Plaintiff Joseph Doornbos was leaving a Chicago train station when a plainclothes police officer confronted him, grabbed him, and with the help of two other plainclothes officers, forced him to the ground. Doom-bos was acquitted in a criminal trial for resisting arrest. He then filed this suit against the three officers and the City of Chicago for excessive use of force and malicious prosecution. Doornbos contends that Officer Williamson failed to identify himself as an officer and then used excessive force to tackle and subdue him. Officer Williamson claims that he properly identified himself as a police officer and that Doornbos fled when Williamson attempted to stop and frisk him. The case went to trial, and the jury returned a verdict in favor of the officer-defendants. On appeal, Doornbos argues that the district court erred in two ways: by admitting evidence that he had marijuana in his pocket at the time of the incident, and by improperly instructing the jury about investigatory Terry stops.
We find that the district court did not abuse its discretion by admitting the marijuana evidence. Although the marijuana was unknown to the officers at the time they used force against Doornbos, it was evidence that arguably tended to corroborate their account of Doornbos’s behavior.
The jury instructions on Terry stops, however, were inadequate. Over Doorn-bos’s objection, the court instructed the jury only on investigatory stops but not frisks. Yet Officer Williamson’s own testimony indicates that he was starting a frisk when he first approached Doornbos. His own testimony also makes clear that he did not have reasonable suspicion that Doorn-bos was armed and dangerous. Doornbos was entitled to have the jury know that the attempted frisk, which even the defense says produced the use of force, was unjustified. The court erred further during deliberations. The jury asked the judge whether plainclothes officers are required to identify themselves when they conduct a stop. The judge said no. We conclude that the answer is yes. In all but the most unusual circumstances, where identification- would itself make the situation more dangerous, plainclothes officers must identify themselves when they initiate a stop. Because these errors were not harmless, we vacate the judgment for defendants and remand for a new trial.
I. Factual and Procedural Background
A. Confrontation at the Wilson Avenue Station
On February 15, 2013, Doornbos took a local Chicago train to visit a friend’s home.
. According to Officer Williamson’s trial testimony, he saw Doornbos holding a large can of beer that was partially covered by a brown bag. He did not see Doornbos drink the beer, nor could he tell if the can of beer was even open. Nonetheless, he decided to investigate further. (A Chicago Transit Authority ordinance prohibits possessing an open container of alcohol while using the transportation system. See Chicago Transit Auth. Ordinance No. 016-110, Sec. 1(4) (2016), available at http:// www.transitchicago.com/assets/1/ ordinances/016-_110.pdf.) Williamson testified that as Doornbos left through the, turnstiles, he approached Doornbos, said “Chicago police,officer,” and lifted his shirt to display his belt, on which were clipped a badge, gun, and handcuff case.
As Officer Williamson drew near to Doornbos, he reached out with one .hand to grab Doornbos’s arm. Williamson testified that he reached out to frisk Doornbos for weapons. When asked in the trial why he thought Doornbos might be armed, Williamson said that it was a high-crime area, it was dark, Doornbos may have been breaking the law by drinking beer, and Doornbos was wearing a jacket with “deep pockets” in which he “could have hidden anything.” • ■ • .
Officer Williamson testified that as he reached out to grab Doornbos, Doornbos pushed him away, dropped the beer, and tried to run. He grabbed Doornbos’s jacket, and Doornbos dragged him approximately twenty feet. Williamson testified that Doornbos was screaming loudly for. help and yelling that he was being robbed, but that Williamson was saying “stop, police.” After Doornbos started to stumble, Williamson .testified that they “basically fell to the ground together,” or- as he described it later, he “forcibly guide[d] him to the ground,” Doornbos was still screaming for help, and two other officers came to help Officer Williamson, not Doornbos. The officers found in Doornbos’s pocket a small amount of marijuana worth around five dollars. After Doornbos was restrained, Officer Williamson said he went back and inspected the beer can. He testified that it was unopened, and he did hot collect it as evidence.
Doornbos provided a very different account. He testified that he was not carrying a beer can at all. After he walked through the turnstile, he said, a man suddenly grabbed him: “I thought I was being robbed. So I started screaming for help, hoping someone would call the police.” In fact, four people who saw or heard the incident called 911 and reported that a man was being attacked or robbed outside the station.
Doornbos’s testimony regarding whether and when Officer Williamson said “stop” or “police” was not entirely consistent. During trial Doornbos emphasized that he “wasn’t sure of the timing. It happened really fast.” Doornbos initially testified at trial that he did not hear Williamson identify himself as an officer before being tackled. He later said that he heard “police” before being thrown to the ground, and then said that he did not hear “police.” Doornbos also testified at trial that he might have heard “stop” after testifying that he actually did hear “stop.” Doornbos testified that he was “not 100 percent sure” because the confrontation “happened very quickly.”
Doornbos testified that he twisted his arm to get away from a man he thought
B. Criminal Prosecution and Trial
Doornbos was charged with resisting arrest and possession of 'cannabis. The cannabis charge was dismissed, and in June 2013 Doornbos went to trial on the charge for resisting arrest. Doornbos, Officer Williamson, and another officer at the scene testified at the trial. The court acquitted Doornbos, emphasizing that the officers provided inconsistent and “very unusual” accounts of the alleged beer can, which was never taken into evidence. The court also noted that the officers never told Doornbos he was under arrest or even asked to see the beer can:
The defendant is charged with resisting arrest. There’s no testimony to indicate the defendant was ever told he was under arrest by any police officer. If the beer can was closed and sealed as the officers suggest, there would be absolutely no reason to arrest the defendant at all. And there is no testimony of the officer approaching the defendant saying let’s see the beer can, or is that beer can open or closed. So there’s not even a question posed to the defendant regarding the status of the beer if that’s the reason why the defendant is being stopped and detained at all.
Finally, the court emphasized that the officers were in plain clothes rather than in uniform, and Doornbos did not appear to know they were police officers: “it absolutely makes sense that anybody at the [train station] at that particular location grabbed by somebody could well think that he is being manhandled or potentially robbed which is consistent with what the defendant is alleged to have said, I’m being robbed.” The court noted that if there were “any doubt” about whether Doornbos knew the men were police officers, it was dispelled by Doornbos’s shouts for help and the officer’s response: “the officer puts the badge in [Doornbos’s] face because it was abundantly clear to the officer that he wasn’t aware that they were police officers.”
C. Civil Lawsuit and Jury Trial
After Doornbos was acquitted on the criminal charge, he filed this civil suit under 42 U.S.C. § 1983 against the City of Chicago and the three officers: Michael Williamson, Alan Yakes, and Robert Cap-iak. The complaint alleged excessive use of force and failure to intervene in violation of the Fourth Amendment and malicious prosecution under Illinois common law. The case was tried to a jury.
During the pretrial proceedings, Doorn-bos filed a motion in limine to bar evidence that he possessed marijuana at the time of the arrest. He argued that it was not relevant under Federal Rule of Evidence 402 and that it was unfairly prejudicial under Rule 403. The district court denied his motion. It concluded that Doornbos’s possession of marijuana was relevant because it was evidence that could corroborate either side’s version of events. Evidence of the marijuana in Doornbos’s pocket could help explain why he might have reacted in the way the officers alleged, i.e,, attempting to flee and resisting arrest. The- court concluded that whatever prejudice might result was minimal because it was such a small quantity
The parties also disputed the jury instructions. Defendants proposed the following instruction on investigatory stops: “A police officer is allowed to conduct a brief investigatory stop of a citizen, not rising to the level of an arrest, if the officer performing the stop has a reasonable suspicion that criminal activity is afoot.” Doornbos objected, arguing that he had not alleged false arrest and that the instruction would cause confusion. The court gave the defendants’ requested instruction. Doornbos in turn asked for an instruction on frisks to explain that an officer must have reasonable suspicion that a civilian is armed and dangerous to justify a frisk. Doornbos argued this was relevant because it addressed the overall reasonableness of the use of force, and it was necessary to supplement the instruction on investigatory stops. The court denied Doornbos’s request: “taking your view of the facts that [the officers] did not have a basis to do a paridown ... [t]hat says nothing about whether the force they used ... was excessive or not.” The court concluded: “I don’t know why we need any debate about the lawfulness of the pat-down or not. It’s just not relevant to the question of whether the force ultimately was excessive.... ”
During deliberations, the jury sent a note to the judge asking whether plainclothes police officers must identify themselves as officers when conducting investigatory stops. The judge sent the following response:
1. “Whether or not an officer must effectively identify themselves before conducting ‘a brief investigatory stop of a citizen, not rising to the level of an arrest, if the officer performing the stop ■has a reasonable suspicion that criminal activity is afoot.’ ”
RESPONSE: An officer is not required to identify himself in order to conduct a “brief investigatory stop of a citizen, not rising to the level of an arrest, if the officer performing the stop has a reasonable suspicion 'that criminal activity is afoot.”
2. “We would like to know how effectively an officer must identify himself.”
RESPONSE: The effectiveness of an officer’s identification of himself as a police officer is relevant to the issue of whether the plaintiff knew that the officer was, in fact, a police officer.
(Quotation marks and emphasis in original.)
Shortly after receiving the judge’s answer, the jury returned a verdict in favor of defendants on all claims. Doornbos has appealed.
II. Admission of the ‘Marijuana Evidence
Doornbos argues that the district court erred by admitting evidence of his possession of marijuana. He relies primarily on our decision in Sherrod v. Berry,
Under Federal Rule of Evidence 401, evidence is relevant if: “(a) it has any tendency to make a fact more or less probable than it would be without the evidence; and (b) the fact is of consequence in determining the action.” Relevant evidence may nonetheless be excluded when “its probative value is substantially outweighed by a danger of ... unfair prejudice.” Fed. R. Evid. 403.
The district court did not abuse its discretion by admitting evidence that Doornbos possessed marijuana. In deciding excessive force claims, the issue is whether an officer’s use of force was objectively reasonable given the information he or she knew at the time. See Sherrod,
Our case law sets forth a settled and exclusive framework for analyzing whether the force used in making a seizure complies with the Fourth Amendment.... The operative question in excessive force cases is whether the totality of the circumstances justifies a particular sort of search or seizure. ... Excessive force claims ... are evaluated for objective reasonableness based upon the information the officers had when the conduct occurred.
County of Los Angeles v. Mendez, 581 U.S. -, -,
Although this framework governs excessive force claims, we have recognized that information unknown to the officer at the time of the conduct may be admitted for another purpose: if it tends to make one side’s story more or less believable. For instance, in Common v. City of Chicago,
A number of our cases allowing admission of facts unknown to officers have allowed them where they tended to support officers’ versions of events. See, e.g., Wilson v. City of Chicago,
We must note, however, that the logic and application of this rule applies with equal force, to officers and civilians alike. If there is a factual dispute in a .case alleging excessive force, information unknown to the officer at the time of the incident could be admitted if it tended to make the plaintiffs version of events more believable than the officer’s account. For instance, suppose an officer mistakenly thought he saw a civilian with illegal drugs, and there is a factual dispute over whether the civilian fled when the officer approached. This logic implies the civilian-plaintiff should be able to show he did not have any drugs (and thus had no motive to flee the police). That information may have been unknown to the police, but it would support the plaintiffs testimony that he did not flee when the officer approached him.
In light of these precedents, evidence of Doornbos’s marijuana was relevant because it could, at least arguably, support the officers’ version of events by giving Doornbos a motive to try to flee and then to resist a stop, frisk, and/or arrest. This relevance was not overborne in this case by the potential for unfair prejudice. It was a very small amount of marijuana (a user quantity worth approximately five dollars), and our past cases have permitted more prejudicial evidence in similar contexts. See, e.g., Wilson,
III. Jury Instructions on Stops and Frisks
Doornbos argues that the district court erred in two ways in its jury-instructions on investigatory stops. He contends • the court should have included an instruction on the legal standard for frisks, i.e., that an officer must have a reasonable suspicion that a person is armed and dangerous before initiating a frisk.'Doornbos also argues that the court erred by telling the jury that a plainclothes officer need not identify himself as an officer when conducting a Terry stop (and implicitly when conducting a frisk).
“We consider a district court’s jury instructions with deference, analyzing them as a whole to determine if they accurately state the law and do not confuse the jury.” Cruz v. Safford,
A. Refusal to Include Instruction on Frisks
The Fourth Amendment protects individuals from “unreasonable searches
The Court determined that a stop and a frisk are reasonable when two separate conditions are satisfied: “First, the investigatory stop must be lawful. That requirement is met ... when the police officer reasonably suspects that the person apprehended is committing or has committed a criminal offense. Second, to proceed from a stop to a frisk, the police officer must reasonably suspect that the person stopped is armed and dangerous.” Id. at 326-27,
As with “seizures,” an officer can initiate a frisk before physically touching a person. See, e,g., Michigan v. Chesternut,
We conclude that the district court erred when it instructed the jury on the extent of a police officer’s power to carry out investigatory stops but refused to include an instruction on frisks. Based on Officer Williamson’s own version of events, he grabbed Doornbos to frisk him. Williamson testified that he announced himself as a police officer, and displayed his badge, handcuffs, and gun. He testified that he next went “to reach him, to reach' with ... my left hand to his right side” to conduct a frisk “to make sure [Doornbos] did not have a weapon.” Doornbos “pushed [Williamson’s] hand away” and attempted to flee. Based on the totality of the circumstances, at least as told by Officer Williamson, a reasonable person could have believed he was being searched when Officer Williamson stretched his arm out. So too
The court’s refusal to include the frisk instruction was a problem here because Officer Williamson’s testimony suggests that the frisk was unjustified and thus unconstitutional. To “proceed from a stop to a frisk,” Officer Williamson was required to have reasonable suspicion that Doornbos was “armed and dangerous.” Johnson,
These were not sufficient “articu-lable facts that would establish the separate and specific condition that the detainee has a weapon or poses some danger.” United States v. Williams,
could be applied to practically any person that had been around the area when the officers showed up that night. Indeed, similar facts could support a search of practically anyone' who happens to be near a high-crime area at night when police are called. That is the very evil that the Terry court was concerned with unleashing, and the reason that the Terry court restrained the ability to frisk.
Williams,
Nor does suspicion that Doornbos might have been drinking a beer on Chicago Transit Authority property transform these general factors into reasonable suspicion that he was “armed and dangerous.” Officer Williamson testified that he did not even see Doornbos drink the beer. Nor did he testify that Doornbos appeared intoxicated or otherwise acted erratically in a way that might indicate dangerousness. There was no indication that Doornbos might be armed. Our precedent requires stronger facts to justify a frisk even in an otherwise justified Terry stop. See, e.g., Williams,
In sum, Officer Williamson’s own testimony suggests that he initiated an unlawful frisk while policing in plain clothes, and that conduct proximately caused the violent confrontation. This information was relevant for the jury in assessing whether Williamson’s use of force was reasonable under the “totality of the circumstances.” Mendez, 581 U.S. at -,
To be clear, we do not suggest that an unlawful frisk somehow trumps the excessive force analysis outlined in Mendez and Graham v. Connor,
B. Officers’ Duty to Identify Themselves as Police
The absence of an instruction on frisks was aggravated by the district court’s response to the jury’s note during deliberations. The jury asked if a police officer must identify himself as an officer during a stop. The court responded with a categorical “no,” saying that an “officer is not required to identify himself’ to conduct a stop. This answer sweeps too far. The “ultimate touchstone of the Fourth Amendment is ‘reasonableness.’ ” Brigham City v. Stuart,
We addressed this issue in Catlin v. City of Wheaton,
In Catlin, we noted the dangers of this tactic by plainclothes .officers, which creates a serious risk that a civilian would “think that he was being attacked by common criminals and ... this would make him more likely to resist.” Id. at 368 (emphasis added). We concluded, however, that because of the unusually dangerous character of the suspect, the officers reasonably thought that identifying themselves before tackling the motorcyclist would have made the arrest more dangerous. The suspect was armed, had a history of violence, and had professed his intent to resist arrest. See id. at 365-66, 368. Given these factors, the officers “could have reasonably concluded that they needed to use the element of surprise to their advantage." Id. at 368. We also found that the mistaken' identity was reasonable under the circumstances.
We considered it more “problematic,” however, that the officers still did not identify themselves after tackling Catlin, and we noted that police officers “who unreasonably create a physically threatening situation in the midst of a Fourth Amendment seizure cannot be immunized for the use of deadly force.” Id. at 368 n.7, quoting Estate of Starks v. Enyart,
Catlin shows that certain dangerous circumstances may permit plainclothes officers to initiate stops without identifying themselves, but that is and must remain a rare exception, not the rule. Failure to identify during a stop can be a tactic. As with all police tactics, its reasonableness depends on the circumstances. See, e.g., United States v. Bullock,
Absent reasonable grounds to think that identification would present an unusual danger, it is generally not a reasonable tactic for plainclothes officers to fail to identify themselves when conducting a stop. The tactic provokes panic and hostility from confused civilians who have no way of knowing that the stranger who seeks to detain them is an officer. This creates
This result is further supported- by analogy to tort law. Unless. the officer was lawfully exercising his authority as a police-officer, he was committing the torts of assault and then battery. Officer Williamson initiated the search by reaching out with his hand and putting Doornbos in “imminent apprehension” of an “offensive contact.” Restatement (Second) of Torts § 21 (Am. Law Inst. 1965); see also William Baude & James Y. Stern, The Positive Law Model of the Fourth Amendment, 129 Harv. L. Rev. 1821 (2016) (analyzing reasonableness of Fourth Amendment searches and seizures through private law concepts, such as tort law). If the officer does not identify himself as an officer, what can a civilian think when the person grabbing him is in civilian clothes?
Other courts have resolved this issue similarly. In Atkinson v. City of Mountain View,
Whether officers reasonably identify themselves in initiating stops is particularly important for the Chicago Police Department because of its widespread use of plainclothes policing. A recent investigation by the United States Department of Justice found that Chicago Police engage in aggressive plainclothes policing practices that result in needless injuries. See U.S. Dep’t of Justice, Civil Rights Div. & U.S. Attorney’s Office N.D. Ill., Investigation of the Chicago Police Department (Jan. 13, 2017), available at https://www. justice.gov/opa/file/925846/download.
One of the tactics in question is called a “jump out,” which “involves groups of officers, frequently in plain clothes and riding in unmarked vehicles driving rapidly toward a street corner or group of individuals and then jumping out and rapidly advancing, often with guns drawn.” Id. at 31. The officers then “zero-in on the fleeing person,” and give chase. Id. The Report explains:
Such techniques can be particularly problematic when deployed by CPD tactical or other specialized units using unmarked vehicles and plainclothes officers. It can be difficult, especially at night, to discern that individuals springing out of an unmarked car are police officers. In high-crime areas, residents may be particularly unwilling to stick around to find out. For example, in one case, a tactical officer in plain clothes jumped out of an unmarked car, chased a man who ran from him, and ultimately shot the man from behind. Officers claimed the man pointed a gun, but no weapon was recovered. The shooting victim explained to investigators that he ran because a sedan he did not recognize had raced through a stop sign and headed toward him. Similarly, in another case, two plainclothes officers dressed in black and in unmarked vehicles approached a man and his female passenger as they were getting into their car. According to the woman, the couple didnot know they were officers and fled, and an officer shot at the side and rear of the vehicle, killing the man.
Id. at 31; see also id. at 35 (plainclothes officer detained twelve-year-old boy without identifying himself as police officer; “boy reported he did not understand the man was a police officer or why he was being detained and told the officer he was only 12”).
The Department of Justice Report also documents how these tactics foster resentment in the community and erode trust in law enforcement. See id. at 142. The Supreme Court warned of that danger in Terry itself. Far from a “petty indignity,” Chief Justice Warren wrote for the Court, a stop and frisk is “a serious intrusion upon the sanctity of the person, which may inflict great indignity and arouse strong resentment, and it is not to be undertaken lightly.”
C. Prejudice
Though we find errors in instructing. the jury, we should not order a new trial unless the errors prejudiced Doorn-bos. Aliotta,
First, both sides’ accounts suggest that Officer Williamson’s initial contact with Doornbos was unreasonable and unlawful. Doornbos’s account describes clearly unlawful conduct. And as explained above, even Officer Williamson’s account — he reached out to initiate a frisk — was likely unlawful because the evidence does not support a reasonable suspicion that Doorn-bos was armed and dangerous. If the jury had known that, based on either account, the disputed use of force followed directly from Officer. Williamson’s unlawful conduct, there is a reasonable possibility that the jury would have viewed the reasonableness of the force differently.
; Second, while it is true that Doornbos had credibility problems, so did Officer Williamson. As noted by the state court in the criminal case, the officers’ versions of events were not entirely consistent, and the allegations surrounding the .beer can were “very unusual.” The can was never taken into evidence, and neither , the records from the four 911 calls (from bystanders who thought Doornbos was being robbed) nor the trial testimony of two of those callers say anything about a beer can that Officer Williamson said “ruptured” and “was spraying all over the place.”
In addition, Officer Williamson initially testified at trial that he intended only to stop Doornbos when he approached him. to investigate the beer can. After Dooriibos’s counsel impeached Williamson with his earlier deposition testimony, however, Williamson acknowledged that he had already decided to conduct a frisk when he approached Doornbos. Additionally, his testimony at trial was- not, fully consistent with
Third, the jury’s note signals that, contrary to the defense argument, the impeachment of Doornbos did not decide the credibility contest. If the jurors all thought Doornbos had been thoroughly discredited, there would have been no need for the note. By sending the note, the jury showed that it was carefully considering both accounts, and in particular, how the confrontation began.
The district court erred in its jury instructions and its response to the jury’s note, ánd these errors prejudiced Doorn-bos. Accordingly, we VACATE the judgment in favor of defendants and REMAND for a new trial. •
Notes
. Imagine a more exaggerated Fourth Amendment example, where the factual dispute is whether an officer stopped a person on the sidewalk or instead followed him into his home without a warrant and conducted the stop there. Under these circumstances, it would be misleading to instruct the jury only on investigatory stops but to refuse to include an instruction on warrantless entries into the home. That is analogous to what occurred here. The jury was instructed on stops, but not on the legal standard that would have enabled it to recognize whether the frisk was lawful.
. Here we address stops. Of course, consensual encounters with law enforcement do not implicate the Fourth Amendment's restrictions on stops. See, e.g., United States v. Serna-Barreto,
. See, e.g., Yates v. City of Cleveland,
. Chicago is not alone in this regard. See, e.g., U.S. Dep't of Justice, Civil Rights Div., Investigation of the Baltimore City Police Department, at 45 (Aug. 10, 2016), available at https://www.justice.gov/crVfile/883296/ download ("During the course of our investigation, we received a large number of anecdotes specifically identifying plainclothes officers enforcing violent crime and vice offenses ... as particularly aggressive and unrestrained in their practice of stopping individuals without cause and performing public, humiliating searches. A disproportionate share of complaints likewise accuse plainclothes officers of misconduct.”); U.S. Dep’t of Justice, Civil Rights Div., Findings Letter on Albuquerque Police Department, at 14 (April 10, 2014), available at https://www.justice.gov/ sites/defaulVfiles/crt/legacy/2014/04/10/apd_ findings_4-10-14.pdf (plainclothes officer failed to identify himself, then officer shot and killed unarmed man who "did not pose a threat of death or serious physical injury to the officer or anyone else”); U.S. Dep’t of Justice, Civil Rights Div. & U.S. Attorney’s Office D. N.J., Investigation of the Newark Police Department, at 14, 25 (July 22, 2014), available at https://www.justice.gov/sites/ defaulVfiles/crt/legacy/2014/07/22/newark_ findings_7-22-14.pdf (civilian complaint that plainclothes officer stopped two individuals, one of whom did not know that the plainclothes officer was police; struggle ensued); id. at 24 (plainclothes officer "startled [a] man with his sudden presence behind him” and man swung at plainclothes officer; officer then struck man multiple times in the face with closed fist leaving man with concussion, loss of consciousness, and bruises); U.S. Dep’t of Justice, Civil Rights Div. & U.S. Attorney's Office N.D. Oh., Investigation of the Cleve
