STATE of Wisconsin, Plaintiff-Respondent-Petitioner, v. Kelly R. FERGUSON, Defendant-Appellant.
No. 2007AP2095-CR
Supreme Court of Wisconsin
Oral argument December 16, 2008. Decided June 16, 2009.
2009 WI 50 | 767 N.W.2d 187
PATIENCE DRAKE ROGGENSACK, J.
For the defendant-appellant there was a brief by Jefren E. Olsen, assistant state public defender, Madison, and oral argument by Jefren E. Olsen.
¶ 1. PATIENCE DRAKE ROGGENSACK, J. We review a decision of the court of appeals,1 which reversed the circuit court‘s judgment2 convicting Kelly R. Ferguson (Ferguson) of misdemeanor obstructing an officer pursuant to
stances could have been given under the evidence
I. BACKGROUND
¶ 2. On December 29, 2005, at around 4:30 in the morning, Wausau police responded to a report of an attempted break-in at a residence. When the police arrived, they spoke with the person who had telephoned, a tenant of the apartment building‘s lower floor, who complained that the upstairs tenant, Ferguson, had pounded on his door and threatened to evict him. The lower tenant explained that Ferguson was not the landlord and had no authority to evict him.
¶ 3. Following this interaction, the officers proceeded to Ferguson‘s apartment. They knocked on the door and Ferguson answered. They asked Ferguson if she had been downstairs earlier. The officers testified that she said “no,” and then became belligerent, yelling and swearing at the officers. They said that while Ferguson was yelling, her nephew, also a resident of Ferguson‘s apartment, attempted to grab her arm and calm her down. The officers testified that Ferguson shoved her nephew at this point and that she directed profanities at him and told him to pack up his things and move out. Ferguson disputes this.
¶ 4. Until this time, the officers were outside of Ferguson‘s apartment, while Ferguson and her nephew were inside of the apartment. However, following
¶ 5. The officers then escorted Ferguson out of her apartment. According to trial testimony, she continued to resist:
Q Was she cooperative with you going down the stairs?
A No. She would do shoulder shifts back and forth to try to either break free, then she was what we call dead weight tactics, where an individual goes limp, and then you have to struggle more to hold them up and so forth. This creates a danger for the individual and us, especially when they are going down a flight of stairs.
There was a point halfway through the stairs where she picked her legs up, kind of up in front of her, and started almost a bicycle motion with her feet, flailing her feet around.
Q How were her arms? Were they flailing about also?
A They [were] handcuffed, and we were holding them. I said there wasn‘t much she could do with her arms. Mostly it was an upper torso shift back and forth.
....
[W]hile she was kicking with her legs, I either got kicked with her foot or knee in the thigh. It was kind of like a charlie horse feeling as we continued down the stairs. Eventually we got her to the bottom of the stairs safely without anyone else getting injured.
Q During the taking her down the stairs, how would you characterize the defendant‘s demeanor, again using the one to ten level of volume?
A It was the same, ten.
Q Upon getting her to the bottom of the stairs, what then did you do?
A We escorted her to the car. The stairs are at the back of the residence. We picked the closest car, which happened to be in front by her driveway as we were parked across the street. We escorted her on the pavement along the driveway, and at the front of the house where the sidewalk and boulevard is, that‘s where [the] squad was parked, and we got her to the squad there.
....
Q When you were taking her to that squad, what was the state of her pants?
A Well, we were kind of rushing her to the car because she was yelling and so forth. Her pants began to fall down, I suspect because of all the kicking she was doing. As we got to the rear of the squad, I still had her, ahold of her with one arm and began to try to pull up her trousers with my left hand, and she counteracted my efforts by kicking more to actually kick the pants off.
¶ 6. At trial, Ferguson requested that the circuit court use the following jury instruction for the “lawful authority” element of the obstruction charge:
Police officers act with lawful authority if their acts are conducted in accordance with the law. In this case, it is alleged that while the police were investigating a complaint made against the defendant Kelly Ferguson by her downstairs neighbors and she got so loud and abusive toward the officers that they found it necessary to arrest her at her home.
The police lack authority to make an arrest of a person in the person‘s home without a warrant unless exigent circumstances exist that require the arrest to take place immediately.
In this case, the police did not have an arrest warrant.
Exigent circumstances which justify a warrantless arrest inside the person‘s home, fall into four categories:
A. The police were in hot pursuit of the defendant at the time of her arrest inside her home.
B. The police had reason to believe evidence would be destroyed unless they made an arrest immediately[.]
C. The defendant was likely to flee.
D. The defendant was an immediate threat to the safety of others.
If none of these circumstances [existed], the arrest was made without lawful authority[.]
The circuit court rejected Ferguson‘s proposed jury instruction, and instead instructed the jury as follows:
Police officers act with lawful authority if their acts are conducted in accordance with the law. In this case, it is alleged that the officers were responding to and investigating a citizen complaint. During the course of doing so, the officers arrested the defendant.
An arrest is lawful when the officer has reasonable grounds to believe that the person is committing, has committed, or is about to commit a crime. An officer making an arrest may only use the amount of force reasonably necessary to take the person into custody.
Having been read these instructions, the jury convicted Ferguson of disorderly conduct and obstruction.
¶ 7. The court of appeals reversed Ferguson‘s conviction for obstruction. State v. Ferguson, No. 2007AP2095-CR, unpublished slip op., ¶ 11 (Wis. Ct. App. Jan. 29, 2008). It held that the jury instruction given by the circuit court for the lawful authority element of obstruction was an incorrect statement of the law. Id. Because Ferguson was arrested inside of her home without a warrant, the court of appeals focused only on Ferguson‘s conduct within her home and held that the police could be acting with lawful authority only if Ferguson‘s arrest was accompanied by “exigent circumstances.” Id. Because the jury was not instructed on exigent circumstances, the court of appeals concluded that “it is not possible in this case to say that Ferguson was obstructing the officers while they acted with lawful authority.” Id. (emphasis in original). The court of appeals reversed Ferguson‘s conviction and remanded the case for a new trial. Id.
II. DISCUSSION
A. Standard of Review
¶ 9. “[A] circuit court has broad discretion in deciding whether to give a particular jury instruction.” State v. Fonte, 2005 WI 77, ¶ 9, 281 Wis. 2d 654, 698 N.W.2d 594. A circuit court properly exercises its discretion when it fully and fairly informs the jury of the law that applies to the charges for which a defendant is tried. Id. Whether a jury instruction fully and fairly informs the jury of the law applicable to the charges being tried is a question of law that we review independently. Id. (citing State v. Groth, 2002 WI App 299, ¶ 8, 258 Wis. 2d 889, 655 N.W.2d 163). If the jury instruction given was not an accurate statement of the applicable law, then the circuit court has erroneously exercised its discretion. Peplinski v. Fobe‘s Roofing, Inc., 193 Wis. 2d 6, 23-24, 531 N.W.2d 597 (1995). We review whether it is “clear beyond a reasonable doubt that a rational jury would have found the defendant guilty absent the [instructional] error” as a question of law. State v. Harvey, 2002 WI 93, ¶ 46, 254 Wis. 2d 442, 647 N.W.2d 189.
B. The Parties’ Contentions
¶ 10. Ferguson challenges her conviction for obstruction, a violation of
¶ 12. The State argues that the officers acted in accordance with the law because they complied with
¶ 13. By contrast, Ferguson contends that the State‘s interpretation of “lawful authority” has no support in the law. She asserts that her constitutional rights were violated by the police‘s entry of her home without a warrant. She also asserts that no exigent circumstances were present that could justify the unconstitutional entry, but even if the jury could have found that exigent circumstances were present, the jury was not instructed properly to make such a finding.
C. “Lawful Authority”
¶ 14. A central question before us is whether the jury instruction given accurately conveyed the meaning
¶ 15. It is black letter law that a constitutional violation is an unlawful act. See, e.g., Segura v. United States, 468 U.S. 796, 829 (1984) (referring to Fourth Amendment violations as illegal conduct); Pennhurst State Sch. & Hosp. v. Halderman, 465 U.S. 89, 146 (1984) (concluding that acts that violate the Constitution are illegal); City of Milwaukee v. Kilgore, 193 Wis. 2d 168, 189, 532 N.W.2d 690 (1995) (noting that a use of police power in violation of constitutional due process is unlawful); State v. Smith, 131 Wis. 2d 220, 235, 388 N.W.2d 601 (1986) (stating that an arrest in violation of the state or federal Constitutions is unlawful).
¶ 16. Accordingly, we reject the State‘s broad interpretation of lawful authority because “lawful authority,” as that term is used in
¶ 17. An arrest is a seizure invoking protections afforded under the Fourth Amendment of the United States Constitution and Article I, Section 11 of the
¶ 18. A warrantless arrest executed inside of a home may be presumptively unlawful because the home
entry itself is presumptively unlawful. See Wong Sun v. United States, 371 U.S. 471, 484 (1963) (concluding that
¶ 19. However, not all warrantless home entries are unlawful. Payton merely states a presumption to which there are exceptions. For example, a home entry, though unaccompanied by a warrant, is lawful if “exigent circumstances” are present. Payton, 445 U.S. at 586-89; Richter, 235 Wis. 2d 524, ¶ 28 (concluding that the Fourth Amendment is not an absolute prohibition to a warrantless home entry); Smith, 131 Wis. 2d at 228 (concluding that exigent circumstances coupled with probable cause to arrest are sufficient to justify a home-based arrest conducted without a warrant). Exigent circumstances exist when “it would be unreasonable and contrary to public policy to bar law enforcement officers at the door.” Richter, 235 Wis. 2d 524, ¶ 28; see also Warden v. Hayden, 387 U.S. 294, 298-300 (1967).
¶ 20. The United States Supreme Court has recognized that exigent circumstances may be present in a number of different situations. See, e.g., Michigan v. Tyler, 436 U.S. 499, 509 (1978) (concluding that an ongoing fire was an exigent circumstance); United States v. Santana, 427 U.S. 38, 42-43 (1976) (holding that police in hot pursuit of a fleeing felon was an
[t]here are four well-recognized categories of exigent circumstances that have been held to authorize a law enforcement officer‘s warrantless entry into a home: 1) hot pursuit of a suspect, 2) a threat to the safety of a suspect or others, 3) a risk that evidence will be destroyed, and 4) a likelihood that the suspect will flee.
Richter, 235 Wis. 2d 524, ¶ 29 (citing Smith, 131 Wis. 2d at 229). The State bears the burden of proving that a warrantless home entry is justified by exigent circumstances. Id.
¶ 21. The exclusionary rule, which, if applied to unlawful police conduct, results in suppression of evidence obtained as a result of a constitutional violation, was developed in part to foster compliance with the Fourth Amendment‘s concern for the sanctity of the home. United States v. Crews, 445 U.S. 463, 474 (1980). Suppression is the usual remedy for a Fourth Amendment violation. Id.
¶ 22. The arrest and subsequent prosecution are not themselves invalidated, even though the initial entry may have been unlawful, so long as there was probable cause for the arrest. Id. As the United States Supreme Court explained in Crews:
[A defendant] cannot claim immunity from prosecution simply because his appearance in court was precipitated by an unlawful arrest. An illegal arrest, without
more, has never been viewed as a bar to subsequent prosecution, nor as a defense to a valid conviction.
Id. (further citations omitted).
¶ 23. However, Ferguson is not moving for suppression of any evidence, nor does she challenge her conviction for disorderly conduct. She challenges her conviction for obstruction because a substantive element of obstruction is whether the police were acting pursuant to their “lawful authority,” as
¶ 24. One of the officers testified as follows regarding the situation observed just outside Ferguson‘s door immediately prior to their warrantless home entry to arrest her:
When I was up at the door, next to [Ferguson], she was just waving her hands, pointing at me. I smelled an odor of intoxicants from what I believe were intoxicants, based on my experience. Again, because she didn‘t seem to respond to my request to calm down, within or after the first couple minutes or a minute or so [the other officer] stepped up to see if he could calm her down.
The other officer testified that immediately prior to entry:
I don‘t recall if she picked up a phone book or a telephone or something. But then the young gentleman we identified as her nephew ... was coming behind her. He was saying Auntie, Auntie, and he went to grab her and bring her back a little bit, to compose her, I believe, and that‘s when she pushed him out of the way and started
swearing and yelling at him, telling him to pack his F‘ing stuff and he can move out, too. ....
[B]ased on our encounter with her and her conduct and how she treated [her nephew] and pushed him, even in our presence, I determined it wouldn‘t be a good idea to just leave the situation and go back to the [police department]. I determined I was going to arrest her for disorderly conduct, at least so she can sober up for the night in the jail and not cause [her nephew] any harm after we leave.
¶ 25. The State argues that clearly exigent circumstances were present that justified their warrantless entry. However, the extent to which law enforcement is permitted to rely on exigent circumstances for a warrantless entry of a home has a relationship to the seriousness of the offense. As the United States Supreme Court explained in Welsh, where “the underlying offense for which there is probable cause to arrest is relatively minor,” courts should be very hesitant to find exigent circumstances. Welsh, 466 U.S. at 750. That is, “[w]hen the government‘s interest is only to arrest for a minor offense, ... the government usually should be allowed to make such arrest[] only with a warrant issued upon probable cause by a neutral and detached magistrate.” Id. The rationale for this holding is that the general presumption that police conduct accompanied by probable cause is reasonable is lessened when the underlying offense is minor.7 Id. at 750.
¶ 26. We acknowledge the distinction recognized in Welsh, and note that this distinction causes us to address State v. Mikkelson, 2002 WI App 152, 256 Wis. 2d 132, 647 N.W.2d 421. In Mikkelson, the court of appeals interpreted Welsh and Santana to impose a bright-line rule that police are justified in making a warrantless entry into a home only where the legislature had labeled the underlying offense as a felony. Mikkelson, 256 Wis. 2d 132, ¶ 17. Because the underlying offense in Mikkelson was a misdemeanor, the court of appeals held that any exigent circumstances present were insufficient to justify the police‘s warrantless entry into Mikkelson‘s home. Id. ¶ 27. Our review of the reasoning of Mikkelson, as compared with that of Welsh and Santana, causes us to overrule Mikkelson and to adopt Justice Prosser‘s concurrence in State v. Sanders, 2008 WI 85, 311 Wis. 2d 257, 752 N.W.2d 713. As Justice Prosser noted, Welsh and Santana did not create a bright-line rule requiring the underlying offense to be labeled a felony in order for exigent circumstances to justify a warrantless home entry.8 Id., ¶ 71 (Prosser, J., concurring). Instead, Welsh held that the gravity of the underlying offense is “an important factor to be considered when determining whether any exigency exists,” Welsh, 466 U.S. at 753, and that where the underlying offense is “a noncriminal, civil forfeiture offense for which no imprisonment is possible,” exigent circumstances will rarely, if ever, be present, id. at 754.D. Jury Instruction
¶ 31. Because “lawful authority” is an element of obstruction under¶ 42. The jury necessarily found that there were reasonable grounds to believe Ferguson was committing or had committed a crime because it convicted Ferguson of obstruction. In order to do so, the jury also had to find that the officers acted pursuant to their lawful authority. That is, under the instruction given, the jury must have found that the officers acted pursu-Police officers act with lawful authority if their acts are conducted in accordance with the law. In this case, it is alleged that the officers were responding to and investigating a citizen complaint. During the course of doing so, the officers arrested the defendant.
An arrest is lawful when the officer has reasonable grounds to believe that the person is committing, has committed, or is about to commit a crime. An officer making an arrest may only use the amount of force reasonably necessary to take the person into custody.
III. CONCLUSION
¶ 46. We conclude that, even though a jury instruction on exigent circumstances could have been given under the evidence presented to the jury, because Ferguson struggled with the officers outside of her home when she was in lawful custody of the police, the instruction given accurately set out the law for the officers’ actions at that time. Therefore, if omitting an instruction on exigent circumstances was error, it was harmless error. Accordingly, we reverse the decision of the court of appeals and affirm the circuit court‘s judgment of conviction.By the Court.—The decision of the court of appeals is reversed.
¶ 47. ANN WALSH BRADLEY, J. (concurring). The majority exhibits an unbridled exercise of power. What I mean by that phrase is that the majority ignores the normal restraints of an appellate court such as following precedent and letting the parties frame and argue the issues. Instead, it unnecessarily reaches out to overrule a prior decision that even the State acknowledges “was never raised” previously and “is not part of this case.” Why does the majority do this? Because it can. ¶ 48. I write separately because I cannot join the majority in overruling State v. Mikkelson, 2002 WI App 152, 256 Wis. 2d 132, 647 N.W.2d 421. As enunciated in the concurrence of Justice Crooks, not only is it unwarranted but the test the majority adopts in its stead is unworkable. Although I agree with the result of the majority, that the court of appeals should be reversed and the conviction affirmed, I do so based on a different rationale. Accordingly, I respectfully concur.1I
¶ 49. In Mikkelson, the court of appeals determined that hot pursuit of a fleeing misdemeanant was not by itself sufficient to justify a warrantless home entry. Id., ¶ 17. The holding in Mikkelson is not at issue here given that hot pursuit is not an issue in this case. ¶ 50. Ferguson has never relied on Mikkelson and has never argued that the officers’ home entry was unlawful because disorderly conduct is a misdemeanor. Instead, Ferguson has consistently asserted that the home entry was lawful only if she posed a threat to the safety of herself or her nephew, and it was necessary for the jury to decide whether that exigent circumstance was present. ¶ 51. Neither party cited Mikkelson at the circuit court or at the court of appeals. Further, both parties agree that it is not necessary for this court to address Mikkelson in order to resolve this appeal. Ferguson argues that Mikkelson is irrelevant because its holding is limited to hot pursuit, and this case involves a different exigency. At oral argument, the State agreed that Mikkelson need not be addressed: “If Ferguson‘s conviction is affirmed, as [defense] counsel points out,II
¶ 54. I agree wholeheartedly with Justice Crooks’ prediction that the majority‘s new test for exigent circumstances—whether the offense is jailable—is unworkable. His concurrence expresses doubt “that a law enforcement officer will easily be able to determine, perhaps in the middle of the night, and certainly without the knowledge of what offense the prosecuting authority will ultimately decide to charge, whether the offense involved ‘is a jailable or nonjailable offense.‘” Justice Crooks’ concurrence, ¶ 79. ¶ 55. This very case demonstrates the difficulties presented by the majority‘s approach. The majority concludes that “because the disorderly conduct with which Ferguson was charged was a jailable offense, the jury could have been permitted to decide whether exigent circumstances justified the police‘s warrantless entry into her home.” Majority op., ¶ 30.It is unclear whether at the time of the arrest for disorderly conduct, Officer Taylor intended for Ferguson to be charged with a crime or any offense at all. ¶ 57. If charged, it just as easily could have been for a civil forfeiture rather than a misdemeanor, but for Ferguson‘s post-arrest conduct. The Wausau Ordinances provide that the penalty for disorderly conduct is “a forfeiture of not less than ten dollars nor more than two hundred dollars for each offense.” Wausau Municipal Code §§ 1.01.110, 9.04.010. Under the Marathon County Ordinances, the penalty for first offense disorderly conduct is “not less than $5.00 nor more than $500.00.” Marathon County Ordinances § 25.04; see also id. §§ 9.01, 9.15. Neither the city nor the county ordinance provides that disorderly conduct is a jailable offense. ¶ 58. I predict, along with Justice Crooks, that law enforcement will labor under the uncertainty of the majority‘s newly contrived test. As city police officers step over the threshold to arrest for disorderly conduct,I determined it wouldn‘t be a good idea to just leave the situation and go back to the P.D. I determined that I was going to arrest her for disorderly conduct, at least so she can sober up for the night in the jail and not cause [her nephew] any harm after we leave.
III
¶ 59. After taking a detour to change Wisconsin law and decide issues that are wholly irrelevant to this case, the majority finally returns to the real question presented—whether the jury instruction properly described the law. See majority op., ¶¶ 31-45. It undertakes a contorted analysis, relying on language from New York v. Harris, 495 U.S. 14 (1990). ¶ 60. Yet, Harris is a very different case from the one presented here. In that case, pursuant to a “departmental policy” of arresting suspects at home but without a warrant, officers unlawfully entered Harris‘s home to arrest him for murder. Id. at 15-16; see also id. at 25 (Marshall, J., dissenting). They interviewed him inside the home, and Harris confessed. Id. at 16. The officers then transported him to the police stationQ: Was she cooperative with you going down the stairs?
¶ 67. He also testified that Ferguson obstructed the officers when they tried to place her in the squad car:A: No. She would do shoulder shifts back and forth to try to either break free, then she was what we call dead weight tactics, where an individual goes limp and then you have to struggle more to hold them up and so forth. This creates a danger for the individual and us, especially when they are going down a flight of stairs.
There was a point halfway through the stairs where she picked her legs up, kind of up in front of her, and started almost a bicycle motion with her feet, flailing her feet around.
....
She was flailing around, using dead weight tactics, and part of the way, while she was kicking with her legs, I either got kicked with her foot or knee in the thigh. It was kind of like a charlie horse feeling as we continued down the stairs. Eventually we got her to the bottom of the stairs safely without anyone else getting injured.
Officer Cihlar testified that she had been kicking, twisting around, and yelling, and by the time they arrived at the squad car, her pants were at her ankles.[W]e were kind of rushing her to the car because she was yelling and so forth. Her pants began to fall down, I suspect because of all the kicking she was doing. As we got to the rear of the squad, I still had her, ahold of her with one arm and began to try to pull up her trousers with my left hand, and she counteracted my efforts by kicking more to actually kick the pants off. She yelled, “Look at this. Wausau PD is stripping me down on the street,” and said something like she is going to tell everything, we stripped her down. I just opened the door at that point and put her in the car.
¶ 69. This conduct bears no relation to the purportedly unlawful entry for disorderly conduct. After the arrest, and after she was transported outside by the officers, Ferguson obstructed the officers by kicking, using dead weight tactics, and removing her clothing. This obstruction was a new and distinct crime. Under these facts, even if the initial arrest for disorderly conduct was unlawful, that cannot immunize Ferguson for prosecution for the second, separate crime. ¶ 70. The jury instruction for obstructing an officer given by the circuit court advised that officers act with “lawful authority” when they have probable cause to believe that a crime is, has been, or is about to be committed. Ferguson argues that the circuit court erred by failing to give a jury instruction defining “lawful authority” in the context of exigent circumstances which could make lawful the officers’ warrantless entry for disorderly conduct. I conclude that the circuit court gave the proper instruction. ¶ 71. Here, the crime of obstructing an officer is a new and distinct crime. Additionally, both the conduct[I was approximately 90 feet away from the squad car, and from that distance] I could hear thumping in the back of the squad, which is familiar to me as someone kicking the back of the cage, or the inner door area, as well as her yelling. That got my attention.
I
¶ 74. Since I am convinced that the majority opinion is correct that “if the failure to instruct the jury on exigent circumstances was error, it was harmless,” majority op., ¶ 45, see also ¶ 1, I join that part of the opinion and respectfully concur. ¶ 75. The appropriate test for harmless error is set forth in State v. Harvey, 2002 WI 93, ¶¶ 49-52, 254 Wis. 2d 442, 647 N.W.2d 189, which recognizes that constitutional instructional error is subject to application of the harmless error analysis articulated in Neder v. United States, 527 U.S. 1, 15 (1999). ¶ 76. In Neder, the United States Supreme Court set forth the test as follows: “Is it clear beyond a reasonable doubt that a rational jury would have found the defendant guilty absent the error?” Id. at 18. I am satisfied that under the harmless error analysis, if there was instructional error here, it was harmless for the reasons outlined in the majority opinion.II
¶ 77. Since this case can be, and has been, resolved by the majority on the basis of harmless error, there is no need whatsoever for the majority to reachNotes
Whoever, in a public or private place, engages in violent, abusive, indecent, profane, boisterous, unreasonably loud or otherwise disorderly conduct under circumstances in which the conduct tends to cause or provoke a disturbance is guilty of a Class B misdemeanor. Specifically, Officer Taylor testified, “[I] grabbed onto her arm. As she turned around, at this point I think it was her right arm, and she tried to shake it loose, but she couldn‘t.” Additionally, the officers testified that she was slow and “picky” about which socks she wanted to wear. Unfortunately, neither the court nor the attorneys sought to clarify whether these minor references also served to support the factual basis of the obstruction charge. The real focus of the testimony establishing obstruction, however, was the testimony about the aggravated conduct that occurred while she was outside the apartment.
