STATE OF OREGON, Respondent on Review, v. STEVEN NICHOLAS BACKSTRAND, Petitioner on Review. STATE OF OREGON Petitioner on Review, v. STEVEN NICHOLAS BACKSTRAND, Respondent on Review.
CC C071116CR; CA A136163; SC S058019 (Control), S058318
In the Supreme Court of the State of Oregon
November 21, 2013
Argued and submitted June 8, 2011; resubmitted January 7
313 P3d 1084
LINDER, J.
392 Or. 392. Decision of Court of Appeals reversed; judgment of circuit court affirmed November 21, 2013
Neil F. Byl, Deputy Public Defender, Office of Public Defense Services, Salem, argued the cause for respondent on review Steven Nicholas Backstrand. With him on the brief was Peter Gartlan, Chief Defender.
LINDER, J.
Walters, J., concurred in the judgment and filed an opinion in which Baldwin, J., joined.
Brewer, J., concurred in the judgment and filed an opinion.
LINDER, J.
In two recent cases, we have held that officers who had lawfully seized individuals for purposes of investigation also could, consistently with
This case presents yet a third variation on the issues that arise when police seek identification from persons with whom they deal in the course of their work: Does an officer‘s request for and verification of a person‘s identification, in and of itself, convert an encounter that is not a seizure for constitutional purposes into one that is? As we explain, we hold that the answer is no. Consequently, we reverse the decision of the Court of Appeals and affirm the judgment of the trial court.
I. FACTS AND PROCEDURAL HISTORY
Deputy Gerba was monitoring a “triple-X” store that sells adult sexual materials (toys, videos, clothing, etc.). The store had been robbed several times in the recent past, and law enforcement had made frequent security checks on it as a result. On the particular night involved in this case, Gerba was “sitting on” the store, meaning that he was monitoring it from outside and across the street, as well as by occasionally going inside.
At about 1:00 a.m., Gerba was inside the store at the same time that defendant and his girlfriend were inside shopping. Gerba thought that defendant looked “pretty young” and believed he might be under the posted 18-year minimum age to be in the store. Gerba knew that, if they were minors, as he suspected, the store could “get in trouble” because of the “pretty explicit stuff” that was readily visible to anyone inside.1 Gerba therefore approached the two and asked their ages. Defendant answered that he was 22. Gerba asked both defendant and his girlfriend if they had any identification, and they gave him their driver licenses. Gerba called dispatch to verify the validity of the licenses.2 After having the licenses for a total of 10 to 15 seconds, Gerba returned them to defendant and his girlfriend and wished them a good day.3 Gerba then left the store to continue to monitor it from outside, while defendant and his girlfriend continued to shop inside.
Gerba had not asked dispatch to check on anything other than the validity of the licenses, such as outstanding warrants. Even so, dispatch called Gerba back to advise him that defendant‘s license was suspended and defendant was on probation in another county. That call came about a minute after Gerba returned the licenses, as Gerba was leaving the store. Gerba continued across the street, where he maintained his security watch on the store. After about five minutes, defendant and his girlfriend walked out of the store, got in their car, and left, with defendant driving. Based on his belief that defendant was driving with a suspended license, Gerba pursued them, initiated a traffic stop, and arrested defendant. Defendant was later tried for driving
while revoked (his license actually had been revoked, rather than suspended).
The trial court denied defendant‘s motion, concluding that Gerba had not seized defendant. The trial court reasoned that the time involved—10 to 15 seconds—was de minimis and Gerba had not investigated defendant for any possible wrongdoing on his part, but rather, had attempted to determine if he was a minor as a protective measure, in which case he should not have been in the adult-only store.4 The trial court concluded that, in that situation, a reasonable person in defendant‘s position would not feel significantly restrained by the officer‘s request for, and verification of, defendant‘s identification. After a bench trial, the trial court found defendant guilty of driving while revoked.
On appeal, the Court of Appeals concluded that, from an objective standpoint, defendant had been seized. State v. Backstrand, 231 Or App 621, 632, 220 P3d 748 (2009). The court was divided on its rationale, however, particularly as to the point at which the seizure had objectively occurred. The lead opinion concluded that, when Gerba called dispatch, a reasonable person in defendant‘s position would have believed that he was not free to leave while the call was being made. Id. at 626. The lead opinion remanded to the trial court to determine whether defendant also subjectively felt that he was not free to leave at that point. Id. at 632.5 The lead opinion concluded that, if the trial court were to find that defendant subjectively felt restrained, then Gerba had unlawfully seized defendant.6 Id. at 625-26. The lead opinion further concluded that if, on remand, the trial court determined that defendant subjectively felt restrained, the evidence of the status of defendant‘s driving privileges should be suppressed. Id. at 632.
A concurring opinion took a different view on the “timing of the operative ‘stop.‘” Id. at 633 (Haselton, P. J., concurring). According to the concurrence, Gerba seized defendant “when, in response to Gerba‘s inquiries, defendant produced, and Gerba took, defendant‘s driver‘s license.” Id. Under that view, the concurrence agreed that suppression was required if defendant subjectively felt restrained once he handed his license to Gerba. Id. at 642. Finally,
according to a dissenting opinion, the lead opinion was correct that Gerba had seized defendant when Gerba made the call to dispatch, but suppression was not required. Id. at 643 (Deits, S. J., dissenting).7
Both defendant and the state sought review, and we originally held the petitions pending our decision in State v. Ashbaugh, 349 Or 297, 244 P3d 360 (2010). After issuing our decision in Ashbaugh, we allowed both the petitions. On review, the state renews its assertion that defendant was not seized at any point during his encounter with Gerba. In the state‘s view, Gerba‘s actions in requesting and verifying defendant‘s identification were not a sufficient restraint on defendant‘s liberty or freedom of movement to amount to the seizure of defendant. Defendant argues the converse, urging that he was seized either when Gerba requested and obtained his identification, or when Gerba called dispatch, because a reasonable person in defendant‘s position would have believed that he was not free to continue shopping until the officer‘s investigation was complete.
II. ANALYSIS
A. General Principles Governing Seizures
As we explained at the outset, the central question that this case presents is: Does an officer‘s request for and verification of a person‘s identification, in and of itself, convert an encounter that is not a seizure for constitutional purposes into one that is? The general principles that guide our answer to that question are well-settled and were discussed at some length in our two most recent “stop” cases, Fair, 353 Or at 593-95, 598-603, and Watson, 353 Or at 773-74, 778-80. For our analysis here, it is helpful to summarize those principles.
the prohibition in
“Analytically, police-citizen encounters typically fall into one of three categories that correlate the degree of intrusiveness on a citizen‘s liberty with the degree of justification required for the intrusion. At one end of the continuum are mere encounters for which no justification is required. At the other end are arrests, which involve protracted custodial restraint and require probable cause. In between are temporary detentions for investigatory purposes, often termed ‘stops,’ which generally require reasonable suspicion. Both stops and arrests are seizures for constitutional purposes, while less restrictive encounters are not.”
Fair, 353 Or at 593-94 (citations and footnote omitted).
What distinguishes a seizure (either a stop or an arrest) from a constitutionally insignificant police-citizen encounter “is the imposition, either by physical force or through some ‘show of authority,’ of some restraint on the individual‘s liberty.” Ashbaugh, 349 Or at 309. The test is an objective one: Would a reasonable
unadorned by judicial interpretation based upon specific fact situations” and does not provide “a ready answer for every conceivable” police-citizen encounter that can arise. 311 Or at 410. As a result, “In many cases it is clear that a person has been ‘seized.’ But there are many instances in which it is less obvious whether a police-citizen encounter is a ‘seizure.‘” Id. at 407.
Although close cases can—and frequently do—arise, beginning with Holmes, this court has remained steadfast in recognizing that the constitutional concern is with police-imposed restraints on citizen liberty, not with limiting contacts between police and citizens. In an oft-cited and oft-quoted passage, Holmes stressed that “law enforcement officers remain free to approach persons on the street or in public places, seek their cooperation or assistance, request or impart information, or question them without being called upon to articulate a certain level of suspicion in justification if a particular encounter proves fruitful.” 311 Or at 410; see also State v. Gerrish, 311 Or 506, 513, 815 P2d 1244 (1991) (flagging down driver and directing him to stop not a significant interference with driver‘s liberty where those are only means available to get driver‘s attention long enough to request information). The fact that the citizen is discomforted by an officer‘s approach and request for assistance or information—either because the officer is a known police officer, or because the encounter otherwise involves “inconvenience or annoyance“—does not make the contact a seizure. Holmes, 311 Or at 410. Rather, a seizure exists only if the officer‘s conduct would be reasonably perceived as coercive in the sense that it would cause the citizen to reasonably believe that the officer is intentionally restraining the citizen‘s liberty or freedom of movement in a significant way—that is, in a way that exceeds the bounds of ordinary social encounters between private citizens. Id. at 409-10.9
Thus, a “show of authority”
constitutional seizure law from which Holmes borrowed the analysis. See Holmes, 311 Or at 407 (citing State v. Warner, 284 Or 147, 161, 585 P2d 681 (1978), which in turn embraced the analysis that had developed under the Fourth Amendment); see generally Wayne R. LaFave, 4 Search and Seizure § 9.1-9.4, 352-645 (5th ed 2012) (exhaustive discussion of legal developments post-Terry v. Ohio, 392 US 1, 88 S Ct 1868, 20 L Ed 2d 889 (1968), by which arrests and temporary detentions are subject to constitutional protection against unreasonable seizures, but nonforcible or noncoercive encounters are not).
Our adherence to Holmes in this case does not mean that our work in refining what constitutes a “seizure” for purposes of
Necessarily, then, the fact that an individual—for reasons personal to that individual—feels obliged to cooperate with the officer simply because of the officer‘s status is not the form or source of coercion that is of constitutional concern. As Holmes held, 311 Or at 410, and as other authorities have observed of the parallel federal standard for what constitutes a seizure, police need not articulate any particular degree of suspicion to “to seek cooperation, even where this may involve inconvenience or embarrassment for the citizen, and even though many citizens will defer to this authority of the police because they believe—in some vague way—that they should.” American Law Institute, A Model Code of Pre-Arraignment Procedure § 110.1, 258 (1975) (Model Code). Professor LaFave agrees, acknowledging that,
“‘if the moral and instinctive pressures to cooperate are in general sound and may be relied on by the police,’ then a street encounter does not amount to a *** seizure merely because of those pressures—that is, merely because the other party to the encounter is known to be a policeman.”
Wayne R. LaFave, 4 Search and Seizure § 9.4(a), 581 (5th ed 2012) (quoting Model Code § 110.1 at 258 (footnote omitted)).10 Rather, “the confrontation is a seizure only if the officer adds to those inherent pressures by engaging in conduct significantly beyond that accepted in social intercourse.” Id. at 581-82 (emphasis added); see generally Holmes, 311 Or at 410 (“encounter is a ‘seizure’ of a person only if the officer engages in conduct significantly beyond that accepted in ordinary social intercourse“).
B. Police Requests For Information or Cooperation Generally
Consistently with Holmes‘s declaration that officers remain free to approach citizens, request or impart information, and seek assistance, this court has cautioned that “verbal inquiries [by officers] are not *** seizures.” State v. Rodgers/Kirkeby, 347 Or 610, 622, 227 P3d 695 (2010). Rather, something more than just asking a question, requesting information, or seeking an individual‘s cooperation is required of an officer‘s conduct. The “something more” can be such things as the content or manner of questioning, or the accompanying physical acts by the officer, if those added factors would reasonably be construed as a “threatening or coercive” show of authority requiring compliance with the officer‘s request. Ashbaugh, 349 Or at 317; see also State v. Ehly, 317 Or 66, 76-77, 854 P2d 421 (1993) (mere requests for cooperation not seizures unless officer, through demeanor, tone, language, or totality of circumstances, conveyed a
not free to leave“). But as this court recognized in Holmes, the feel-free-to-leave formulation does “not state the entire [federal] test for a ‘seizure’ of a person by a non-forcible ‘show of authority.‘” 311 Or at 413; see also Gerrish, 311 Or at 517 (whether reasonable person would feel free to leave “is not determinative” of federal analysis). Rather, as the Supreme Court has clarified, whether a reasonable person would have believed that he was not free to leave
“states a necessary, but not a sufficient, condition for *** [a] seizure effected through a ‘show of authority.’ *** [T]he test for existence of a ‘show of authority’ is an objective one: not whether the citizen perceived that he was being ordered to restrict his movement, but whether the officer‘s words and actions would have conveyed that to a reasonable person.”
California v. Hodari D., 499 US 621, 628, 111 S Ct 1547, 113 L Ed 2d 690 (1991) (last emphasis added). Under that more complete articulation of the federal test, the analysis of what constitutes a seizure under
We decline to distill the test under
restraint on liberty). Without the something more, however, “police inquiries in and of themselves require no justification and do not necessarily implicate
Several of our cases illustrate that principle in practice. One of the earliest is Ehly, which was decided about two years after Holmes first articulated the standard for distinguishing “mere encounters” from police conduct that results in a seizure for constitutional purposes. In Ehly, two officers confronted the defendant in a motel room after he refused to leave at check out and return the room key to the manager. The officers immediately told the manager to “stand back” and advised the defendant that he had to leave. When the defendant picked up two bags and started to leave, the officers asked him to return the key to the manager. The defendant replied that the key might be in one of the bags, but that the bags did not belong to him. One officer then asked him to find the key. The defendant tried, rummaging through one of the bags unsuccessfully,
This court concluded in Ehly that the defendant was seized for purposes of
before the officer directed him to stand back from the bag that defendant was searching through. Id. at 76, 78.12
Ashbaugh involved a similar conclusion on much different facts. In Ashbaugh, two officers on bicycles approached the defendant and her husband while they were sitting in a public park in the middle of the day. The officers investigated their identities and checked to see if either of them was wanted on outstanding warrants. When the officers learned that the defendant‘s husband was subject to a restraining order that prevented him from having contact with the defendant, the officers arrested him for violating that order and took him to a requested patrol car. About five minutes later, the officers returned to the defendant, who had not left the park, to tell her that her husband wanted her to take his belongings with her. On impulse, one of the officers asked the defendant if she had anything illegal in her purse. When she said she did not, he asked if he could search her purse, and she agreed. Ashbaugh, 349 Or at 300-02. The state conceded at a pre-trial proceeding that the initial contact with the defendant and her husband was an unlawful stop. Id. at 302-03 n 2.
Given the state‘s concession, the seizure question before this court was limited to whether the officers had seized the defendant when they recontacted her, asked her about the contents of her purse, and asked if she would permit them to search her purse. Id. at 306, 308. In concluding that the defendant was not seized at that point, this court acknowledged that “it is possible to restrict a person‘s liberty and freedom of movement by purely verbal means.” Id. at 317. But we reasoned that nothing in the content of the questions asked, or in the officers’ manner or actions, involved a “show of authority” that the defendant could reasonably construe as a threat or an exercise of authority to coercively restrain. The court observed that, “while it may have been true that [the] defendant had been unlawfully detained by
police some minutes before and had watched a clear show of authority directed at her husband, those circumstances had ended.” Id. Consequently, this court concluded that the officer‘s questions to the defendant did not “intentionally and significantly” restrict or interfere with her liberty, and a reasonable person in the defendant‘s circumstances would not believe that they had. Id.
In other cases, the circumstances accompanying verbal questions or requests have led this court to conclude that the defendant was seized, not by an officer‘s questions per se,
This court determined that, in each instance, the questions and request for consent resulted in an unlawful seizure. Id. at 627-28. In explaining that conclusion, the court first acknowledged that, in general, “verbal inquiries are not searches and seizures,” even when made in the course of, and unrelated to, a traffic stop. Id. at 622. The problem in Rodgers/Kirkeby was that the unrelated inquiries at issue were not in the due course of the traffic stop, but came afterwards—that is, they came at a point when the officers no longer had authority to detain the defendants. Id. at 623. As the court explained, “in contrast to a person on the street” or otherwise in public who has not been stopped for a traffic offense, a person detained for a traffic offense has a legal obligation to stop at the officer‘s direction and remain; the person may not unilaterally end
the encounter and leave whenever he or she chooses. Id. at 622-23. From the standpoint of a reasonable person in the defendants’ position, when the officers in both cases, after completing the investigation of the traffic offenses, asked unrelated questions and asked for consent to search, but did not tell the defendants that they were free to leave, those verbal inquiries communicated a continuation of the traffic stop, even though the officers no longer had authority to detain. Id. at 627-28. In that distinctive context, the verbal inquiries alone continued the seizures, and continuation of the seizures was unlawful.
Finally, State v. Jacobus, 318 Or 234, 864 P2d 861 (1993), illustrates more generally how the manner of questioning and attendant circumstances may affect the analysis. There, an officer had been advised that the occupants of a particular Datsun car parked near a convenience store had been overheard by a customer saying that “there was only one clerk in the store.” When the officer drove to the store, he saw the Datsun parked in an unlighted area nearby and drove past it. As he went past, the occupants frantically began to stuff objects under the seats. The officer made a U-turn, pulled in behind the Datsun, and turned on his patrol car‘s overhead lights. Two occupants got out of the car and walked toward the store. The officer approached the Datsun on foot. The defendant, who remained in the Datsun, continued to stuff something under coats and other items on the floorboard. When the officer asked the defendant to step out, he stayed in the Datsun. The officer repeated his request at least two more times before the defendant complied. Id. at 236. Characterizing the officer‘s repeated requests as “order[ing]” the defendant out of the car, the court held, without extended analysis, that the defendant‘s liberty was temporarily restrained because the defendant, at least at the moment of the order, was not free to “remain in the Datsun or even *** to get out of the Datsun and walk away.” Id. at 240-41.13 Implicit in the
analysis was its conclusion that the surrounding circumstances (patrol car parked behind the Datsun with overhead lights activated), coupled with the persistence of the officer‘s “requests,” rendered those requests the functional equivalent of a command affirmatively communicating to the defendant that compliance was not optional.
C. Police Requests for Identification and Verification of Identification
Police requests for identification are a subset within the general category of police requests for information or cooperation. But asking for and verifying identification is not unique to police-citizen encounters. Rather, as other courts have observed, in this day and age, requests for valid government-issued identification are commonplace in ordinary dealings in society, both between private citizens as well as in a variety of citizen-government contexts (such as entering public buildings). See, e.g., Golphin v. State, 945 So 2d 1174, 1189-90 (Fla 2006), cert den, 552 US 810 (2007) (“[T]he act of identifying oneself through presentation of valid, government-issued identification [is] a necessary part of a panoply of human endeavors, from cashing a check to boarding an airplane.“).14 Police officers, in their official dealings with citizens, likewise commonly seek to determine and verify with whom they are dealing for reasons that range from simply documenting the activities the officers engage in while on duty to ascertaining information that may assist in enforcement of the criminal laws. See, e.g., Fair, 353 Or at 614 (officer checked potential witness for outstanding warrants as means of verifying identification and ascertaining information relevant to investigation
(Oregon stop statutes were intended to codify decisions by this court interpreting
of domestic assault); State v. Ellenbecker, 159 Wis 2d 91, 98, 464 NW2d 427, 430 (1990) (where it is reasonable for officer to ask for license, running status check on license carries out “deterrent function of the law“).
Until now, this court has not been asked to decide—and has not in fact decided—whether an officer effectively seizes an individual simply by asking for an individual‘s identification. Where the issue is that straightforward—based on the request alone and nothing more—the circumstance comes well within the bounds of a “mere encounter,” which, as we held in Holmes, police remain free to have with citizens without implicating
section 9, our conclusion is the same: A mere request for identification made by an officer in the course of an otherwise lawful police-citizen encounter does not, in and of itself, result in a seizure.
We have, however, decided cases in which we concluded, from the totality of circumstances, that police conduct that included a request for identification was sufficiently coercive to result in a seizure. The first of those cases was State v. Warner, 284 Or 147, 585 P2d 681 (1978). There, officers were investigating a reported armed robbery of a bar by two men late at night. The officers entered a second bar in a small town about 8 miles from the town where the robbery had occurred after seeing two men pull up to it and go inside. Without reasonable suspicion to believe that they were the men who committed the robbery, one officer stopped them as they began to leave. The officer told the two men about the robbery, said that he needed to ask them some questions, and asked them to return inside the bar; once back inside, the officers asked the men to remove their wallets from their pockets, take out their identifications, and place that identification on the table in front of them. The officer then informed the defendant that he could “be on [his] way” as soon as the officer was able to “clear this matter up.” According to the officer, he did not order the defendant to do anything, and the defendant was not obligated to remain, although the defendant was not told that. Id. at 150-52. The court concluded that the officer‘s actions in having defendant place his identification on the table, coupled with his statement that he was investigating a robbery and that the defendant and his companion would be on their way as soon as officers could clear up the matter, was, given “all the circumstances,” a temporary restraint of the defendant‘s liberty. Id. at 165.
for and verifying defendant‘s identification was a seizure); 354 Or at 432 (Brewer, J., concurring in the judgment of the court) (same). Nor do the other authorities on which Justice Walters relies support that result. See, e.g., Aidan Taft Grano, Casual or Coercive? Retention of Identification in Police-Citizen Encounters, 113 Colum L Rev 1283, 1315-19 (2013) (under Fourth Amendment, police remain free to request and verify identification; better rule among the divided federal circuits, however, is that retention of identification longer than reasonably necessary is a per se seizure).
State v. Painter, 296 Or 422, 676 P2d 309 (1984), similarly involved more than a mere request for identification. In that case, a deputy asked the defendant to produce his identification when he encountered the defendant in an alley at 3:00 a.m. The defendant turned over an expired Virginia driver‘s license and credit cards. The deputy retained those items while he frisked the defendant, called in a radio check of the identification, waited for the results of the radio check, and inquired further about the make and location of the defendant‘s car, which the defendant explained was broken down nearby. Id. at 424. This court concluded that the deputy had seized the defendant, given that the “defendant was, in fact, unable to leave” and thereby was unable to terminate the encounter and avoid the frisk at the point when the deputy had “retained [the] defendant‘s license and credit cards.” Id. at 425.
A final illustrative case is State v. Hall, 339 Or 7, 115 P3d 908 (2005). In Hall, an officer parked his vehicle next to the defendant as the defendant was walking along a street. The officer motioned for the defendant to approach the officer‘s vehicle, and the officer then exited his vehicle as the defendant neared. The officer asked to see the defendant‘s identification. When the defendant handed his identification to the officer, the officer radioed dispatch and requested a warrant check. While awaiting the results of
This court concluded that the encounter began as a noncoercive engagement between the officer and the defendant, but evolved into a seizure in the course of the officer‘s investigation. The court explained that the officer‘s “initial actions of stopping his vehicle next to [the] defendant and then gesturing for [the] defendant to approach him did not intrude upon [the] defendant‘s liberty of movement[.]” Id. at 19. But the court concluded that the nature of the encounter changed when the officer took the defendant‘s identification
and conducted a warrant check. The court acknowledged that the officer promptly returned the defendant‘s identification, but maintained that, at that point, the defendant was aware that he was the subject of a pending warrant check and, because of that fact, it was “difficult to posit” that a reasonable person would have felt free to leave. Id. The court further observed that the officer
“did nothing to dispel what would have been an objectively reasonable belief that defendant was restrained from leaving until [the officer] had received the results of the warrant check. Instead, immediately upon returning [the] defendant‘s identification card, [the officer] questioned [the] defendant about whether [the] defendant was carrying any weapons, knives, or illegal drugs, and he asked [the] defendant for consent to search [his] person.”
Id.
In combination, Warner, Painter, and Hall confirm, at least implicitly, our holding today. Police remain free to approach citizens and to ask for or impart information and to seek their cooperation. Asking a citizen to identify himself or herself and to show police a formal piece of identification is a form of cooperation and involves the kind of information that, as a general proposition, police are free to request. But when the content of the questions, the manner of asking them, or other actions that police take (along with the circumstances in which they take them) would convey to a reasonable person that the police are exercising their authority to coercively detain the citizen, then the encounter rises to the level of a seizure, the lawfulness of which must be analyzed as such.
The purely legal issue that remains is whether verification of identification is a further circumstance that elevates a mere encounter to a seizure. We see no principled basis for concluding that, when an officer checks the validity of a proffered identity or piece of identification, such an action per se conveys to a reasonable person—who is not otherwise restrained and who has willingly tendered the information to the officer—that the officer is now exercising his or her authority to coercively restrain the person‘s liberty or freedom of movement. To be sure, as we have already discussed, a person tendering identification to an officer may not subjectively feel comfortable refusing the officer‘s request. Instead, for any number of personal reasons or instincts, the person may be unwilling to decline the officer‘s request. Those internalized motivations and feelings, however, are not the test for whether there is a seizure under
D. Analysis of the Circumstances of this Case
With those conclusions in place, we turn to the specific circumstances of this case to determine whether Gerba, either by requesting defendant‘s identification or by verifying its validity, seized defendant for purposes of
As we previewed, defendant first argues that Gerba seized him by asking defendant his age and asking to see his identification. In making that argument, defendant focuses on the context in which Gerba made the request. In particular, defendant points to the fact that defendant was in an age-restricted store when Gerba approached him and made those requests. In that setting, defendant reasons, a reasonable person in defendant‘s position would have believed that Gerba was investigating him to determine if he should be in the store, and he therefore was required to remain and interact with Gerba.
We agree that the age-restricted nature of the store provided significant context for determining whether anything in the content of Gerba‘s questions made what would otherwise be a “mere encounter” an exercise of police coercion. Asking a person his or her age in such a setting with no accompanying exercise of authority to restrain, however, would not cause a reasonable person to believe that the officer had significantly restricted his or her liberty.18 To the contrary, at most, a person so questioned might reasonably expect to be told to leave if he or she either would not or could not produce valid identification sufficient to verify that he or she was not a minor. That consequence, however, would not be coercive for purposes of
Equally important, a reasonable person engaged in an age-restricted activity would expect to be questioned about his or her age, particularly if the person objectively appears close to the minimum age or within an age range where it is customary (as for purchasing alcohol) to request proof of age. Proof-of-age requests and examinations are customarily made in those settings, by private proprietors of businesses (bartenders, clerks of stores where alcohol or tobacco are sold) as well as by law enforcement personnel. Asking a person‘s age and requesting proof of it is not conduct “significantly beyond that accepted in ordinary social intercourse” in that setting. Holmes, 311 Or at 410. A reasonable person shopping in a store where minors are not allowed would likely consider those questions appropriate and expected, even if they caused “inconvenience or annoyance“; a reasonable person would not reasonably view those questions, however, as conveying a significant restraint on the person‘s liberty or freedom of movement. See id. at 411 (a reasonable motorist encountering a motor vehicle accident would “expect some delay or interruption in his or her travel[; a]lthough possibly annoyed or inconvenienced *** a reasonable motorist would appreciate being advised of what was happening“).
Thus, consistently with the general rule that verbal inquiries ordinarily are not seizures, there was nothing distinctive about the content of Gerba‘s questions that caused his mere inquiries to amount to a seizure.19 Neither did the manner of Gerba‘s request to see defendant‘s identification amount to a seizure. Defendant points to nothing—and the record reveals nothing—to suggest that Gerba was overbearing, intimidating, or coercive in his demeanor or behavior. Gerba merely asked for, and defendant complied with, his request for identification. Defendant was not seized as a result of Gerba‘s request.
Defendant nevertheless argues that, even if the deputy‘s questioning did not have the effect of seizing him, he was seized once Gerba had obtained his identification. Citing Painter, 296 Or at 425, defendant asserts that he was seized when Gerba accepted his license because he “was, in fact, unable to leave.” Painter does not stand for the proposition that an officer seizes a person by simply accepting and looking at a person‘s identification after a noncoercive request; rather, at a minimum, some exercise of coercive authority by the officer, such as retention of the identification after examination and a continuation of investigatory activities, is required. See id. (seizure when officer retained defendant‘s identification and credit cards before frisking him, running radio check, and questioning him because the “[d]efendant was, in fact, unable to leave“). No similar exercise of coercive authority occurred in this case. Gerba did not “retain” defendant‘s license beyond a reasonable period for purposes of examining and verifying it, which was dispositive in Painter. Rather, Gerba held defendant‘s license for 10-15 seconds before returning it. We are hard-pressed to see how holding a person‘s license for no more than 15 seconds, pursuant to the person‘s voluntary production of that license, could result in a significant restriction of a person‘s liberty on that basis alone. For those reasons, we conclude that defendant was not seized when Gerba accepted and inspected defendant‘s identification.
III. CONCLUSION
In summary, we reaffirm that police requests for information or cooperation do not implicate
Here, defendant was not seized either by Gerba‘s request to see defendant‘s identification or by Gerba‘s call to dispatch to check the validity of that identification. No other circumstances, in combination with Gerba‘s requests and verification, would have led a reasonable person in defendant‘s position to conclude that the officer was restraining him. The trial court therefore correctly denied defendant‘s motion to suppress.
The decision of the Court of Appeals is reversed. The judgment of the circuit court is affirmed.
WALTERS, J., concurring in the judgment.
The majority holds that
In my view,
My analysis does not end there, however. In my view,
In this case, I would hold that the police officer‘s conduct was constitutionally justified.
The majority‘s reasoning is different. The majority concludes that the encounter in this case was not a seizure. Consequently, the majority permits officers to initiate similar encounters without constitutional justification.
In State v. Hall, 339 Or 7, 115 P3d 908 (2005), this court described the initial encounter between a police officer and the defendant as nonintrusive, but determined that when the officer asked for, obtained, and quickly returned the defendant‘s identification, and then radioed for a “warrant check,” the nature of the encounter changed. Id. at 19. The court found it “difficult to posit” that a defendant who was cognizant that the officer was investigating whether he was the subject of any outstanding warrants would feel free to leave. Id. The court concluded that the officer‘s inquiries and actions changed the situation from a noncoercive encounter to a “seizure” under
In the present case, police officers similarly asked defendant for his identification, retained it briefly, and investigated its validity. Defendant similarly and reasonably would have believed that he was the subject of a criminal investigation and therefore must remain until the immediate investigation was complete. It is a crime for a minor to misrepresent his or her age to secure a benefit which by law is denied to minors,
The majority disagrees. The majority characterizes the officer‘s inquiries and actions as “no more than seek[ing] the individual‘s cooperation through noncoercive questioning and conduct.” 354 Or at 417. The majority then concludes that “something more” is required to make the officer‘s investigation a seizure. Id. at 417. The majority does not overrule, clarify, or distinguish Hall, nor does it now “posit” that an individual who reasonably would believe that he or she was subject to a criminal investigation would feel free to leave. Id. at 412. Rather, the majority reasons that a reasonable person in defendant‘s position would “expect” to be questioned about his or her age, to produce proof of age, and to have its validity investigated, id. at 415, and would deem such investigation “appropriate,” id. at 415 (emphases added). Further, the majority concludes, the officer‘s retention of defendant‘s identification did not extend “beyond a reasonable period,” id. at 416 (emphasis added), did not constitute a “significant” restraint on defendant‘s liberty, and therefore was not a seizure. Id. at 417 (emphasis in original).
The change in analysis from Hall to Backstrand is striking. Not only does it break faith with Hall, it does not meet the challenge that Justice Harlan set and that this court quoted in State v. Campbell, 306 Or 157, 165, 759 P2d 1040, 1044-45 (1988) (quoting United States v. White, 401 US 745, 786, 91 S Ct 1122, 1143, 28 L Ed 2d 453 (1971) (Harlan, J., dissenting)):
“[I]t is the task of the law to form and project, as well as mirror and reflect, [and] we should not, as judges, merely recite the expectations and risks without examining the desirability of saddling them upon society.”
In Fair, also decided this year, the court explained that a seizure occurs when an officer engages in a “show of authority that would cause a reasonable person in [the] defendant‘s circumstance to believe that [his or] her liberty had been significantly restricted.” 353 Or at 615 (emphases added). The majority now states that, to constitute a seizure, the officer‘s show of authority must cause a “reasonable person to believe that the officer intentionally and significantly has restricted, interfered
As noted, the majority explains that no seizure occurred because a young person present in an age-restricted shop reasonably “expect[s]” questions about his or her age and finds them “appropriate,” id. at 415, and reasonably “expect[s]” that if he or she produces identification, a police officer will examine it and take steps to verify its validity, id. at 417 (emphases added). The majority concludes that the officer‘s retention of defendant‘s identification was of “reasonable” duration and did not constitute a “significant” restraint on defendant‘s liberty. Id. at 416 (emphasis added). The majority thereby determines whether a seizure occurred, not by analyzing whether a reasonable person would believe that an officer had restricted his or her liberty, but by determining whether a person subject to such restraint would believe the officer to have acted reasonably.
To illustrate the significance of the shift in focus from restraint to reasonableness, I pose the following hypothetical circumstance—a circumstance in which a police officer informs an individual that the officer is conducting a criminal investigation and, as a part of that investigation, explicitly directs the individual to remain and produce identification. In that circumstance, I venture that the majority would hold that the officer had seized the individual because the officer‘s show of authority would cause a reasonable person to believe that the officer had restricted his or her freedom of movement. See id. at 410-12 (discussing cases in which the court held police action “sufficiently coercive to result in a seizure“). I also venture that the majority would consider that explicit communication to be a seizure without regard to whether the individual expected it or considered it appropriate, and even if the officer‘s retention of the identification was not of unreasonable duration.
In the circumstance in which a police officer does not explicitly order an individual to halt and produce identification, but approaches the individual and requests, obtains, and investigates the individual‘s identification, the question should be whether the officer nevertheless communicates that the individual is not free to leave. See Nadler, 2002 Sup Ct Rev at 188 (“For example, citizens generally do not interpret ‘Can I please see your license and registration?’ as spoken by a police officer as a genuine request; it is a command, and everyone understands this.“).
In urging that analysis, I do not challenge the majority‘s statement of an objective test—whether the officer conveys a message that would cause a reasonable person to believe that the officer had restricted the person‘s freedom of movement. I also do not mean to imply that a seizure occurs whenever “an individual—for reasons personal to that individual—feels obliged to cooperate with the officer simply because of the officer‘s status.” 354 Or at 402. I agree that the focus must be on the message that the officer conveys, and that when an officer conveys only his or her status, the officer does not effect a seizure, even though an individual may feel it would be polite to remain. The point that I want to make is that, when a court looks at the message that an officer conveys, the court should look at whether the officer conveys a message of restraint, not at whether the officer‘s message was expected, appropriate, or reasonable.
I am not sure why the majority focuses its inquiry on reasonableness rather than restraint.3
In the search context, consent makes a search constitutionally permissible by demonstrating that the search, even though warrantless, is reasonable. State v. Paulson, 313 Or 346, 351, 833 P2d 1278, 1281 (1992). Consent does not make a search into noncoercive action to which
The majority also errs in three other ways. First, the majority errs in concluding that, in the circumstances presented here, asking a person‘s age and requiring proof of age is not “significantly beyond that accepted in ordinary social intercourse.” 354 Or at 415 (quoting Holmes, 311 Or at 410). Although bartenders or clerks may ask for proof of age when a young-looking person enters a bar or makes a purchase, it is the patron who initiates the encounter and seeks the benefit. In ordinary social intercourse, a stranger does not approach another and ask for proof of identification. Many reasonable people expect others to leave them alone unless they seek or need assistance, and
Second, the majority fails to consider the ways in which its decision may encourage both the public and the police to act in ways that are contrary to societal interests. It is in the best interest of society that the public cooperate with police investigations and stop, respond, and remain until such an investigation is complete. By holding that an individual who reasonably believes that he or she is being subjected to such investigation is, instead, free to leave, the majority encourages public conduct that is contrary to that interest. It also is in the best interest of society that the public respect the police. By holding that officers are permitted to approach members of the public and ask for, obtain, and investigate their identification without constitutionally sufficient justification for that conduct, the majority encourages officers
Third, the majority fails to state a standard for determining whether a seizure has occurred that all can understand and follow. In Hall, the police officer requested that the defendant produce identification, and then conducted a warrants check. The court nonetheless held that the officer had seized the defendant. 339 Or at 19. In this case, the officer made the same request and conducted a similar investigation, but the majority holds that the officer did not seize defendant. 354 Or at 413-14. The majority holds that the officer merely sought defendant‘s cooperation. It is not easy to discern why the officer in Hall did “more.” Id. at 417. I urge a brighter line and a rule that, when an officer approaches a member of the public and requests, obtains, and investigates that individual‘s identification in circumstances in which the individual reasonably would believe that he or she is the subject of a criminal investigation, the officer seizes the individual unless the officer clearly explains that the individual is free to leave and need not respond or remain.5 Under that rule, phrasing and after-the-fact-matching would not determine constitutional rights. And, just as importantly, an officer with a constitutional basis for taking those actions, like the officer in this case, would be free to detain the individual for as long as reasonably necessary to complete the immediate investigation.
Because I believe that, in the circumstances presented in this case,
Baldwin, J., joins in this concurring opinion.
BREWER, J., concurring in the judgment of the court.
When, albeit politely, a uniformed police officer approaches a person on the street and requests the person‘s identification, it is a fiction to suggest that most people would believe that they have a right to refuse the request or that, if they did, it would be prudent or safe to do so. When they comply with such requests, as most law abiding persons likely would do, it is generally fair to characterize such compliance as acquiescent, not consensual, voluntary, or, for that matter, the product of mere conversation. My concern is that, although this case involves very different facts, the majority‘s treatment of it may compel the conclusion that, as long as they do so in a civil manner, police are free, in the absence of any articulable justification, to ask anyone in a public place for their identification without effecting an unreasonable seizure of their persons or effects under
“No law shall violate the right of the people to be secure in their persons, houses, papers, and effects, against unreasonable search, or seizure[.]”
Unlike the protections of the
The first question here—which is where the majority begins and ends its analysis—is whether defendant was seized when the police officer requested or later held, for a brief period, his identification. This court has struggled earnestly to give meaningful content to the inquiry into whether police-citizen encounters involve a significant interference with a person‘s liberty of movement. This court held in Holmes:
“[L]aw enforcement officers remain free to approach persons on the street or in public places, seek their cooperation or assistance, request or impart information, or question them without being called upon to articulate a certain level of suspicion in justification if a particular encounter proves fruitful. A street or public place encounter does not amount to an
Article I, section 9 [,] ‘seizure’ merely because the encounter may involve inconvenience or annoyance for the citizen and the other party to the encounter is known to be a law enforcement officer. Even physical contact does not transform the encounter into a ‘seizure’ if it is a normal means of attracting a person‘s attention (e.g., policeman tapping citizen on the shoulder at the outset to get a citizen‘s attention). See LaFave, 3 Search and Seizure, A Treatise on the Fourth Amendment 413, § 9.2(h) (2d ed 1987). Rather, the encounter is a ‘seizure’ of a person only if the officer engages in conduct significantly beyond that accepted in ordinary social intercourse. The pivotal factor is whether the officer, even if making inquiries a private citizen would not, has otherwise conducted himself in a manner that would be perceived as a nonoffensive contact if it had occurred between two ordinary citizens.”
311 Or at 410. Cf. Wayne R. LaFave, 4 Search and Seizure § 9.4(a), 581-82 (5th ed 2012) (observing that “the confrontation is a seizure only if the officer adds to those inherent pressures by engaging in conduct significantly beyond that accepted in social intercourse[,]” which include moral and instinctive pressures to cooperate).
For some time, courts in Oregon and elsewhere wrestled with a formulation of the Holmes test that asked whether a reasonable person, in the position of the subject citizen, would feel free to terminate or leave the encounter. State v. Ashbaugh, 349 Or 297, 313, 244 P3d 360 (2010). That formulation, which was borrowed from Fourth Amendment case law, was especially problematic and ultimately unhelpful because, for among other reasons, any viable test for the existence of a seizure cannot depend solely on how a typical reasonable person would react to contact with an inquiring police officer. As one commentator has explained:
“[I]f [the free to walk away language] is taken to mean that a pedestrian whose movements have been interrupted and who is questioned is likely to feel free to depart without responding, it is a highly questionable conclusion. As noted in Illinois Migrant Council v. Pilliod, 398 F Supp 882 (ND Ill 1975): ‘Implicit in the introduction of the [officer] and the initial questioning is a show of authority to which the average person encountered will feel obliged to stop and respond. Few will feel that they can walk away or refuse to answer.’ This, it is submitted, is an accurate characterization of the great majority of situations in which an officer approaches a pedestrian and seeks an explanation for his activities or even identification. Thus, if the ultimate issue is perceived as being whether the suspect ‘would feel free to walk away,’ then virtually all police-citizen encounters must in fact be deemed to involve a Fourth Amendment seizure. The
[standard] should not be given such a literal reading as to produce such a result.”
LaFave, 4 Search and Seizure § 9.4(a) at 579-80.
In an effort to clarify the limits of police inquiries that do not amount to a seizure, this court has recently explained:
“[A] law enforcement officer constitutionally may halt and briefly detain a person passing through a public area as a means to engage the citizen long enough to impart information or seek the citizen‘s cooperation or assistance. As Holmes emphasized, police are free to ‘approach persons on the street or in public places, question them, and even accompany them to another location without the encounter necessarily constituting a ‘seizure’ of a person[.]’ 311 Or at 409. As State v. Gerrish, 311 Or 506, 815 P2d 1244 (1991), emphasized, especially in the case of a motorist, halting and briefly detaining a citizen, even when done pursuant to an officer‘s show of authority, is often a nonintrusive and socially inoffensive way to seek a citizen‘s cooperation or impart information. 311 Or at 513. The important distinction in both cases was the public nature of the encounter and the practical reality that authoritatively halting the passing motorists is often the only practical means for police to have an exchange with them. No seizure occurs because the police conduct is not a socially intrusive exercise of police authority in those particular settings and circumstances.”
State v. Fair, 353 Or 588, 598, 302 P3d 417 (2013) (footnote omitted).
The majority rightly points out that most people accept the need to give identifying information in public settings, including in commercial transactions and in entering public buildings. But that isn‘t this case. Here, defendant was in a public place—a store. Although the proprietor had a right, indeed a duty, to ascertain his age if there was a legitimate question about his presence in age-restricted premises, if another person in the store had asked to take and examine his identification, the intrusion would palpably exceed the bounds of socially acceptable behavior. For me, it is insufficient to say that police have authority to seek information and cooperation from citizens in public places. They do, depending on the circumstances. But, because requests for cooperation can take many forms and cover a full spectrum of intrusiveness, the devil is often in the details. People don‘t ask each other for identification in ordinary public encounters, no matter how politely the request is phrased. Put more bluntly, we don‘t live in a society where it is acceptable for someone to approach another person in a public place and ask for—let alone take, examine, and verify—“their papers.” For that reason, it is far from clear that the police are entitled to take such actions either, unless, of course, the circumstances make them reasonable.
I would be remiss in failing to acknowledge that this court in Holmes and in later decisions, including Fair, appears to have rejected concerns similar to the ones that I have just expressed. In Ashbaugh, for example, the court stated that, even though the officer “asked defendant a question that one private citizen ordinarily would not ask another,” there was nothing about the officer‘s words that would be perceived as a show of authority that restricted her freedom of movement. 349 Or at 317. Accordingly, the court concluded that a reasonable person in the defendant‘s position would not believe that the officer had significantly restricted her liberty of movement. Id. at 316. The same point has been made in different words by Professor LaFave:
“The critical factor is whether the [police officer], even if making inquiries a private citizen would not, ha[ve] otherwise conducted [themselves] in a manner that would be perceived as a nonoffensive contact if it had occurred between two ordinary citizens.”
LaFave, 4 Search and Seizure § 9.4(a) at 582-83.
Frankly, I am hard pressed to make sense of such statements, because they shed little light on whether a person‘s liberty of movement has been significantly restricted by an investigatory request during a police encounter. Although courts and commentators have described citizen deference to such
That approach should entail narrowing to a more straightforward and realistic scope what we mean by “mere conversation” between citizens and police officers and then assessing the constitutionality of seizures that exceed that threshold under the reasonableness standard that the text of
It follows that police conduct that would suggest to a reasonable person that the person is the focus of a police investigation, and that the person is obligated to cooperate until the investigation is completed, should be understood for what it is: a constitutionally significant interference with the person‘s freedom of movement. See, e.g., State v. Hall, 339 Or 7, 19, 115 P3d 908 (2005) (police seized the defendant when they took his identification for warrant check, because reasonable person would believe that his or her freedom of movement had been restricted when person is subject of pending warrant check); Thompkin, 341 Or at 378 (same). In my view, that is what happened here. The officer approached defendant and his companion in an adult bookstore with a posted 18-year minimum age and asked their ages. Apparently not satisfied with defendant‘s answer, the officer then asked to examine their identifications. After doing so, the officer called dispatch to verify the validity of the licenses. In combination, those actions would communicate to a reasonable person in defendant‘s position that he or she was the subject of a police investigation and must cooperate until the investigation was completed. Accordingly, I would conclude that the officer seized defendant by requesting, taking, and running through dispatch defendant‘s identification.
The question remains whether the seizure was “unreasonable” for purposes of
At first blush, it might seem odd—indeed, unnecessary—to reach that issue in this case. After all, if, having unmasked the fiction that the interaction in this case involved mere conversation, the court were to conclude that a seizure occurred, then there is little room for the state to maneuver under the three-category model of police-citizen encounters that the court recognized in Holmes. As the court recently reiterated:
“Analytically, police-citizen encounters typically fall into one of three categories that correlate the degree of intrusiveness on a citizen‘s liberty with the degree of justification required for the intrusion *** At one end of the continuum are mere encounters for which no justification is required. At the other end are arrests, which involve protracted custodial restraint and require probable cause. In between are temporary detentions for investigatory purposes, often termed ‘stops,’ which generally require reasonable suspicion. Both stops and arrests are seizures for constitutional purposes, while less restrictive encounters are not.”
Fair, 353 Or at 593 (citing Holmes, 311 Or at 408-09) (internal citations omitted). Because the state does not assert that the officer had reasonable suspicion—let alone probable cause—to believe that defendant was engaging in criminal conduct, the circumstances here do not fit into any of the three “typical” categories of permissible encounters. However, the court in Holmes elaborated that “[t]he three categories are guidelines only. They are neither exhaustive nor conclusive as to what police action is a ‘seizure’ of a person.” 311 Or at 407-08. The circumstances of this case invite consideration of the issue whether another kind of seizure occurred that was reasonable.
Defendant and his companion were in an adult bookstore when the officer encountered them. The owner, operator, or manager of such an establishment has a statutory duty under the criminal code not to knowingly or recklessly permit an unaccompanied minor to enter and remain on such premises.
I acknowledge that there is no generic “community caretaking function.” Whether law enforcement officers have specific functions is a matter of statutory law.
“(1) Except as otherwise expressly prohibited by law, any peace officer of this state is authorized to perform community caretaking functions.
“(2) As used in this section, ‘community caretaking functions’ means any lawful acts that are inherent in the duty of the peace officer to serve and protect the public. ‘Community caretaking function’ includes, but is not limited to:
“(a) The right to enter or remain upon the premises of another if it reasonably appears to be necessary to:
“(A) Prevent serious harm to any person or property; “(B) Render aid to injured or ill persons; or
“(C) Locate missing persons.
“(b) The right to stop or redirect traffic or aid motorists or other persons when such action reasonably appears to be necessary to:
“(A) Prevent serious harm to any person or property;
“(B) Render aid to injured or ill persons; or
“(C) Locate missing persons.
“(3) Nothing contained in this section shall be construed to limit the authority of a peace officer that is inherent in the office or that is granted by any other provision of law.”
In this case, protecting a minor from being the victim of a crime is properly inherent in the duty of a peace officer to serve and protect the public. Therefore, the officer in this case was authorized by statute to ascertain the age of defendant and his companion if the officer reasonably believed that they were underage. However, the mere exercise of an activity under
This court has not had an occasion to fully explore the relationship between the range of community caretaking functions that
The concept of a community caretaking or public safety function stems from a recognition that “[l]ocal police have multiple responsibilities, only one of which is the enforcement of criminal law[.]” State v. Acrey, 148 Wash 2d 738, 64 P3d 594, 599 (2003); see also Cady v. Dombrowski, 413 US 433, 441, 93 S Ct 2523, 37 L Ed 2d 706 (1973). The modern police officer is a “jack-of-all-emergencies” with “complex and multiple tasks to perform in addition to identifying and apprehending persons committing serious criminal offenses‘; by default or design he [or she] is also expected ‘to aid individuals who are in danger of physical harm,’ ‘assist those who cannot care for themselves,’ and ‘provide other services on an emergency basis.” LaFave, 3 Search and Seizure § 5.4(c) at 263 (citing Am Bar Ass‘n, Standards for Criminal
For those reasons, performance of a community caretaker function permits, in proper circumstances, police requests for, and the reasonable retention of, identification from people whom they encounter in the performance of their duties. State v. Ellenbecker, 464 NW2d 427, 428 (Wis App 1990); see also O‘Donnell v. State, 409 SE2d 579, 582 (Ga App 1991) (“[C]onsidering [the driver] had voluntarily stopped in a public rest area, parked, and laid down in the vehicle late at night, causing [the] Trooper to have a legitimate concern primarily regarding his medical status, it was not unreasonable for the officer thereafter to initiate promptly a routine and limited inquiry to determine the driver‘s identity.“); State v. Brunelle, 766 A2d 272, 274 (NH 2000) (holding that an officer‘s request for the driver‘s license and vehicle registration of the driver of a disabled vehicle was part of a limited community caretaking exception, and that such request was reasonable “in the event that any questions about the vehicle or [the trooper‘s] contact with the owner subsequently arose“).
Of course, community caretaking authority is not an excuse for carrying out a criminal investigation of the person being assisted. Rather, such an encounter must be based upon specific, articulable facts establishing the need for intervention by an officer. See State v. Page, 140 Idaho 841, 844, 103 P3d 454 (2004) (officer stopping pedestrian to check on well-being exceeded community caretaking function by taking pedestrian‘s driver‘s license and running a warrants check; retention of driver‘s license constituted an unreasonable seizure); People v. Gonzalez, 204 Ill 2d 220, 224, 789 NE2d 260 (2003) (officer not entitled to request identification from passenger stopped under community caretaking function where state failed to explain how request served a public safety function).3 In addition, once
it is determined that a person does not require assistance, a request for identification cannot be justified under the community caretaking doctrine. State v. DeArman, 54 Wash App 621, 774 P2d 1247, 1249-50 (1989) (holding that officer acting in community caretaking capacity had no reasonable basis to request identification once he determined that driver did not require assistance). However, if contraband or other evidence of crime is discovered incident to the lawful performance of an officer‘s duties under the community caretaker function, the officer need not ignore that which is discovered. LaFave, 3 Search and Seizure § 5.4(c) at 263-64 (“[E]vidence of crime is sometimes inadvertently come by when a person is searched for some purpose not directly tied to the objective of detecting criminal activity[.] *** If a reasonable and good faith search is made of a person for such a purpose, then the better view is that evidence of crime discovered thereby is admissible in court.“).
Following an in-depth analysis of various concerns informing the community caretaking doctrine, the Supreme Court of Montana adopted the following three-part test to ensure its proper application:
“First, as long as there are objective, specific and articulable facts from which an experienced officer would suspect that a citizen is in need of help or is in peril, then that officer has the right to stop and investigate. Second, if the citizen is in need of aid, then the officer may take appropriate action to render assistance or mitigate the
peril. Third, once, however, the officer is assured that the citizen is not in peril or is no longer in need of assistance or that the peril has been mitigated, then any actions beyond that constitute a seizure implicating *** the protections provided by the Fourth Amendment, but more importantly, those greater guarantees afforded under [the state constitution].”
State v. Lovegren, 310 Mont 358, 51 P3d 471, 475-76 (2002); see also Williams v. State, 962 A2d 210 (Del 2008) (adopting same test under Delaware Constitution).
That test and the principles underlying it make good sense to me. They have the advantage of being practical in relation to a rational understanding of police duties and being more workable in the trenches than some other efforts to define and apply additional categories of permissible police-citizen encounters. See, e.g., People v. De Bour, 40 NY2d 210, 352 NE2d 562 (1976).4 They also are free of some of the confusing factual undergrowth that inheres in the line-drawing that is required under the broader understanding of the scope of mere conversation to which the majority subscribes and which, to be fair, this court, has historically endorsed. The sorts of split-second decisions that people—both officers and citizens—must make in often-spontaneous street encounters should not hinge so much on variations in tone of voice, demeanor, and the other indicia that the current state of the decisional law emphasizes.
So, where does that leave things in this case? The trial court found that, if anything, the officer was investigating whether defendant was the victim of a crime. The supporting evidence showed that, based on their appearances, the officer believed that defendant and his companion were underage. If defendant had been underage, and if the operator of the bookstore had recklessly or knowingly disregarded that fact, then defendant would have been the victim of a violation of
Notes
“Unreasonable: 1. Not agreeable to reason. 2. Exceeding the bounds of reason; claiming or insisting on more than is fit; as an unreasonable demand. 3. Immoderate; exorbitant; as an unreasonable love of life or money. 4. Irrational.”
As pertinent here, the same source defined “reason” as:“The cause, ground, principle or motive of any thing said or done; that which supports or justifies a determination, plan or measure ***. A faculty of the mind by which it distinguishes truth from falsehood, and good from evil, and which enables the possessor to deduce inferences from facts or from propositions.”
People v. Hollman, 79 NY2d 181, 184-85, 590 NE2d 204 (1992) (explaining De Bour model). One commentator has suggested that such an approach produces “more slide than scale.” Anthony G. Amsterdam, Perspectives on the Fourth Amendment, 58 Minn L Rev 349, 394 (1974).“If a police officer seeks simply to request information from an individual, that request must be supported by an objective, credible reason, not necessarily indicative of criminality. The common-law right of inquiry, a wholly separate level of contact, is ‘activated by a founded suspicion that criminal activity is afoot and permits a somewhat greater intrusion.’ Where a police officer has reasonable suspicion that a particular person was involved in a felony or misdemeanor, the officer is authorized to forcibly stop and detain that person. Finally, where the officer has probable cause to believe that a person has committed a crime, an arrest is authorized.”
