods was represented by counsel who acknowledged the legal effects of the release and was clearly capable of assessing the advantagеs and disadvantages of the release. Although the release was not drafted by her own attorney, Woods had weeks to consider the document and throughout that time she was in consultation with her counsel. She was not in custody at the time the release was executed and in fact was in the presence of her attorney when she signed it suggesting there was no coercion. Furthermore, the release was completely clear and unambiguous on its face.
The trial court placed much weight on the telephone call Woods allegedly received from the prosecutor’s office. However, according to Woods’ own admission in her deposition, this telephone call, even assuming it occurred, did not communicate to Woods anything she did not already know. Woods testified in her deposition that her first attorney, Mahr, had explained to her she could possibly serve jail time for the criminal charges pending against her. Woods engaged her second attorney, Faith, in April of 1987, and he also informed her of the possibility of going to jail and the possibility of Rhodes testifying against her. The county attorney was perfectly entitled fully to prosecute Woods on the legitimate criminal charges, and Woods knew she could expect prosecution and possible conviction if she chose not to sign the release. We are unable to agree with the trial court’s conclusion that this alleged conversation affected her volun-tariness. In considering all the relevant factors in total, we hold reasonable minds could not dispute her signing was voluntary.
B. Prosecutorial Overreaching
In interpreting the requirement that there be no prosecutorial overreaching, courts have asked whether there are legitimate prosecutorial reasons for the release. Examples of acceptable prosecutorial concerns include: the cost and burden of litigating lawsuits, Rumery,
Again, there can be no controversy about prosecutorial overreaching under these criteria. There were legitimate, independent prosecutorial reasons for the release. The cost of prosecuting Woods was greatly increased because the principal prosecution witness had moved from the area. Accordingly, in the interests of costs and docket control, the City decided it would be a more efficient resolution of the dispute to strike this bargain with Woods. Furthermore, the criminal charges against Woods were filеd by the police, not the prosecutor’s office, within hours of her apprehension. There was no evidence of retaliation when Woods was charged; the police were acting properly as law enforcement officials and not in response to either a real or threatened
The district court questioned the validity of the release because it believed that the City’s only motivation was to shield the defendants from civil liability and this suggested possible prosecutorial overreaching. We disagree with the district court’s interpretation that the prosecutor had such a single-minded purpose. In his deposition, county attorney Reel stated that his motivation was to get rid of the case because it would be difficult to prosecute without Rhodes as a witness. This is a legitimate prosecutorial concern. In fact, it was also concern over a witness that motivated the prosecutor in Rumery to execute a release-dismissal agreement.
C. Public Interest
In determining whether a release adversely affects the public interest, the Rumery Court held that courts must examine the policies both in favor and against such releases. The Rumery Court recognized that such release-dismissal agreements may “tempt prosecutors to bring frivolous charges, or to dismiss meritorious charges, to protect the intеrests of other officials,” and the Court acknowledged that such motivations were unethical. Rumery,
In examining the public interests in this case, we note that the criminal prosecution against Woods would have been expensive to conduct and difficult for the prosecution to win. Reel stated in his deposition, “I mean, even with Jay Rhodes — I have no breath test. All I have — I don’t have a videotape of the woman. I have the officer’s statements about her behavior, her breath, her driving patterns ... it would have been, you know, a tough case to win.” The prosecutor appropriately considered the limitations of his resources and the likelihood of a successful prosecution.
Reel’s concern about civil liability after the charges were dropped was also understanda
This court has not addressed the release-dismissal agreement issue in the context of criminal charges and civil rights suits. However, we have decided many cases involving releases in other situations such as ADEA and ERISA settlements. See Warnebold v. Union Pac. R.R.,
This circuit has held that “parties to a voluntary settlement agreement cannot avoid the agreement simply beсause the agreement ultimately proves to be disadvantageous.” Worthy v. McKesson Corp.,
IV. CONCLUSION
We hold the release-dismissal agreement executed on September 15, 1987, was valid and enforceable. The City was entitled to summary judgment, the decision of the district court denying summary judgment is reversed, and the case is remanded to the district court with instruction to dismiss the case.
Notes
. The Woodbury County Attorney’s office serves as the criminal prosecutor for the Sioux City municipality.
. At the time of his deposition, Reel indicated that he believed Rhodes had moved to Arkansas. At trial Rhodes testified that he had, in fact, moved to Alabama because his wife’s employer had transferred her there.
. The parallels between this case and Rumeiy are admittedly not perfect. In Rumeiy, the prosecutor dropped the criminal charges of witness tampering against the defendant because a prosecution of such charges would have involved testimony by a sexual assault victim. The testimony, while critical to the witness tampering charge, would have been traumatic for the witness. In light of the potentially traumatic effect on the witness, the charges were dropped. In this case, the witness, Rhodes, would not be testifying as to such a sensitive topic. However, the prosecutor still had legitimate concerns about Rhodes’ availability due to his move and the cost of securing his presence. The cases are analogous to show that concerns about critical witnesses are independently valid reasons for obtaining release-dismissal agreements.
Dissenting Opinion
dissenting.
We should not substitute our judgment in this case for that of the trial court and the jury. Diane Woods clearly presented sufficient facts both before and during trial to make a submissible case to the jury. A properly instructed jury
I agree that Town of Newton v. Rumery,
The knowledge and experience of the criminal defendant and the circumstances of the execution of the release, including, importantly, whether the defendant was counseled, are clearly relevant. The nature of the criminal charges that are pending is also important, for the greater the charge, the greater the coercive effect. The existence of a legitimate criminal justice objective for obtaining the release will support its validity. And, importantly, the possibility of abuse is clearly mitigated if the release-dismissal agreement is executed under judicial supervision.
Id. at 401-02,
If we view the material submitted for summary judgment in the light most favorable to Woods and give her, as we must, the benefit of all inferences drawn therefrom, the district court was clearly correct in denying summary judgment. Woods stated her reasons for signing the release in a pretrial deposition:
A. I was threatened. If I didn’t sign it I would be going to jail. I was threatened with the fact that they would bring Jay Rhodes back and I was terrified of him. I was informed that it would cost a lot of money to pursue a lawsuit. And I had no money without putting my family’s security in jeopardy.
Q. Who made the threat that you might spend time in jail?
A. The first time it was Dennis Mahr that said I could go to jail for six months. I received a telephone call at home from a man that identified himself from the county attorney’s office that said he would personally bring Jay Rhodes back and he would personally see that I was — it would go the full extent of the law and that he would see that I went to jail if I did not sign the release.
Woods Dep., April 4, 1989, at 10-11. Raymond Lester Reel stated in his pretrial deposition that “the possibility is yes, I did [contact Woods'], but I don’t recall doing it.” Reel Dep., March 24, 1989, at 25. Reel even edneeded that it would have been improper for him to have contacted Woods directly during the pendency of this case if she had an attorney. Reel Dep. at 25. Moreover, not only was the release-dismissal drafted by Reel, unlike in Rumery, it also appears to have been initiated by Reel as well. Reel Dep. at 12-15; Jack Faith Dep., March 2, 1989, at 8-9.
Reel acknowledged in his deposition that one of his objectives in obtaining the release from Woods was the protection of the Sioux City police officers from any civil liability associated with her arrest. Reel Dep. at 6, 13-16. Strangely, Reel’s concern only appears to have become manifest after he
Q. Okay. When you — when you first looked at those pictures, did they have any impact on you in terms of your thoughts towards disposition of the case?
A. Yes, yes. I think in looking at those pictures, I — Well, I grew apprehensive of the fact that this woman might come back into court and file an action against the city and the police officers for some type of mistreatment.
Q. Okay. And you thought to yourself ... “Oh, oh. I better get a release.”
A. Well, I could havе — That’s basically what I could have been thinking, because at that time, we knew Jay Rhodes was not in town.
Reel Dep. at 13-14.
It may well have been that Reel was also concerned about the fact that a key witness would have to be flown in from Alabama to testify in the matter. This issue, however, was submitted to the jury, and the jury refused to excuse Reel’s conduct on this basis. Certainly this expense paled in comparison to the severe injuries that Woods allegedly received at the hands of the officers.
The majority points out that Woods was represented at the time she signed the release. In contrast to Rumery, however, the county prosecutor prepared the release, and also unlike Rumery, Woods was an unsophisticated criminal defendant.
Rumery makes it clear that the nature of the pending criminal charge is also important because “the greater the charge, the greater the coercive effect.” Rumery,
Finally, Reel made no attempt to mitigate the possibility of abuse by having the release-dismissal agreement executed under judicial supervision. In view of the gravity of the charges against Woods and in light of the serious injuries she allegedly suffered at the hands of the officers, judicial supervision should have been a necessary step.
While there is an important public interest in release-dismissal agreements that protect public officials from the substantial burdens of defending marginal and frivolous section 1983 lawsuits, Rumery,
The district court’s denial of the defendants’ motion for summary judgment was clearly sustained by the record. Therefore, I respectfully dissent.
. Jury instruction number 29 reads as follows:
You have heard evidence in this case that Diane Wоods signed a release (Exhibit 7) whereby the criminal charges against her would be dropped if she promised not to file a civil suit against the City of Sioux City or the defendant police officers.
A release agreement of this nature is enforceable against the plaintiff if you find that plaintiff made a voluntary choice to sign the agreement. In determining the voluntariness of this release agreement you should consider the knowledge and experience of the criminal defendant in that case, Diane Woods, and the circumstances of the execution of the release, including, whether the defendant was counseled, the nature of the criminal charges that are pending against the defendant, the еxistence of a legitimate criminal justice objective for obtaining the release, and whether the release agreement was judicially su-
The defendants contend that the real reason for agreeing to the dismissal of the charges was to save the airplane expenses of bringing Officer Rhodes back from Alabama. The plaintiff contends that the defendants' real reason was to unfairly put her in a situation where she had to sign the waiver. , The burden of proving the agreement's validity and enforceability rests on the defendants here.
If you find thаt plaintiff's decision to sign the agreement was not voluntary, then plaintiff will be entitled to damages if you have also found in her favor on one or more of- the claims outlined above in these instructions. If you find that plaintiff’s decision to sign the agreement was voluntary, then you must find in favor of the defendants on all counts.
. Unlike the present case, the only evidence of prosecutorial misconduct in Rumery was the release-agreement itself. Rumery,
. The plurality in Rumery notes, which the majority in the present case acknowledges, that release-dismissal agreements that tempt prosecutors to dismiss meritorious charges in order to protect the interests of other officials "properly have been recognized as unethical.” Rumery,
. Woods also has a prior criminal record: in 1981 she was arrested for "another [OWI]” by the Sioux City Police Department, but was later found innocent, and in 1987 she was arrested for shoplifting for which she paid a fine. Woods Dep. at 27.
. See Rumery,
