STATE OF NEBRASKA, APPELLANT, V. MATTHEW F. THALKEN, APPELLEE.
No. S-16-830
Nebraska Supreme Court
Filed May 11, 2018
299 Neb. 857
Nebraska Supreme Court Advance Sheets, 299 Nebraska Reports, STATE v. THALKEN, Cite as 299 Neb. 857
Criminal Law: Courts: Appeal and Error. In an appeal of a criminal case from the county court, the district court acts as an intermediate court of appeals, and its review is limited to an examination of the record for error or abuse of discretion. - Courts: Appeal and Error. Both the district court and a higher appellate court generally review appeals from the county court for error appearing on the record.
- Judgments: Appeal and Error. When reviewing a judgment for errors appearing on the record, an appellate court’s inquiry is whether the decision conforms to the law, is supported by competent evidence, and is neither arbitrary, capricious, nor unreasonable.
- Appeal and Error. An appellate court independently reviews questions of law in appeals from the county court.
- Criminal Law: Courts: Appeal and Error. When deciding appeals from criminal convictions in county court, an appellate court applies the same standards of review that it applies to decide appeals from criminal convictions in district court.
- Constitutional Law: Search and Seizure: Motions to Suppress: Appeal and Error. In reviewing a trial court’s ruling on a motion to suppress based on a claimed violation of the Fourth Amendment, an appellate court applies a two-part standard of review. Regarding historical facts, an appellate court reviews the trial court’s findings for clear error, but whether those facts trigger or violate Fourth Amendment protections is a question of law that an appellate court reviews independently of the trial court’s determination.
- Statutes. The interpretation of a statute presents a question of law.
- Courts: Appeal and Error.
Neb. Rev. Stat. § 29-2315.01 (Reissue 2016) authorizes error proceedings taken from the district court sitting as an intermediate court of appeal. Constitutional Law: Search and Seizure: Evidence. Under the exclusionary rule, evidence obtained in violation of the Fourth Amendment cannot be used in a criminal proceeding against the victim of the illegal search and seizure. - Probable Cause: Police Officers and Sheriffs: Investigative Stops: Motor Vehicles. An officer’s stop of a vehicle is objectively reasonable when the officer has probable cause to believe that a traffic violation, no matter how minor, has occurred.
- Probable Cause: Appeal and Error. An appellate court determines whether probable cause existed under an objective standard of reasonableness, given the known facts and circumstances.
- Probable Cause: Police Officers and Sheriffs. Probable cause is not defeated by an officer’s incorrect belief regarding the law applicable to the facts.
- Probable Cause: Police Officers and Sheriffs: Appeal and Error. In analyzing probable cause, an appellate court focuses on the facts known to the officer, not the conclusions the officer drew from those facts.
- Arrests: Probable Cause: Police Officers and Sheriffs. Police officers are not required to be legal scholars. This means, among other things, that the arresting officer’s knowledge of facts sufficient to support probable cause is more important to the evaluation of the propriety of an arrest than the officer’s understanding of the legal basis for the arrest.
- Constitutional Law: Statutes: Jurisdiction: Appeal and Error. In Nebraska, jurisdiction is vested in an appellate court through the Nebraska Constitution and the statutes enacted by the Legislature.
- Statutes: Appeal and Error. The right of appeal in Nebraska is purely statutory.
- Constitutional Law: Jurisdiction: Appeal and Error. Except in those cases where original jurisdiction is specifically conferred by
Neb. Const. art. V, § 2 , the Nebraska Supreme Court exercises appellate jurisdiction. - Criminal Law: Appeal and Error. The right to appeal in criminal cases can be exercised only by a party to whom it is given, and generally only a person aggrieved or injured by a judgment may take an appeal from it.
- Constitutional Law: Double Jeopardy: Appeal and Error. An acquittal cannot be reviewed, on error or otherwise, without putting the defendant twice in jeopardy, thereby violating the Constitution.
- Double Jeopardy: Juries: Evidence: Pleas. In Nebraska, jeopardy attaches (1) in a case tried to a jury, when the jury is impaneled and sworn; (2) when a judge, hearing a case without a jury, begins to hear
evidence as to the guilt of the defendant; or (3) at the time the trial court accepts the defendant’s guilty plea. - Trial: Double Jeopardy. Double Jeopardy bars retrial where all three elements are present: (1) Jeopardy has attached in a prior criminal proceeding, (2) the defendant is being retried for the same offense prosecuted in that prior proceeding, and (3) the prior proceeding has terminated jeopardy.
- Statutes: Words and Phrases. Such words and phrases as may have acquired a peculiar and appropriate meaning in the law shall be construed and understood in Nebraska statutes according to such peculiar and appropriate meaning.
- Statutes: Legislature: Presumptions: Intent: Appeal and Error. An appellate court will, if possible, give effect to every word, clause, and sentence of a statute, since the Legislature is presumed to have intended every provision of a statute to have a meaning.
- Statutes: Appeal and Error. The rules of statutory interpretation require an appellate court to reconcile different provisions of the statutes so they are consistent, harmonious, and sensible in the context in which they appear.
- Courts: Judgments: Appeal and Error. Under the language of
Neb. Rev. Stat. § 29-2316 (Reissue 2016), when an exception proceeding is before the Nebraska Supreme Court or Court of Appeals from the district court where the trial took place in district court,§ 29-2316 restricts the scope of any ruling directed at the defendant and district court. But under the language of§ 29-2316 , where the district court is sitting as an appellate court, the defendant was not placed in jeopardy in that court and the limitations of§ 29-2316 do not apply to dispositions or orders directed at the district court.
Appeal from the District Court for Douglas County, J. MICHAEL COFFEY, Judge, on appeal thereto from the County Court for Douglas County, LAWRENCE E. BARRETT, Judge. Exception sustained, and cause remanded with directions.
Matthew Kuhse, Omaha City Attorney, and Kevin J. Slimp for appellant.
W. Randall Paragas, of Paragas Law Offices, for appellee.
HEAVICAN, C.J., MILLER-LERMAN, CASSEL, STACY, and FUNKE, JJ.
I. NATURE OF CASE
The county court convicted Matthew F. Thalken of operating a motor vehicle while under the influence of alcohol, and Thalken appealed to the district court. In vacating Thalken’s conviction and sentence, the district court focused on a police officer’s mistake of law regarding a driving statute1 and relied on one of our decisions.2 We granted the State’s application for leave to docket an exception proceeding.3 Notwithstanding the officer’s incorrect view of the law, when probable cause exists for a stop based on an objective view of the facts known to the officer, the stop does not offend the Constitution. We sustain the State’s exception and conclude that because Thalken was not placed legally in jeopardy by the district court sitting as an appellate court,
II. STATEMENT OF FACTS
This case arises out of Thalken’s conviction for operating a motor vehicle while under the influence. At approximately 1:15 a.m. on July 26, 2015, Omaha police officer Pat Soltys was in his cruiser proceeding north on 168th Street in Omaha, Nebraska, when he observed a vehicle approach the cruiser from the rear at a very high rate of speed with illuminated fog lights—a type of auxiliary light. There were two northbound lanes of travel, and eventually, the vehicle, driven by Thalken, proceeded to within 40 feet of Soltys’ cruiser and then passed. Soltys observed that the headlights of Thalken’s vehicle were “bright” and the fog lights were “exceptionally bright.” At
Soltys testified that the reason he stopped Thalken was not because he was speeding or following too close, but that he believed Thalken’s fog lights were illegally illuminated. Soltys testified that he “believed, at the time, that having fog lights on, auxiliary lights on, in itself, was a violation.” He further clarified that consistent with his report regarding the incident, he “‘[s]topped the vehicle for having its auxiliary lights on during normal/stable weather.’”
The State charged Thalken in the county court for Douglas County with operating a motor vehicle while under the influence. Thalken filed a motion to suppress challenging the traffic stop. The county court denied the motion and, after a bench trial on stipulated facts, found him guilty of the charged offense.
Thalken appealed the county court’s denial of his motion to suppress and his conviction to the district court. Therefore, in this case, the district court was sitting as an appellate court. After a hearing, the district court reversed. In its order, the district court determined that Soltys did not have probable cause to stop Thalken. As to the law, the district court concluded that the use of auxiliary lights was not a traffic violation, and as to the facts, the district court found that the traffic stop was based on Soltys’ incorrect belief that having auxiliary lights on was in and of itself a traffic violation. The district court stated that because Thalken drove his vehicle within 200 feet of the rear of the cruiser with both extremely bright auxiliary lights and bright headlights illuminated, Thalken had violated
III. ASSIGNMENTS OF ERROR
The State claims that the district court erred when it (1) reversed the county court’s ruling which denied Thalken’s motion to suppress and (2) reversed the judgment of the county court and ordered that Thalken’s conviction and sentence be vacated and set aside.
IV. STANDARDS OF REVIEW
[1-5] In an appeal of a criminal case from the county court, the district court acts as an intermediate court of appeals, and its review is limited to an examination of the record for error or abuse of discretion.6 Both the district court and a higher appellate court generally review appeals from the county court for error appearing on the record.7 When reviewing a judgment for errors appearing on the record, an appellate court’s inquiry is whether the decision conforms to the law, is supported by competent evidence, and is neither arbitrary, capricious, nor unreasonable.8 But we independently review questions of law in appeals from the county court.9 When deciding appeals from criminal convictions in county court, we apply the same standards of review that we apply to decide appeals from criminal convictions in district court.10
[7] The interpretation of a statute presents a question of law.13
V. ANALYSIS
[8] Before addressing the merits, we note that the State is the appellant. Absent specific statutory authorization, the State generally has no right to appeal an adverse ruling in a criminal case.14 As we have already noted, the State appeals under
1. PROBABLE CAUSE FOR TRAFFIC STOP
[9] This appeal arises out of the question of whether there was legal justification for Soltys to stop Thalken. The Fourth Amendment to the U.S. Constitution and
[10-13] An officer’s stop of a vehicle is objectively reasonable when the officer has probable cause to believe that a traffic violation, no matter how minor, has occurred.18 We determine whether probable cause existed under an objective standard of reasonableness, given the known facts and circumstances.19 The question is whether the facts available to the officer would cause a reasonably cautious person to believe that the suspect has committed an offense.20 Probable cause is not defeated by an officer’s incorrect belief regarding the law applicable to the facts.21 We focus on the facts known to the officer, not the conclusions the officer drew from those facts.22
In this matter, Thalken urges us to find that the traffic stop was objectively unreasonable because Soltys initiated it based solely on a mistaken interpretation of the auxiliary lights statute,
We first identify the statutes relevant to our analysis. Section
Any motor vehicle may be equipped with not to exceed two auxiliary driving lights [which shall comply with the] limitations set forth in section
60-6,221 . . . . Auxiliary driving lights shall be turned off at the same time the motor vehicle’s headlights are required to be dimmed when approaching another vehicle from either the front or the rear.
As relevant to this case, the “limitations set forth in section
Section
Headlights shall be deemed to comply with the provisions prohibiting glaring and dazzling lights if none of the main bright portion of the headlight beam rises above a horizontal plane passing through the light centers parallel to the level road upon which the loaded vehicle stands and in no case higher than forty-two inches, seventy-five feet ahead of the vehicle.
As Thalken and the district court agree, Nebraska law does not make it illegal per se to drive with auxiliary driving lights including fog lights turned on, and Soltys was incorrect in his belief that it was improper to drive with fog lights turned on during normal visibility conditions.24 But the State correctly notes that because Thalken was within 200 feet of Soltys’ cruiser,
The district court concluded, “[T]he fact that [Thalken] drove his vehicle within two hundred feet of the rear of the cruiser with the auxiliary lights on was a violation of Neb. Rev. Stat. [§§]
Instead, in reversing the ruling and judgment of the county court, the district court relied on Soltys’ mistake regarding the vehicle’s fog lights, which served as his basis for the stop, and determined that “the incorrect assumption of [Soltys] did not provide him with probable cause to stop [Thalken].” The district court reasoned that “[t]o find that [an] officer’s mistaken belief that a violation had occurred [gives] police officers the ability to ‘create’ instances which would then be used as probable cause to justify a traffic stop.” The district court referred to Au26 as the basis for its ruling. As we explain below, the district court misperceives Au.
In Au, we said that in contrast to the statute at issue therein, some other driving statutes strictly declare particular actions to be traffic violations. One such strict statute was implicated in State v. Magallanes,27 wherein we held that the driver of a vehicle crossing a fog line and driving on the shoulder of the highway, albeit briefly, violated the statute prohibiting driving on a shoulder. The present case is similar to Magallanes, in that particular objective facts and not surrounding circumstances determine whether an act was a violation of a driving statute. The State observed that the uncontradicted facts are that Thalken was within 200 feet of Soltys’ cruiser and that he did not turn off his fog lights, in violation of
Evidently, the district court in the instant case referred to Au for that case’s discussion regarding the mistaken understanding of a statute shared by the district court and the sheriff’s officer. Because as just explained, the statute in Au and the statute at issue are not comparable and the statute now at issue is not subject to consideration of additional circumstances or scholarly legal analysis, the district court’s reliance on Au was misplaced.
Similar to the district court’s reasoning, Thalken maintains, relying on Au, that Soltys’ mistaken view of the law makes the stop improper. But in Au, we determined that the stop was not
As we have often stated, probable cause to stop a vehicle is analyzed under an objective reasonableness standard, and thus, the officer’s subjective intent or motivation is not relevant.28 That is, if an officer is aware of facts amounting to probable cause to stop a violator, the stop is objectively reasonable and any ulterior motivation is irrelevant.29
[14] From our preceding discussion, it is clear that Soltys possessed facts from which it was reasonable to believe Thalken committed a traffic violation, and the county court properly denied Thalken’s motion to suppress. The district court erred when it limited its analysis to Soltys’ mistake regarding the operation of auxiliary lights statute and ignored the uncontroverted facts. In the arrest context, we have stated: “‘Police officers are not required to be legal scholars. This means, among other things, that the arresting officer’s knowledge of facts sufficient to support probable cause is more important to the evaluation of the propriety of an arrest than the officer’s understanding of the legal basis for the arrest.’”30 The same reasoning applies here. As the State urges, given the uncontroverted facts, “Thalken was required to turn off his auxiliary lights when he approached Soltys’ vehicle from the rear.”31 When Thalken failed to do so, Soltys had knowledge of facts that Thalken had committed an offense under
2. EFFECT OF RULING ON CONVICTION
The parties characterize this appeal as an “‘error proceeding.’”32 They do so, presumably, because of several of our previous decisions.33
This, in turn, has led to a focus on language in
The judgment of the court in any action taken pursuant to section
29-2315.01 shall not be reversed nor in any manner affected when the defendant in the trial court has been placed legally in jeopardy, but in such cases the decision of the appellate court shall determine the law to govern in any similar case which may be pending at the time the decision is rendered or which may thereafter arise in the state.
(Emphasis supplied.) The “not be reversed nor in any manner affected” language of
(a) Basis of Appellate Jurisdiction
[15-17] In Nebraska, jurisdiction is vested in an appellate court through the Nebraska Constitution and the statutes
This allocation is driven by the constitutional provision dividing the powers of government into three distinct departments—legislative, executive, and judicial.39 Together, these constitutional provisions prevent courts from inventing rules to enlarge appellate jurisdiction.40 Thus, we focus on the Nebraska statutes authorizing appellate jurisdiction and providing procedures for its exercise. And we do so in the limited context of appeals or exception proceedings in criminal cases and in particular those cases where the criminal defendant was convicted in county court and appealed to the district court; that is, where the district court was sitting as an appellate court.
(b) Appeals by Defendants From Trial Courts in Criminal Cases
[18] Several Nebraska statutes have been correctly understood to generally limit the right to appeal from a trial court’s judgment in criminal cases to appeals by a defendant.41 Thus,
(i) District Courts
As to criminal proceedings where the district court acts as a trial court, a combination of statutes limits the right to appeal to a defendant.43 One statute authorizes an appeal by “a person . . . convicted of an offense,” in other words, by a defendant.44 This must be read together with the general statutes authorizing appeals from district court.45 Section 25-1912 specifically prescribes the appeal procedure, which applies to both civil and criminal appeals.
But review of criminal cases by appeal is a relatively recent development. At one time, the method of review of all criminal cases in the Supreme Court was upon writ of error.46 The transition away from writs of error began in 1957,47 continued in 196148 and 1973,49 and culminated in 1982.50 And an understanding of the writ of error procedure is essential to making sense of the exception proceedings now permitted to be taken by the State.
(ii) County Courts
In contrast to the statutes governing district courts, the statute limiting appeals from county court in criminal cases
In the county court,
(c) Appeals by the State
Separate statutes authorize exception proceedings from the respective trial courts.
(i) District Courts
Before 1959, the State could be permitted to proceed upon a writ of error to the Supreme Court from a criminal case in the district court.56 But the proceeding by the State could not “reverse[] nor in any manner affect[]” the district court’s judgment; rather, its sole purpose was to “determine the law to
But in 1959, the statute was changed to permit the Supreme Court’s decision to sometimes affect the case giving rise to the matter before it.58 As of that time, the statute,
(ii) County Courts
Because the case before us addresses an appeal taken by a defendant to the district court, we omit most of the details pertaining to appeals or exception proceedings available to the State from a county court ruling or decision. Prior to the reorganization of county courts in the early 1970’s, there was no procedure for appeals from county court judgments in criminal cases by the State. Rather, the statute governing
(d) §§ 24-204 and 25-1912: A Jurisdictional Path
In 1989, in State v. Schall,66 we examined
At the time, the defendant’s appeal in Schall began under
Thus, our decision in Schall69 was flawed to the extent that it overlooked the statutes conferring appellate jurisdiction upon the Supreme Court and prescribing the procedure for appeal of district court judgments or decrees to this court. We overlooked the then-existing statutes which provided the jurisdictional path.
We have adhered to
Because of this history, the parties naturally focused on
[19] We take this opportunity to note that the Legislature could simplify the procedures governing appeals by the State in criminal cases, but it is neither prudent nor proper for this court to usurp the legislative function. In United States v. Sisson,70 the U.S. Supreme Court, under similar circumstances, elected to await a legislative solution which would clarify the jurisdictional basis for criminal appeals taken by the government. In the federal criminal law, the government is authorized by statute to appeal in a criminal case pursuant to several different statutory provisions subject, of course, to constitutional limitations. Being a jurisdictional statute, the Criminal Appeals Act precludes an appeal by the government where implementation of the outcome will be moot due to double jeopardy; in effect, in federal court where there is no real case
Having concluded the order in Sisson was an acquittal and therefore not appealable by the government on that basis, the Court considered whether the order was appealable under the “‘motion in bar’” provision of the Criminal Appeals Act, stating: “The language of the motion-in-bar provision itself limits appeals to those granted ‘when the defendant has not been put in jeopardy.’ We read that limitation to mean exactly what it says—i. e., no appeal from a motion in bar is to be granted after jeopardy attaches.”74 The Sisson opinion stated that at the time the statute was written, “there was little dispute over the then-settled notion that a defendant was put into jeopardy once the jury was sworn.”75 The comment regarding “put in jeopardy” echoes the Nebraska Legislature’s choice of language in 1959, which we discuss later in the portion of our opinion considering the effect of our ruling under
The U.S. Supreme Court in United States v. Jorn76 summarized the opinion in Sisson as follows: “[T]he ‘put in jeopardy’ language [precluding an appeal by the government] applied
The Sisson Court refused to read “put in jeopardy” as a “restatement of the constitutional prohibition” against double jeopardy, because such reading would render the phrase “superfluous.”77 The Sisson Court, stating the obvious, continued, “No Senator thought that Congress had the power under the Constitution to provide for an appeal in circumstances in which that would violate [the double jeopardy prohibition in] the Constitution.”78 In its conclusion, the Sisson Court stated that although it was dissatisfied with the jurisdictional limitations of the Criminal Appeals Act, it would adhere to the terms of the act “until such time as Congress decides to amend the statute.”79
In 1975, the Court noted that Congress recognized the difficulties of the Criminal Appeals Act disparaged in Sisson and
finally disposed of the statute in 1970 and replaced it with a new Criminal Appeals Act intended to broaden the Government’s appeal rights. . . . [T]he legislative history makes it clear that Congress intended to remove all statutory barriers to Government appeals and to allow appeals whenever the Constitution would permit.80
The new statute, passed as Title III of the Omnibus Crime Control Act of 1970,81 provides in part:
In a criminal case an appeal by the United States shall lie to a court of appeals from a decision, judgment,
or order of a district court dismissing an indictment or information as to any one or more counts, except that no appeal shall lie where the double jeopardy clause of the United States Constitution prohibits further prosecution.82
This revision to the Criminal Appeals Act made clear that “Congress was determined to avoid creating nonconstitutional bars to the Government’s right to appeal.”83 The evolution of the federal statute provides a cautionary tale. The language with respect to jurisdiction was changed by legislature, not the Court. In any event, because the jurisdictional path in this case is controlled by
(e) § 29-2316 Remains Controlling
Under the statute pertaining to exception proceedings, as we explained in State v. Vasquez,84
Section
The judgment of the court in any action taken pursuant to section
29-2315.01 shall not be reversed nor in any manner affected when the defendant in the trial court has been placed legally in jeopardy, but in such cases the decision of the [Nebraska Supreme Court or Court of
Appeals] shall determine the law to govern in any similar case which may be pending . . . or which may thereafter arise . . . .
The premise of the State’s suggestion is that the phrase of
Historically, in ruling on cases brought under
Although we detoured for a period of time in equating “placed legally in jeopardy” with constitutional double jeopardy, we returned to our adherence to the commands of the statutory language. As we reasoned in Vasquez, when the Legislature chose language which limited relief where the defendant has previously been placed legally in jeopardy, it meant something different from constitutional double jeopardy.90 This is a logical reading of this temporal statute;
[20] We read “placed legally in jeopardy” as used by the Legislature in
[21] In contrast to “placed legally in jeopardy,” more elements must be present to implicate constitutional double jeopardy under both the federal and state Constitutions. We have summarized the elements of double jeopardy in Nebraska.92 Double jeopardy bars retrial where all three elements are present: (1) Jeopardy has attached in a prior criminal proceeding,
[22,23] We read the phrase “has been placed legally in jeopardy” as having been inserted in
(f) Effect of § 29-2316 in Exception Proceedings After the Defendant’s Appeal From County Court to District Court
We turn now to the phrase “in the trial court” in
The judgment of the court in any action taken pursuant to section
29-2315.01 shall not be reversed nor in any manner affected when the defendant in the trial court has been placed legally in jeopardy, but in such cases the decision of the [Nebraska Supreme Court or Court of Appeals] shall determine the law to govern in any similar case which may be pending . . . or which may thereafter arise . . . .
[24] We recognize that “trial court” lacks specificity, but we give it a consistent, harmonious, and sensible reading in the statutory context in which it appears.100 Thus, with respect to relief under
[25] In sum, under the language of
Historically, although our language was sometimes less than precise, we ordinarily followed the foregoing principles in cases before us with respect to exception proceedings challenging the rulings of the district court sitting as an appellate court. In cases such as State v. Schaf104 which were docketed as exception proceedings taken from the district court sitting as an appellate court, although we referred in our opinion to the matter before us as an “appeal,” we granted relief in addition to pronouncing the correct law. Thus, historically, in
In view of our analysis above holding that where an exception proceeding pursuant to
Because the matter is before us as an exception proceeding under
VI. CONCLUSION
As we discussed above, the State seeking review of the district court’s decision sitting as an appellate court in a criminal appeal brought to it by a defendant could have filed an appeal under
Because we are not prevented from granting relief under
EXCEPTION SUSTAINED, AND CAUSE REMANDED WITH DIRECTIONS.
WRIGHT and KELCH, JJ., not participating in the decision.
