JOHN FARRELLY v. CITY OF CONCORD & a.
No. 2014-0480
Supreme Court of New Hampshire
December 23, 2015
Argued: June 4, 2015
We also decline to address the Estate‘s argument that an additional basis “upon which the Divorce Decree could be entered nunc pro tunc” is that the MOU is “the equivalent of a postnuptial agreement.” As with the Estate‘s argument that the MOU survives abatement, its postnuptial agreement argument has not been preserved for our review. See Bean, 151 N.H. at 250; see also J & M Lumber & Constr. Co. v. Smyjunas, 161 N.H. 714, 718 (2011).
Affirmed.
DALIANIS, C.J., and HICKS, LYNN, and BASSETT, JJ., concurred.
Gallagher, Callahan & Gartrell, P.C., of Concord (Samantha D. Elliott on the brief and orally), for the defendants.
American Civil Liberties Union of New Hampshire, of Concord (Gilles R. Bissonnette on the brief), and Nixon, Vogelman, Barry, Slawsky & Simoneau, P.A., of Manchester (Lawrence A. Vogelman on the brief), for American Civil Liberties Union of New Hampshire and Gay & Lesbian Advocates & Defenders, as amicus curiae.
LYNN, J. The plaintiff, John Farrelly, appeals an order of the Superior Court (Smukler, J.) granting summary judgment in favor of the defendants, Concord police officers Walter Carroll and Eric Pichler and the City of Concord (city), on the basis that the defendants are entitled to official and vicarious immunity. This case presents the question of whether our decision in Everitt v. Gen. Elec. Co., 156 N.H. 202 (2007) applies to intentional torts. We conclude that it does and that the language set forth in Huckins v. McSweeney, 166 N.H. 176 (2014) must be interpreted consistently with the standard articulated in Everitt. Although we find this to be a close case, we ultimately conclude that the trial court did not err by granting summary judgment to the defendants, and accordingly, we affirm.
I
The record before the trial court for summary judgment purposes supports the following facts. After living with the plaintiff for approximately three years, the plaintiff‘s girlfriend and her daughter moved out in November 2008. On February 16, 2009, the plaintiff sent his ex-girlfriend an e-mail titled “WHY ARE YOU SO MEAN TO [DAUGHTER]?” The ex-girlfriend responded the next day and told the plaintiff to stop contacting her or she would go to the police. The plaintiff sent three e-mails on February 18. The first, sent at 6:06 p.m., said “HAPPY 30TH BIRTHDAY A DAY EARLY. I hope you like your new piercings, just wait until [daughter] sees them. What were you thinking of??? You are a Mother for God‘s sakes.” The second e-mail, which the plaintiff sent at 7:29 p.m., said, “SO I HEAR EVERYONE AT THE HOSPITAL SAW YOUR NEW NIPPLES PIERCINGS. WHY HAVE YOU TURNED INTO SUCH A TRAMP? [] WHAT IS [DAUGHTER] GOING TO THINK OF THEM?” The third e-mail, sent at 8:36 p.m., again referenced the piercings and also referred to the fact that the plaintiff was contemplating filing a civil suit against the ex-girlfriend. The e-mail ended with, “HAVE A[N] AWFUL LIFE AND HOPEFULLY [DAUGHTER] DOESN‘T GROW UP TO BE
After receiving the last e-mail, the ex-girlfriend went to the Concord police station. She first spoke with Lieutenant Carroll, who assigned the case to Officer Pichler. Pichler interviewed the ex-girlfriend, who gave him the e-mails and told him that “she had been receiving repeated communications from her ex and that they were beginning to concern her and scare her and she was worried for her safety and the safety of her daughter.” Pichler came to the conclusion that if the facts she stated were true, there was evidence of a crime being committed. To obtain more information, Pichler and another officer went to the plaintiff‘s residence to speak with him. The plaintiff admitted that he sent the e-mails despite having been told by his ex-girlfriend and her father not to do so. He told the officers that he did not mean what he said and that he would not go to his ex-girlfriend‘s birthday party, but he also stated that he would continue to contact her.
Pichler and Carroll agreed that the plaintiff had committed the crime of harassment. Pichler believed that there was probable cause to arrest him, pursuant to
Carroll and Pichler drafted the criminal complaint against the plaintiff. They consulted the NEW HAMPSHIRE CRIMINAL CODE ANNOTATED 2008-2009 edition and discussed
During his deposition, the plaintiff testified that after he was arrested Pichler said to him: “This is what you get for f*****g with a 30-year veteran of the Concord, PD.” The ex-girlfriend‘s father and uncle are retired Concord police officers. Carroll had worked with the ex-girlfriend‘s father and had known her since she was a child.
II
The plaintiff brought claims against the defendants, the City of Concord (city), Officer Pichler, and Lieutenant Carroll, for: (1) malicious prosecution (count I); (2) false imprisonment (count II); (3) violation of his rights of free speech and against unreasonable searches and seizures under the New Hampshire Constitution (count III); and (4) negligence (count IV).2 The defendants moved for summary judgment, arguing that: (1) the city was entitled to immunity under
The court rejected the defendants’ arguments based upon
The plaintiff argued that
Under the common law doctrine of official immunity, “municipal police officers are immune from personal liability for decisions, acts or omissions that are: (1) made within the scope of their official duties while in the course of their employment; (2) discretionary, rather than ministerial; and (3) not made in a wanton or reckless manner.” Everitt v. Gen. Elec. Co., 156 N.H. 202, 219 (2007). The trial court found there was “no question” the officers’ acts were within the scope of their official duties and completed while in the course of their employment, and that the acts were discretionary. The court ruled that while the officers’ actions “may be deemed negligent,” they were “not wanton or reckless.” Viewed in the light most favorable to the plaintiff, the court found that the only evidence of recklessness was Officer Pichler‘s comment to the plaintiff after he was arrested. However, the court found that the comment was made “in the context of Pichler‘s belief that he had the lawful authority to arrest [the plaintiff] without a warrant.” The court further found that “Pichler‘s hindsight concession that he did not have probable cause to arrest [the plaintiff] does not create a factual issue given the undisputed testimony that he made the statement while under the impression that he had lawful arrest authority” and, therefore, the statement did not evidence wanton or reckless conduct. The court concluded that the defendant officers had official immunity and the city had vicarious immunity for counts I, II, and III. This appeal followed.
III
The plaintiff appeals only the grant of summary judgment dismissing his claims for malicious prosecution (count I) and false imprisonment (count
The defendants counter that there are no disputed facts that bear upon recklessness and that the court correctly analyzed and granted summary judgment to the city and the officers. They argue that there was no need for the trial court to insert an objective analysis into its decision-making, as the plaintiff contends, and assert that in any event the plaintiff failed to preserve this issue for appellate review. They further contend that the officers did act in an objectively reasonable manner.3
A
We first address the defendants’ preservation argument. They contend that the plaintiff “never argued to the trial court that official immunity is available only if the officers’ belief . . . was objectively reasonable,” and further argue that the issue was not included in his notice of appeal. However, in his memorandum of supplemental authority submitted to the trial court, the plaintiff did argue that the “requirement of reasonable belief of lawfulness” set forth in Huckins “contains both a subjective and objective element.” See Huckins, 166 N.H. at 182. Although his argument appears to be directed to
of the officers’ beliefs and actions and their objective reasonableness could
B
A central issue in this case is the plaintiff‘s contention that our decision in Everitt, 156 N.H. 202, which the trial court followed, conflicts with our more recent decision in Huckins, 166 N.H. 176. In Everitt, we noted that “[v]arious concepts of immunity exist under both common law and statutory law to protect governmental entities and public officials from liability for injury allegedly caused by official conduct.” Everitt, 156 N.H. at 209. Immunity doctrines are “designed to protect particular government entities and . . . rooted in the common law at their inception.” Id. The doctrine of official immunity protects public officials and employees from personal liability for alleged common law torts committed within the scope of their government employment. Id. Recognizing that the legislature had adopted statutory immunity for all state officers and employees, see
“Whether, and to what extent, official immunity should be granted to a particular public official is largely a policy question, and depends upon the nature of the claim against the official and the particular government activity that is alleged to have given rise to the claim.” Id. at 216 (citations omitted). As in this case, the defendants in Everitt were municipal police officers, and we discussed at length the role of such officials and the importance of their immunity from suit:
Police officers are regularly called upon to utilize judgment and discretion in the performance of their duties. They must make decisions and take actions which have serious consequences and repercussions, to the individuals immediately involved, to the public at large and to themselves. . . . Further, law enforcement by its nature is susceptible to provoking the hostilities and hindsight second-guessing by those directly interacting with police as well as by the citizenry at large. Police officers, as frontline agents for the executive branch, are particularly vulnerable to lawsuits, whether the underlying police conduct or decision was errant or not. Unbridled exposure to personal liability and hindsight review of their decisions would undoubtedly compromise effective law
enforcement and unfairly expose officers to personal liability for performing inherently governmental tasks. The public safety entrusted to police officers demands that they remain diligent in their duties and independent in their judgments, without fear of personal liability when someone is injured and claims an officer‘s decision or conduct was to blame. The public simply cannot afford for those individuals charged with securing and preserving community safety to have their judgment shaded out of fear of subsequent lawsuits or to have their energies otherwise deflected by litigation, at times a lengthy and cumbersome process.
Id. at 217-18.
We then “adopt[ed] parameters for official immunity, as informed by our case law, the law in foreign jurisdictions as well as the scope of official immunity identified by the legislature in
In Everitt, we also extended this official immunity to municipalities, stating that “[o]fficial immunity, when available to individual public officials, generally may be vicariously extended to the government entity employing the individual, but it is not an automatic grant.” Id. (quotation omitted). “Vicarious immunity ought to apply when the very policies underlying the grant of official immunity to an individual public official would otherwise be effectively undermined.” Id.
Although we observed in Everitt that “official immunity for municipal employees sued in their individual capacities remains a common law question,” id. at 210, we also recognize that the legislature has enacted some statutes addressing municipal and sovereign immunity. First,
It is the intent of this chapter to protect state officers, trustees, officials, employees, and members of the general court who are
subject to claims and civil actions arising from acts committed within the scope of their official duty while in the course of their employment for the state and not in a wanton or reckless manner. It is not intended to create a new remedy for injured persons or to waive the state‘s sovereign immunity which is extended by law to state officers, trustees, officials, and employees. The doctrine of sovereign immunity of the state, and by the extension of that doctrine, the official immunity of officers, trustees, officials, or employees of the state or any agency thereof acting within the scope of official duty and not in a wanton or reckless manner, except as otherwise expressly provided by statute, is hereby adopted as the law of the state. The immunity of the state‘s officers, trustees, officials, and employees as set forth herein shall be applicable to all claims and civil actions, which claims or actions arise against such officers, trustees, officials, and employees in their personal capacity or official capacity, or both such capacities, from acts or omissions within the scope of their official duty while in the course of their employment for the state and not in a wanton or reckless manner.
As to the amenability to suit of the State itself, the legislature has waived its sovereign immunity, see generally
I. Without otherwise limiting or defining the sovereign immunity of the state and its agencies, the provisions of this chapter shall not apply to:
(a) Any claim which is based upon the exercise of a legislative or judicial function.
(b) Any claim based upon an act or omission of a state officer, employee, or official when such officer, employee, or official is exercising due care in the execution of any statute or any rule of a state agency.
(c) Any claim based upon the exercise or performance or the failure to exercise or perform a discretionary executive or planning function or duty on the part of the state or any state agency or a state officer, employee, or official acting within the scope of his office or employment.
(d) Any claim arising out of an intentional tort, including assault, battery, false imprisonment, false arrest, intentional mental distress, malicious prosecution, malicious abuse of process, libel, slander, misrepresentation, deceit, invasion of privacy, interference with advantageous relations, or interference with contractual relations, provided that the employee whose conduct gives rise to the claim reasonably believes, at the time of the acts or omissions complained of, that his conduct was lawful, and provided further that the acts complained of were within the scope of official duties of the employee for the state.
Through
In Huckins, the plaintiff argued “that
different treatment of plaintiffs injured by municipal employees and those
“Our prior cases establish that neither
“In light of our obligation to construe
Although the trial court in the instant case was correct to point out that the doctrine of official immunity arises from the common law, rather than from a statute, we agree with the plaintiff that official immunity must be subject to the same constitutional requirements as those we articulated in Huckins with respect to
The plaintiff argues that the “reasonable belief” standard encompasses both a subjective and an objective standard. He contends that the trial court erred by analyzing only the officers’ subjective belief in the lawfulness of their actions. The plaintiff argues that, in order to determine whether the officers “reasonably believed” that they acted lawfully, the court should have examined both whether the officers actually held that belief and whether such a belief was objectively reasonable.
Thus, to find that the defendant was justified in using force, you must first find that the defendant actually believed that it was necessary to use force. Then you must find that, under all the circumstances, the defendant‘s actual belief was a reasonable belief. If the defendant‘s actual belief - that force was necessary - was not reasonable, you should not find his use of force was justified.
West, 167 N.H. at 471. Similarly, in an insurance case, we held that “[t]he term ‘reasonable belief’ requires both that the driver have a subjective belief that he is ‘entitled’ to use the car and that such belief is objectively sound.” Progressive N. Ins. Co. v. Concord Gen. Mut. Ins. Co., 151 N.H. 649, 653 (2005). We have also noted that “[t]he Rules of Professional Conduct define ‘reasonably believes’ to mean that ‘the lawyer believes the matter in question and that the circumstances are such that the belief is reasonable.‘” Lane‘s Case, 153 N.H. 10, 22 (2005). Consistent with these cases, we conclude that an officer is entitled to official immunity only if the officer subjectively believed that his or her conduct was lawful and such belief was objectively reasonable. Nevertheless, this conclusion does not bring our analysis to an end.
Although “reasonably believes” includes both an objective and a subjective component, “reasonably” and its cognates have a particular meaning in the immunity context. See Yates v. United States, 135 S. Ct. 1074, 1082 (2015) (“Ordinarily, a word‘s usage accords with its dictionary definition. In law as in life, however, the same words, placed in different contexts, sometimes mean different things.“). In general, “reasonable” means “[f]air, proper, or moderate under the circumstances; sensible.” BLACK‘S LAW DICTIONARY 1456 (10th ed. 2014). Black‘s Law Dictionary defines “reasonably believe” as “[t]o believe (a given fact or combination of facts) under circumstances in which a reasonable person would believe.” Id. at 184. A “reasonable person,” is “[a] hypothetical person used as a legal standard, esp. to determine whether someone acted with negligence.” Id. at 1457. As these definitions suggest, “reasonableness” is closely associated with the absence of negligence. In many contexts, “reasonably” means that one did not act negligently. See Terry, Negligence, 29 HARV. L. REV. 40, 42
For immunity purposes, the failure to act “reasonably” must connote more than mere negligent actions. If it did not, immunity would serve no purpose because if an official were not negligent, he would not be liable at all and there would be no need for immunity. See Merrill v. Manchester, 114 N.H. 722, 728 (1974) (“The prevailing rule of torts today is that where there is negligence by an individual or a corporation liability follows. Immunity is the rare exception.” (citation omitted)), superseded by statute, Laws 1975, 483:1, as recognized in Dichiara v. Sanborn Reg‘l Sch. Dist., 165 N.H. 694 (2013). For the added protection of official immunity to serve any purpose, then, the lack of a “reasonable belief” in this context necessarily must mean more than negligence. It implies that the official acted with a higher level of culpability, i.e., recklessly or wantonly.
Unlike Everitt, the claims here are for intentional torts. However, the reasonableness of the defendants’ actions, and thus, the absence of negligence, is still a part of the analysis of both torts. To prevail on a claim for false imprisonment, a plaintiff must show four elements: (1) the defendant acted with the intent of confining him within boundaries fixed by the defendant; (2) the defendant‘s act directly or indirectly resulted in the plaintiff‘s confinement; (3) the plaintiff was conscious of or harmed by the confinement; and (4) the defendant acted without legal authority. Ojo v. Lorenzo, 164 N.H. 717, 726 (2013). Although “a lack of probable cause is not an element of false imprisonment,” probable cause is “a defense to a claim for false imprisonment resulting from a warrantless detention.” Id. at 727. The four elements of a claim for malicious prosecution are: (1) the plaintiff was subjected to a criminal prosecution or civil proceeding instituted by the defendant; (2) without probable cause; (3) with malice; and (4) the prior action terminated in the plaintiff‘s favor. Id.
Probable cause, or the lack thereof, is an element of malicious prosecution and a defense to a claim for false imprisonment. Therefore, negligence, which, as we earlier explained, equates to a lack of the reasonableness required for probable cause, remains a critical part of the
Additionally, “objectively reasonable” has a particular meaning in the context of immunity. The proper standard is not the conduct expected of an individual who is disconnected from the situation. Rather, we consider objective reasonableness from the perspective of the actor in question. As the First Circuit stated in a qualified immunity case: “[T]his suit may go forward only if the unlawfulness of the arrest would have been apparent to an objectively reasonable officer standing in [the defendant]‘s shoes.” Cox v. Hainey, 391 F.3d 25, 31 (1st Cir. 2004) (emphasis added); see also Kingsley v. Hendrickson, 135 S. Ct. 2466, 2473 (2015) (“Rather, objective reasonableness turns on the facts and circumstances of each particular case. A court must make this determination from the perspective of a reasonable officer on the scene, including what the officer knew at the time, not with the 20/20 vision of hindsight.” (citation and quotation omitted)).
Given the contours of “reasonably” and “objectively reasonable” in the immunity context, there is not the conflict between Huckins and Everitt that the plaintiff asserts. The trial court applied the recklessness standard from Everitt, which states that “municipal police officers are immune from personal liability for decisions, acts or omissions that are . . . not made in a wanton or reckless manner.” Everitt, 156 N.H. at 219. The standard we articulated in Huckins permits immunity “for intentional torts committed by government officials or employees who act under a reasonable belief in the lawfulness of their conduct.” Huckins, 166 N.H. at 182 (quotation omitted). Although the two standards may appear to be at odds because of the disparate language used, for the reasons explained above, the standards are in reality the same. We therefore hold that the determination of whether the defendants here are entitled to immunity from liability for the intentional tort claims brought by the plaintiff requires an inquiry into whether they acted recklessly or wantonly as to the lawfulness of their conduct.
C
The plaintiff argues that the trial court erred by not applying an objective standard when determining that the defendants were entitled to immunity. “We will uphold the trial court‘s findings and rulings unless they lack evidentiary support or are legally erroneous.” N.H. Fish & Game Dep‘t v. Bacon, 167 N.H. 591, 596 (2015). Here, the trial court specifically found
We disagree with the plaintiff‘s characterization of the trial court‘s order as focusing only upon the officers’ subjective belief. In making its determination that the officers did not act recklessly or wantonly, the court necessarily had to consider how the officers’ actions deviated from what they should have done. In other words, implicit in the court‘s conclusion that the officers may have been negligent but were not reckless or wanton was a comparison of the officers’ conduct with what a reasonable officer in their position would have done under the same or similar circumstances. Although the court phrased its ruling in terms of the common law regime, the ruling was not inconsistent with the constitutional standard set forth in Huckins, as we have now clarified it, and the ruling is supported by the evidence in the record.
Although the officers chose to rely upon
In sum, although the officers may have acted negligently in arresting the plaintiff without a warrant and in charging him under an unconstitutional subsection of the harassment statute, the record demonstrates as a matter of law that their actions did not rise to the level of reckless or wanton conduct sufficient to strip them of protection under the objective component of the official immunity paradigm.
D
The plaintiff also argues that the trial court erred by granting summary judgment to the defendants because there is a genuine issue of material fact as to the officers’ subjective belief in the lawfulness of their actions. We are not persuaded.
“In reviewing the trial court‘s grant of summary judgment, we consider the affidavits and other evidence, and all inferences properly drawn from them, in the light most favorable to the non-moving party.” Camire v. Gunstock Area Comm‘n, 166 N.H. 374, 376 (2014) (quotation omitted). “If our review of that evidence discloses no genuine issue of material fact, and if the moving party is entitled to judgment as a matter of law, we will affirm the grant of summary judgment.” Id. (quotation omitted). “We review the trial court‘s application of the law to the facts de novo.” Id. Additionally, immunity rulings are legal questions, which we review de novo. See Conrad v. N.H. Dep‘t of Safety, 167 N.H. 59, 70-71 (2014).
The plaintiff contends that whether the officers actually had the subjective belief that they were acting lawfully should be a question for the jury. His theory is that, because of the ex-girlfriend‘s family connection to the Concord Police Department, the officers acted in bad faith and retaliated against him, leading to his unlawful arrest. Viewed in the light most favorable to the plaintiff, the only facts which support his theory are that: (1) his ex-girlfriend‘s father and uncle are retired Concord police officers and worked with Lieutenant Carroll; and (2) after arresting the plaintiff, Officer Pichler said, “This is what you get for f*****g with a 30-year veteran of the Concord PD.”5 The plaintiff asserts that this evidence calls into question the officers’ attestations that, at the time of the plaintiff‘s arrest, they believed they were acting lawfully, and shows that they in fact acted in bad faith.
We conclude that the foregoing evidence is not sufficient to raise a genuine issue of material fact as to the officers’ belief that they were acting lawfully. We are mindful that in immunity cases, “bare allegations of malice should not suffice to subject government officials either to the costs of trial or to the burdens of broad-reaching discovery.” Harlow v. Fitzgerald, 457 U.S. 800, 817-18 (1982). When the defendants moved for summary judgment, the plaintiff had to produce evidence. See
produce. Rather, he rests his theory and his argument that there is an issue of fact upon Pichler‘s single comment. The comment cannot bear the weight which the plaintiff asks it to carry.
To be sure, the comment may show Pichler‘s intent or motivation to protect someone with a connection to the Concord police, but it does not show an intent to do so unlawfully. The existence of evidence of bad motive does not undercut what an officer knows or believes. Cf. Whren v. United States, 517 U.S. 806, 812 (1996) (observing that the Court has never held “that an officer‘s motive invalidates objectively justifiable behavior under the Fourth Amendment“). In other words, there is no logical basis for inferring that an officer in Pichler‘s position would be more likely to make such a statement if he believed his conduct was unlawful than if he believed his conduct was lawful. In fact, in contrast to the plaintiff‘s thesis that the statement demonstrates an awareness of illegality, an argument to the contrary - that an officer who knew he was acting unlawfully would not offer such a statement about his motivation to the target of his malfeasance - is equally plausible.
IV
“[T]he purpose of immunity is to operate as a bar to a lawsuit, rather than as a mere defense against liability, and is effectively lost if a case is erroneously permitted to go to trial.” Everitt, 156 N.H. at 221 (quotation omitted). Here, the plaintiff‘s proffered evidence does not create a genuine issue of material fact as to the officers’ reasonable belief in the lawfulness of their actions. Therefore, we hold that the trial court did not err by granting summary judgment to the defendants on the grounds that they were entitled to official and vicarious immunity as a matter of law.
We once again note that this is a close case. However, we think that policy considerations weigh in favor of granting immunity to these officials. “Police officers are regularly called upon to utilize judgment and discretion in the performance of their duties. They must make decisions and take actions which have serious consequences and repercussions, to the individuals immediately involved, to the public at large and to themselves.” Everitt, 156 N.H. at 217. “The public safety entrusted to police officers demands that they remain diligent in their duties and independent in their judgments, without fear of personal liability. . . .” Id. at 217-18. This is especially true in circumstances such as the instant case, which involved a domestic violence situation. In these cases, the public is well-served if the police are able to respond quickly and do not have their actions hampered by worries of potential liability and of lawsuits in which their actions will be scrutinized through the near-perfect vision of hindsight. See id. at 218 (“The public simply cannot afford for those individuals charged with securing and
Affirmed.
DALIANIS, C.J., and HICKS, CONBOY, and BASSETT, JJ., concurred.
