Lead Opinion
The State appeals from dismissal of a misdemeanor charge of preventing arrest against Leonard J. Ritter. The trial court ruled that Ritter had been wrongfully de
Three Fargo police officers were dispatched to a local tavern to look into a report of a fight. Before entering the tavern, officer Lies overheard a man say to a woman, “But the son of a bitch hit you.” Lies asked the woman if she had been involved in the fight. When she replied that she had been and that she was leaving, Lies asked her to wait.
Inside the tavern, the bartender told the officers that the fight participants had left. The officers returned outside where they heard the same woman say to Ritter, “You’re a fucking asshole.” Officer Olson stopped to interview the woman. Separately, officer Lies began questioning Ritter, who denied knowledge of the fight and refused to identify himself unless arrested.
While talking to the woman, Olson sig-nalled to officers Lies and Sanderson to detain and identify Ritter as a possible suspect. After Olson’s signal, Lies tried to question Ritter again, but Ritter again refused to identify himself. Then, officers Lies and Sanderson each took one of Rit-ter’s arms and physically moved him, over his loud protests, some distance to Lies's squad car. There, the two officers cornered Ritter in an area between the squad car and a building, and persisted in questioning him. Ritter continued to refuse to respond and repeatedly asked to leave.
Ritter became profane and belligerent, verbally threatening the officers and clenching his fists. Fearing escalation, the officers sought assistance from Olson who left off interviewing the woman. While the three officers surrounded Ritter closely, Olson too requested Ritter’s identification and Ritter still refused. At this point, Ritter pushed Olson. The officers then told Ritter that he was under arrest for disorderly conduct. When the officers sought to handcuff him, Ritter fought with the officers, was subdued by force, and was taken to a hospital. Later, Ritter was charged with violating NDCC 12.1-17-01 for assault of the woman
Ritter moved to dismiss the preventing arrest charge. Based upon the deposition testimony of officer Lies as the agreed record for the motion, the trial court ruled that Ritter was “detained wrongfully for the purposes of ... identification,” and that the investigative stop of Ritter exceeded a reasonable scope. The trial court expressed concern that the combined trial of the charge of preventing arrest with the distinct charge of assault “is only going to prejudice” Ritter. Just before the jury tri
On appeal, the State submits that it can appeal the trial court’s ruling, and that the trial court erred in dismissing the charge of preventing arrest.
I. APPEALABILITY
Ritter does not oppose the State’s claim of appealability. Nevertheless, we address appealability because our jurisdiction is implicated.
The State’s right to appeal in criminal cases is governed by NDCC 29-28-07, which authorizes an appeal from an order quashing an information.
The State appealed from an oral ruling. “An oral ruling on a motion is not an appealable order.” State v. Klocke,
II. UNLAWFUL DETENTION
The State argues that the officers had enough suspicion of criminal activity to stop Ritter to investigate the report of a fight, so that his temporary detention was constitutional, and that the duration of that temporary detention was reasonably related to the investigation. Ritter disputes both propositions.
The Fourth Amendment’s protection against unreasonable seizures “applies to all seizures of the person, including seizures that involve only a brief detention short of traditional arrest.” United States v. Brignoni-Ponce,
Because any criminal activity that the officers suspected did not occur in their presence, they could not arrest Ritter for misdemeanor assault without a warrant. See footnote 1. An officer is authorized to arrest for a misdemeanor not committed in his presence only with a warrant. See NDCC 29-06-15.
The trial court found, however, that “the time was ... longer than necessary to effectuate the policeman’s lawful purposes in this case.” The trial court determined that Ritter “was detained by these officers for apparently some substantial period of time. The only purpose for which was to seek his identification which he refused to give and he refused to talk to them any further, which under the circumstances he had the right to do.”
The State contests the latter ruling, arguing “that identifying oneself is essentially a neutral act that does not, by itself, implicate a person in criminal activity and that the protection of the Fifth Amendment cannot be invoked as a reason to refuse to answer.” We do not agree that officers can detain someone for persistent investigative questioning until identification is compelled.
The State argues, in effect, that Rit-ter’s obstinacy in refusing to identify himself, not the officers’ arbitrariness, prolonged his detention. The State relies on California v. Byers,
There is considerable difference between requiring a person to disclose information as the subject of a noncriminal regulation, and requiring a person to disclose information as a suspect in a criminal investigation. See Baltimore City Dept, of Social Services v. Bouknight,
Officers may ask a person to cooperate and inquire about identity during an investigation, but officers have no right to convert an investigative stop into custodial interrogation to badger a suspect into an
The State relies on various statements in our cases which approve general questioning of citizens in the course of investigating a crime_ But these statements merely reiterated the settled principle that while the police have the right to request citizens to answer voluntarily questions concerning unsolved crimes they have no right to compel them to answer.
Id. at 1397 n. 6. A concurring opinion in the landmark decision of the United States Supreme Court on investigative stops also recognizes this “settled principle”: “Of course, the person stopped is not obliged to answer, answers may not be compelled, and refusal to answer furnishes no basis for an arrest, although it may alert the officer to the need for continued observation.” Terry v. Ohio,
The State argues that the “real issue is whether Ritter was legally detained until he became disorderly in the officers’ presence.” However, the trial court found that Ritter “was escorted from at least one site to another site near a squad car, was detained by three officers, and ... he was being detained after he asked to be either arrested or be free to leave.” The trial court declared “that conduct ... is not going to be allowed by the Court.” Thus, the trial court concluded that Ritter was seized and in custody, “detained wrongfully,” before his forceful reaction in shoving officer Olson.
Our standard of review on appeal, recognizing the importance of the trial court’s opportunity to assess the credibility of witnesses, defers to the factual determinations by the trial court unless those determinations are contrary to the manifest weight of the evidence. State v. Placek,
III. REMEDY
In effect, the trial court suppressed all evidence following Ritter’s unconstitutional detention and, as a result, dismissed the charge of preventing arrest against him. Thus, the trial court judicially excused Ritter’s forceful resistance. While we agree with the determination that Rit-ter’s detention was unlawful, that determination does not complete our analysis. The question is whether, as a matter of law, official misconduct excuses forceful resistance? We believe that individual violence cannot replace the rule of law.
The long-standing remedy for official violations of the Bill of Rights, particularly the Fourth Amendment guarantee, has been the exclusionary rule. For over a century, the constitutional right to be free of unreasonable searches and seizures has been enforced by prohibiting use of evidence tainted by unlawful official conduct. State v. Thordarson,
This court has repeatedly rejected suppression of evidence as a remedy for official misconduct when the criminal charge arose from forceful resistance to official action. State v. Indvik,
Indvik’s independent and intervening actions of engaging the officer in a high-speed chase, running from the police officers into the woods, drawing a firearm on the police officers — and actually firing it — break the chain of causation and dissipate the taint of the prior illegality, i.e., the invalid stop. [Citation omitted]. Ind-vik’s independent and intervening actions subsequent to the officers’ attempt to stop Indvik certainly created probable cause for his arrest on the charge of terrorizing.
Id. at 627-28. In Indvik, for the same reason, we also refused to suppress evidence of a firearm found on Indvik after his arrest; Indvik’s independent and intervening terrorizing conduct dispelled the taint of the illegal stop. We affirmed Indi-vik’s jury convictions of reckless endangerment and terrorizing.
Similarly, in State v. Saavedra,
Likewise, in State v. Kunkel,
Regardless of Kunkel’s belief that the police were wrongfully in his room, his attack was not the proper way to challenge their conduct. In our system law and order may sometimes interfere with an individual’s rights. We do not intend to legitimize police misconduct, but only to emphasize that a procedure is available to rectify any injustice done by such misconduct.... In essence, the proper forum for the resolution of the propriety of the officers’ action was in a courtroom by a judge, not via an attack....
Id. at 682 n. 3. We affirmed Kunkel’s jury conviction of assault of a police officer. Generally, judicial approval of forceful reaction to official action, even when the
Our view in Indvik, Saavedra, and Kunkel represents some shift from prior law,
A person is not justified in using force for the purpose of resisting arrest, execution of process, or other performance of duty by a public servant under color of law, but excessive force may be resisted.
NDCC 12.1-05-03(1). Forceful resistance to an arrest “under color of law” is no longer legally justified unless “excessive force” is used by the officer.
This modification derives verbatim from the proposed Federal Criminal Code, which read, in part:
§ 603. Self-Defense.
A person is justified in using force upon another person in order to defend himself against danger of imminent unlawful bodily injury, sexual assault or detention by such other person, except that:
(a) a person is not justified in using force for the purpose of resisting arrest, execution of process, or other performance of duty by a public servant under color of law, but excessive force may be resisted;....
Study Draft, Federal Criminal Code (The National Commission on Reform of Federal Criminal Laws), p. 39 (1970). The Comment to § 603 explained:
This section states the rule permitting the use of force to protect oneself from imminent harm. Present federal law on resisting unlawful arrest has been changed, by paragraph (a), to make legality of the arrest irrelevant. The purpose of this change is to discourage self-help for the resolution of such an issue.
Id. at 40.
Legislative history shows that the North Dakota legislature specifically recognized this change:
Any person is justified in using force in self-defense against imminent unlawful bodily injury, sexual assault, or unlawful detention. However, if the force used is against a peace officer making an arrest*452 which later turns out to be unlawful, such use of force will be unjustified.
Report of the North Dakota Legislative Council, p. 83 (1973). Other states, too, are moving away from an unqualified right to resist an unlawful search or seizure by police. 1 LaFave, Search and Seizure § 1.13(a). This movement is attributed to the influence of the Model Penal Code published by the American Law Institute, which recommended that the “use of force is not justifiable * * * to resist an arrest which the actor knows is being made by a peace officer, although the arrest is unlawful.” Model Penal Code, Section 3.04(2)(a) (1962). The draftsmen of the Model Penal Code explained that it
should be possible to provide adequate remedies against illegal arrest, without permitting the arrested person to resort to force — a course of action highly likely to result in greater injury even to himself than the detention.
Many states have now come to this position. 1 LaFave, Search and Seizure, § 1.13(a), p. 289, n. 8.
Still, unlawful police action is not completely excused either. As Saavedra recognizes, the courts retain the power to act upon “evidence of flagrant police misconduct such as intentional harassment or the use of excessive force.”
More immediately, the criminal statutes still recognize justification defenses as factual remedies for official misconduct. Resistance to “excessive force” by an officer acting under color of law is a factual defense to any criminal charge arising from the resistance. NDCC 12.1-05-03(1). Specifically, where the charge is preventing arrest, as in this case, the defining statute authorizes “a defense to a prosecution under this section that the public servant was not acting lawfully....” NDCC 12.1-08-02(2).
These defenses do not depend on judicial suppression of evidence or dismissal of charges. Rather, they depend upon full presentation of the facts to the trier of fact, usually the jury, for determination of the independent nature of the charged offense. Official misconduct is a justification defense to a charge of resisting arrest.
Accordingly, we hold that the trial court erred in excluding evidence and dismissing the charge of preventing arrest against Ritter as a matter of law. We reverse the dismissal of the charge and remand for trial, including submission to the jury of Ritter’s defense that the officers were not acting lawfully in arresting him for resisting arrest.
Notes
. NDCC 12.1-17-01 defines simple assault:
1. A person is guilty of an offense if he:
a. Willfully causes bodily injury to another human being; or
b. Negligently causes bodily injury to another human being by means of a firearm, destructive device, or other weapon, the use of which against a human being is likely to cause death or serious bodily injury.
2. Simple assault is a class B misdemeanor except when the victim is a peace officer or correctional institution employee acting in an official capacity, and the actor knows that to be a fact, in which case the offense is a class C felony.
. NDCC 12.1-08-02 defines preventing arrest and authorizes a defense when the officer "was not acting lawfully":
1. A person is guilty of a class A misdemean- or if, with intent to prevent a public servant from effecting an arrest of himself or another for a misdemeanor or infraction, or from discharging any other official duty, he creates a substantial risk of bodily injury to the public servant or to anyone except himself, or employs means justifying or requiring substantial force to overcome resistance to effecting the arrest or the discharge of the duty. A person is guilty of a class C felony if, with intent to prevent a public servant from effecting an arrest of himself or another for a class A, B, or C felony, he creates a substantial risk of bodily injury to the public servant or to anyone except himself, or employs means justifying or requiring substantial force to overcome resistance to effecting such an arrest. 2. It is a defense to a prosecution under this section that the public servant was not acting lawfully, but it is no defense that the defendant mistakenly believed that the public servant was not acting lawfully. A public servant executing a warrant or other process in good faith and under color of law shall be deemed to be acting lawfully.
. We are told that the jury acquitted Ritter of the charge of assault of the woman.
. The pertinent part of NDCC 29-28-07 says: An appeal may be taken by the state from: 1. An order quashing an information or indictment or any count thereof.
. NDCC 29-06-15 says:
1. A law enforcement officer, without a warrant, may arrest a person:
a.For a public offense, committed or attempted in the officer’s presence; and for the purpose of this subdivision a crime shall be deemed committed or attempted in the officer’s presence when what the officer observes through the officer's senses reasonably indicates to the officer that a crime was in fact committed or attempted in the officer’s presence by the person arrested.
b. When the person arrested has committed a felony, although not in the officer’s presence.
c. When a felony in fact has been committed, and the officer has reasonble cause to believe the person arrested to have committed it.
*448 d. On a charge, made upon reasonable cause, of the commission of a felony by the party arrested.
e. For the public offenses, not classified as felonies and not committed in the officer’s presence as provided for under section 29-06-15.1.
f. On a charge, made upon reasonable cause, of driving or being in actual physical control of a vehicle while under the influence of alcoholic beverages.
g.For the offense of violating a protection order under section 14-07.1-06 or for an assault involving domestic violence pursuant to section 14-07.1-11.
NDCC 29-06-15.1 deals with the arrest of nonresident traffic violators.
. See abo Florida v. Bostick, — U.S.-,
. The prior law on resistance to unlawful official action was outlined in I Working Papers of The National Commission on Reform of Federal Criminal Laws (Study Draft; 1970):
The rules of justification were developed in a society which, of necessity, placed great emphasis on self-reliance. In a rural nation one could not quickly obtain the help of neighbors, or readily seek the help of law enforcement officials. Any impairment of access to one’s home or land could cause substantial harm. Therefore, under the common law, developed then and still governing today, one may use force against another to defend himself, his family, and others in his household, to protect property and to prevent crime. This right to use force extends even to resistance to a public official attempting to make an arrest, if the arrest is unlawful.
Id. at 261.
. Our Criminal Code, first enacted in 1973, is largely modeled on the proposed 1971 Federal Criminal Code. Report of the North Dakota Legislative Council, at 81 (1973). The proposed Federal Criminal Code has not been enacted by Congress and has only been enacted in North Dakota. State v. Ennis,
.The proposed Federal Criminal Code changed the law authorizing resistance to an unlawful arrest. The Working Papers explained why:
5. Elimination of Right to Resist Arrest.— Under present Federal law, there is a right "to use such force as (is) absolutely necessary to resist an attempted illegal arrest,” even where the defendant knows that the person making the arrest is a law enforcement officer. This right to resist arrest has been severely criticized in recent years. We propose to do away with this privilege to use force to resist an arrest by a public servant. There are ample nonviolent remedies against improper official action. The law should not sanction any rule which would lawfully put an officer's safety at stake when he seeks to make an arrest. Although the draft does not permit force for the purpose of resisting arrest, it does not curtail defensive force for the purpose of resisting illegal excessive force. This result follows from the language of section 603(a), negativing use of defensive force only for the purpose of resisting arrest.
I Working Papers at 264 (footnotes omitted). This discussion continues at some length, mulling related problems and solutions.
. See Lerblance, Resisting Unlawful Arrest: A Due Process Perspective, 35 Cleve.St.L.Rev. 261, 269 (1987) ("At least twenty-one jurisdictions have followed the example of the Model Penal Code, providing by statute no justification for forceful resistance to an unlawful arrest by a known officer. At least six jurisdictions have, by judicial decision, abandoned the common law resistance right”). For a recent convert, see State v. Miskimins,
. Also, the officer may be liable in tort for false imprisonment. See O’Fallon v. Pollard,
. NDCC 12.1-08-02 also derives verbatim from the proposed Federal Criminal Code. Proposed § 1302 (part) read:
Preventing Arrest or Discharge of Other Duties.
(1) Offense. A person is guilty of a Class A misdemeanor if, with intent to prevent a public servant from effecting an arrest of himself or another or from discharging any other official duty, he creates a substantial risk of bodily injury to the public servant or to anyone except himself, or employs means justifying or requiring substantial force to overcome resistance to effecting the arrest or the discharge of the duty.
(2) Defense. It is a defense to a prosecution under this section that the public servant was not acting lawfully; but it is no defense that the defendant mistakenly believed that the public servant was not acting lawfully. A public servant executing a warrant or other process in good faith and under color of law shall be deemed to be acting lawfully.
Study Draft, Federal Criminal Code (The National Commission on Reform of Federal Criminal Laws), p. 97 (1970).
Evidently, these vestiges of the right to resist unlawful official conduct remain to enable a jury to vindicate the individual’s constitutional right to be free of unlawful searches and seizures. The Comment to this proposed section explained:
This section singles out and treats specially physical interference with a government function by resisting arrest. The conflicts in present federal law on the right to resist arrest are resolved under §§ 1301 and 1302 and under § 603(a), which deals with self-defense; these sections provide a consistent pattern of*453 affording protection from risk of serious injury to an officer engaged in his duty in good faith and under color of law. Execution of official duties other than arrest is also covered, so that the public servant is protected against risk of bodily injury by reason of conduct which may not constitute "physical interference” under § 1301 or an assaultive offense under §§ 1611 et seq. The draff reflects the view that slight reflexive action such as a push or the closing of a door should not be an offense. The section proscribes conduct against a public servant executing a warrant or other process in "good faith, under color of law”. Conduct in response to otherwise unlawful acts of a public servant is governed by the provisions generally applicable to use of force. The circumstances under which there is justification for use of force against a federal law enforcement officer in such cases are limited by § 603(a).
Study Draft at 97-98. I Working Papers discuss "Resistance to Unlawful Arrest or Process” at length, pondering possible resolutions of the constitutional tension between unlawful official action and forceful resistance. See I Working Papers, pp. 522-24.
Concurrence Opinion
concurring specially.
I agree that the order of dismissal is appealable and that Ritter was unlawfully detained. I, therefore, concur in Parts I and II of the majority opinion. I also agree with that portion of Part III which reverses the order of dismissal. I write specially, however, to emphasize that only questions of fact are to be submitted to the jury, not questions of law.
Whether there was unconstitutional and thus unlawful police conduct is a question of law to be deduced by the trial court after it resolves any disputed facts. See e.g. United States v. Carrillo,
The trial court dismissed the preventing arrest charge as a sanction for police misconduct. I agree that that was improper because the trial judge misinterpreted the nature of the defense available to the charge. Ritter was charged with preventing arrest under Section 12.1-08-02, N.D.C.C. It is a defense to the crime of preventing arrest that the police officer was not acting lawfully. Section 12.1-08-02(2), N.D.C.C. Here, the police were not acting lawfully so Ritter was entitled to defend on that ground.
However, the defense of unlawful police conduct, to a charge of preventing arrest, is not absolute. The comments to the proposed federal code suggest that the standards for judging the use of force in resist
. The statutory defense distinguishes this case from State v. Indvik,
