State of Iowa v. Terry Lee Coffman
State of Iowa v. Terry Lee Coffman
Opinion of the Court
This case requires us to decide whether an officer was justified in pulling behind a vehicle and activating his emergency lights when the vehicle was stopped by the side of a highway after 1:00 a.m. with its brake lights engaged. We conclude the officer's actions were justified under the "community caretaking function" exception to the warrant requirement of the Fourth Amendment and article I, section 8 of the Iowa Constitution. For this reason, we affirm the conviction for operating while intoxicated that resulted from this roadside encounter.
I. Background Facts and Proceedings.
In the early hours of May 22, 2016, Story County Sheriff's Deputy Nicholas Hochberger was on assigned patrol in the southern part of the county. When he was outside Slater at approximately 1:08 a.m., he spotted a vehicle pulled over on the side of the highway with its brake lights on. Deputy Hochberger turned on his flashing red and blue lights, and he pulled to a stop behind the parked vehicle. Deputy Hochberger later testified his objective in making this kind of stop is to "check on the welfare of the occupants or see if they need any assistance, if they have vehicle problems or medical problems, or if they're just talking on their phone." Deputy Hochberger also explained why he activated his flashers:
First reason is it alerts traffic approaching any other direction that I am stopped on the side of the roadway and that there is potentially a hazard there; and number two is to alert the driver or subjects of the vehicle that it's just not a stranger pulling up behind them. It is a law enforcement officer stopping to check on them.
Deputy Hochberger did not run the vehicle's license plate through dispatch before exiting his vehicle. Instead, he immediately approached the driver's side window on foot to speak with the driver. While passing the rear of the vehicle, the deputy noticed a registration violation because the license plate bracket covered the sticker and it was not possible to tell whether the registration was current.
Upon reaching the driver's window, Deputy Hochberger immediately detected a strong odor of alcoholic beverage and noticed the driver's red and watery eyes. Deputy Hochberger's initial questions were directed at determining if there was an emergency or if the occupants needed assistance. He asked, "Hi guys, everything okay tonight?"
When the driver, Terry Coffman, and his wife indicated that they were okay, *243Deputy Hochberger then asked, "[W]hat's going on?" Coffman answered that his wife was having neck issues, so he had pulled over to give her a back rub. At that point, Deputy Hochberger requested Coffman's license and registration and asked Coffman how much he had had to drink that night. Coffman replied that he had consumed four beers, the most recent a half hour before the stop.
Deputy Hochberger administered field sobriety tests, which Coffman failed. Coffman was belligerent while performing the tests. After also administering a preliminary breath test, the deputy determined that Coffman was under the influence of alcohol and placed Coffman under arrest. At the jail, implied consent was invoked, and Coffman refused to submit to the chemical test.
On June 16, Coffman was charged by trial information in the Iowa District Court for Story County with operating while intoxicated (OWI), first offense, in violation of Iowa Code section 321J.2, a serious misdemeanor. See Iowa Code § 321J.2(2)(a ) (2016).
On August 25, Coffman filed a motion to suppress the evidence obtained as a result of the stop of his vehicle. He alleged the stop violated his rights under both the Fourth Amendment to the United States Constitution and article I, section 8 of the Iowa Constitution. An evidentiary hearing on Coffman's motion took place on September 9, and the court issued a written ruling denying the motion on September 12.
Coffman filed a motion to reconsider, to reopen the record, and for expanded findings and conclusions. This motion asked the court for the first time "to distinguish the Fourth Amendment protections from those under the Iowa Constitution." In particular, Coffman asked the court either to limit the community caretaking doctrine "to those cases where emergency aid or assistance is needed or alternatively apply[ ] the exclusionary rule to those cases where evidence of criminal activity is gathered as a result of a community caretaking seizure." The court issued expanded findings and conclusions but confirmed its denial of the motion to suppress.
In its order, the court noted,
A car parked on the shoulder of a highway at 1:00 a.m. in a rural area in Iowa should raise a number of concerns. There is a safety issue in having a vehicle parked within two feet of the traveled portion of a highway, especially at 1:00 a.m., in an area that is not lighted. Second, the occupant(s) of the vehicle might have car problems or medical issues that they are experiencing. Most people would not simply pull over to the side of the road in this type of setting at such an hour. It would have been irresponsible for Deputy Hochberger to simply drive by without checking on the vehicle.
Coffman waived his right to a jury trial and stipulated to a trial on the minutes of testimony. On October 12, the court found Coffman guilty of OWI, first offense, in violation of Iowa Code section 321J.2. The district court sentenced Coffman to two days in jail and ordered him to pay a fine and surcharges.
Coffman appealed, claiming that the stop of his vehicle and person violated the Fourth Amendment of the U.S. Constitution and article I, section 8 of the Iowa Constitution. We transferred the case to the court of appeals, which affirmed Coffman's conviction, concluding that the stop demonstrated a "good-faith effort by a peace officer to assist the motorist as a public servant rather than to launch a criminal investigation."
*244We granted Coffman's application for further review.
II. Standard of Review.
Coffman argues that the seizure violated his rights under both the Fourth Amendment to the United States Constitution and article I, section 8 of the Iowa Constitution. "When a defendant challenges a district court's denial of a motion to suppress based upon the deprivation of a state or federal constitutional right, our standard of review is de novo." State v. Storm ,
III. Analysis.
Coffman claims that he was lawfully parked on the shoulder of the highway and that Deputy Hochberger's actions violated the Fourth Amendment and article I, section 8. See U.S. Const. amend. IV ("The right of the people to be secure in their persons ... against unreasonable seizures and searches, shall not be violated, and no Warrants shall issue, but on probable cause ...."); Iowa Const. art. I, § 8 ("The right of the people to be secure in their persons ... against unreasonable searches and seizures, shall not be violated; and no warrant shall issue but upon probable cause ...."). The State counters that the seizure of Coffman's vehicle was justified by the community caretaking exception to the warrant requirement under both the Fourth Amendment and article I, section 8.
A. The Community Caretaking Exception. The community caretaking exception to the warrant requirement, recognized by the United States Supreme Court in Cady v. Dombrowski , is "totally divorced from the detection, investigation, or acquisition of evidence relating to the violation of a criminal statute."
The community caretaking exception has three branches: "(1) the emergency aid doctrine, (2) the automobile impoundment/inventory doctrine, and (3) the 'public servant' exception." Tyler ,
Under the emergency aid doctrine, the officer has an immediate, reasonable belief that a serious, dangerous event is occurring. ... [I]n contrast, the officer *245in a public servant situation might or might not believe that there is a difficulty requiring his general assistance. For example, an officer assists a motorist with a flat tire under the public servant doctrine, but an officer providing first aid to a person slumped over the steering wheel with a bleeding gash on his head acts pursuant to the emergency aid doctrine.
Tyler ,
We have said that application of the community caretaking exception involves a three-step analysis:
(1) was there a seizure within the meaning of the Fourth Amendment?; (2) if so, was the police conduct bona fide community caretaker activity?; and (3) if so, did the public need and interest outweigh the intrusion upon the privacy of the citizen?
Crawford ,
B. Community Caretaking Under the Fourth Amendment. Coffman first challenges Deputy Hochberger's stop under the Fourth Amendment. We have not previously considered whether a law enforcement officer is justified in parking behind and activating his emergency lights to check on a motorist pulled over on the side of the highway in the middle of the night. In Moore , we held that a park ranger properly exercised a public-safety function when she stopped the defendant's vehicle to warn him that his speed posed a danger to park campers, even though he was driving under the speed limit.
Other state courts, however, have addressed situations close to the present case. As we pointed out in Kurth , it is "not surprising" that much of the relevant caselaw has arisen in state courts "in light of the fact that community caretaking is generally the role of local police rather than federal officers."
The Illinois Supreme Court upheld a stop under the community caretaking doctrine in People v. McDonough ,
The Illinois court determined that the seizure was permissible under the community caretaking exception to the warrant requirement of the Fourth Amendment.
[I]t was reasonable for [the trooper] to approach defendant's vehicle to offer any aid required under the circumstances. The public has a substantial interest in ensuring that police offer assistance to motorists who may be stranded on the side of a highway, especially after dark and in areas where assistance may not be close at hand. In the proper performance of his or her duties, a law enforcement officer has the right to make a reasonable investigation of vehicles parked along roadways to offer such assistance as might be needed and to inquire into the physical condition of persons in vehicles. The occupant of a parked vehicle may be intoxicated, suffering from sudden illness, or may be only asleep. Under these circumstances, it is within a responsible law enforcement officer's authority to determine whether assistance is needed.
In State v. Anderson , the Utah Supreme Court likewise held that the seizure of a motorist who had stopped his vehicle on the side of the road was justified by the community caretaking doctrine under the Fourth Amendment.
A motorist may have many motivations for pulling to the side of a highway and engaging hazard lights, ranging from the mundane to the life-threatening. The motorist could be lost, disciplining rowdy children, sleeping, or answering a cell phone call. But there is also a good chance that the motorist has run out of gas, has mechanical problems, or, worse, is experiencing a medical emergency. The fact that it is very cold and dark would exacerbate the duress of a motorist in need of aid. Given the decent odds that a motorist in this situation may need help, an officer would have reason to be concerned and to at least stop to determine whether assistance is needed.
In Ullom v. Miller , the West Virginia Supreme Court of Appeals likewise found a seizure of a motorist was justified under the community caretaking exception under both the Fourth Amendment and the West Virginia Constitution.
*247When the officer came across the vehicle at dusk during his patrol, he had no other indication the driver needed assistance.
The West Virginia court held that given the circumstances of the case, "a reasonable and prudent officer in such a setting would have reasonably suspected that an occupant of the vehicle was in need of immediate help."
In State v. Kramer , the Wisconsin Supreme Court also affirmed the seizure of a motorist over federal and state constitutional objections.
The Wisconsin court held that the seizure was justified. Id. at 612. It concluded the deputy had "an objectively reasonable basis for deciding that a motorist may have been in need of assistance when he stopped behind [the defendant's] vehicle." Id. at 610. The court also noted "that the public has a substantial interest in ensuring that police assist motorists who may be stranded on the side of a highway, especially after dark and outside of an urban area when help is not close at hand." Id. at 611.
In State v. Lovegren , the Montana Supreme Court similarly upheld a seizure of a motorist based on the community caretaking doctrine.
Overruling both federal and state constitutional objections, the Montana court found the officer had acted properly because the officer had "objective, specific and articulable facts suggesting that [the defendant] might be in need of assistance."
While [the defendant] might simply have been asleep, he might just as likely have been ill and unconscious and in need of *248help. Under these circumstances, Officer Hofer had the right to check on [the defendant's] welfare and to open the door of [the defendant's] vehicle when [the defendant] failed to respond to a knock on the window of his vehicle. As the State points out, it would have been a dereliction of Officer Hofer's duties if, after knocking on the window and obtaining no response, Officer Hofer walked away and continued on his patrol.
The Tennessee Supreme Court confronted a similar situation in State v. McCormick and found the seizure was justified by the community caretaking doctrine under the United States and Tennessee Constitutions.
The Tennessee court determined that the officer's conduct fell within the community caretaking exception.
Given the time, 2:45 a.m., location, and limited accessibility and availability of assistance from sources other than the officer, the risk of danger had the officer provided no assistance was substantial. Indeed, Sgt. Trivette would have been "derelict in his duty as a police officer" had he failed to take steps to determine the defendant's welfare. Again, the defendant was slumped over the steering wheel, either asleep or unconscious, with his vehicle protruding partially onto the public roadway, placing him at risk of injury or death from a rear end collision. Having carefully considered the relevant facts, we conclude that Sgt. Trivette's actions were well within the community caretaking exception.
In State v. Kleven , the South Dakota Supreme Court likewise found that an officer properly exercised his community caretaker function, and therefore concluded the officer's seizure of a motorist was permissible under the Fourth Amendment.
*249The North Dakota Supreme Court upheld the seizure of a motorist in Borowicz v. North Dakota Department of Transportation after an officer noticed a vehicle parked on a service road with its headlights on but the motor off.
In People v. Laake , the Illinois Appellate Court upheld a vehicle seizure under the community caretaking doctrine of the Fourth Amendment.
The appellate court concluded that there was "nothing wrong" with the officer's "check[ing] on the welfare of [the car's] driver."
In Marsh v. State , an Alaska appellate court found that a seizure was permitted under the community caretaking exception to the Fourth Amendment warrant requirement.
In Kozak v. Commissioner of Public Safety , a Minnesota appellate court decided that a deputy's conduct was justified under the community caretaking exception.
*250The driver failed the field sobriety tests and was arrested.
In the proper performance of his duties, an officer has not only the right but a duty to make a reasonable investigation of vehicles parked along roadways to offer such assistance as might be needed and to inquire into the physical condition of persons in vehicles.
The occupant of an already parked car may be intoxicated, he may be suffering from sudden illness or heart attack, or may be just asleep. Surely, it is within a responsible peace officer's duty as it relates to the public to determine whether his assistance is needed.
Coffman directs us to Commonwealth v. Livingstone , a recent case where the Pennsylvania Supreme Court found a Fourth Amendment violation.
The Pennsylvania court found that a seizure had occurred as soon as the trooper pulled alongside the stopped vehicle with his flashers on.
Federal courts have also weighed in on this subject. See, e.g. , United States v. Barry ,
In determining that the stop was justified, the court found that the officers " 'would have been derelict in their duties' had they not detained" the driver.
In United States v. Ingram , the United States Court of Appeals for the Ninth Circuit determined that the seizure of the defendant's parked vehicle was not justified by the community caretaking doctrine.
[o]nce the officers were able to observe that the passengers were in no distress of any kind, no "reasonable grounds [existed] to believe that there [was] an emergency at hand and an immediate need for their assistance for the protection of life or property."
As previously noted, we examine every community caretaking case before us according to its own set of unique circumstances. Kurth ,
The present case is unlike our Kurth case or the Ninth Circuit's Ingram case, where objective facts available to the officers indicated that the community caretaking need had dissipated by the time the seizures occurred. See Ingram ,
Other cases cited by Coffman are distinguishable for the same reasons. See State v. Graham ,
This case also can be distinguished from cases cited by Coffman where the vehicle was parked well off the road, and therefore, the officer could have safely stopped and sought to speak with the driver without activating his flashers. See State v. Schmidt ,
The present case is also unlike our own State v. Coleman , where after the vehicle had been seized, objective facts became available to the officer demonstrating the problem that was the basis for the stop had been resolved. See
Lastly, Livingstone , the Pennsylvania case on which Coffman relies, is factually and legally distinguishable. In Livingstone , the trooper came upon the motorist at 9:30 p.m. and acknowledged that when he pulls alongside a vehicle, "[n]ine out of ten times usually they're on their cell phone."
Furthermore, Livingstone 's invariable requirement that the officer have "specific, objective, and articulable facts which would reasonably suggest to an experienced officer that assistance was needed ,"
*253Tague ,
When we apply our three-part inquiry as set forth above, we believe the stop in this case complied with the Fourth Amendment. Under the first part of the test, the State concedes there was a seizure. Next, we consider whether Deputy Hochberger's conduct amounted to bona fide community caretaking activity.
At the suppression hearing, Deputy Hochberger testified that he regularly stops behind vehicles stopped alongside the roadway in order to "check on the welfare of the occupants or see if they need any assistance." In this case, it was the middle of the night, Deputy Hochberger was traveling along a highway slightly outside of town, the vehicle was pulled over just two feet off from the roadway itself, and the vehicle's brake lights were activated. We conclude this was bona fide community caretaking activity.
Lastly, we balance the public need and interest against the intrusion on privacy. We believe the public interest in having officers check on the welfare of a motorist pulled over at the side of a highway in the middle of the night is significant. There could be many reasons why the motorist needs help. The motorist could be lost, there could be trouble with the vehicle, or the motorist could be in some kind of medical difficulty. Coffman was parked on the side of the highway at 1:00 a.m. without his hazard lights on. This created a potentially dangerous situation for himself and for other drivers who may not have seen him. The remote location and the late hour may have made it difficult for him to obtain help if he had needed it.
At the same time, the privacy intrusion was not great. A seizure occurred only because Deputy Hochberger activated his emergency flashers. Deputy Hochberger did this for everyone's benefit, so the pulled-over vehicles would be visible and so the motorist-Coffman-would know it wasn't just a stranger approaching from behind. Cf. Kurth ,
Furthermore, the deputy's actions here were tailored to providing assistance only to the extent it may have been needed. See
Coffman suggests the deputy should not have stopped behind his vehicle and could have accomplished his community caretaking purpose by pulling alongside it instead. This would have been impractical. See Kramer ,
Providing help to motorists is an important function performed by law enforcement officers. In 2016 alone, Iowa state troopers assisted more than 11,462 motorists in need. Iowa Dep't Pub. Safety, FY2016 Annual Report 22 (2016), www.dps.state.ia.us/commis/pib/Annual_Report/2016/FY2016AnnualReport.pdf [https://perma.cc/J7E4-RMT]. The year before, the Story County Sheriff's Office reported assisting 957 motorists. Story Cty. Sheriff's Office, 2015 Annual Report , Story County, Iowa 11 (2015), http://www.storycountyiowa.gov/index.aspx?NID=963 [https://perma.cc/H6QW-XZ3U]. By way of comparison, this is only slightly less than the number of speeding tickets the office issued.
We hold that this particular encounter fell within the community caretaking exception to the Fourth Amendment's warrant requirement, as we have interpreted that exception in prior cases and as most other jurisdictions have interpreted it.
C. Community Caretaking Exception Under Article I, Section 8. Coffman also argues that even if the stop complied with the Fourth Amendment, we should interpret the community caretaking doctrine differently under the Iowa Constitution. The State counters that error has not been preserved on this point because the defendant did not assert this position until he filed a motion for reconsideration of the denial of his motion to suppress. The district court, however, did not indicate that it was declining to consider Coffman's arguments for reconsideration as untimely but instead reached their merits. Accordingly, we conclude error was preserved. See State v. Bowers ,
"What is required under the Iowa Constitution, in each and every case that comes before us, is ... exercise of our best, independent judgment of the proper parameters of state constitutional commands." State v. Short ,
In his appellate briefing, Coffman appears to merge the two distinct Iowa constitutional arguments he made below. That is, under article I, section 8, he asks us to do away with the public servant component of the community caretaking exception for evidentiary purposes only. Evidence could be used if it was obtained when an officer *255had "an immediate reasonable belief that a serious, dangerous event [was] occurring"-i.e., "that emergency aid is required." Meanwhile, police would still be free to respond to other community caretaking situations without violating the Iowa Constitution, but evidence from those situations could not be used.
In short, Coffman would have us establish two tiers of community caretaking interventions. Both would be lawful and constitutional, but only "emergency" interventions could provide source material for subsequent criminal prosecutions.
In support of this argument, Coffman cites Commonwealth v. Canavan , a decision of the Massachusetts Appeals Court.
Dunbar does not inhibit the police from making intrusions amounting to seizures when the governmental interest predominates-thus seizure even of lost motorists is justified when safety hazards are actually entailed and lights and sirens are needed to arouse the attention of the drivers and avoid mishap.
Id. at 267.
Furthermore, the Massachusetts court cited with approval Commonwealth v. Leonard ,
Notably, in another case with even more factual similarity to ours, the Massachusetts Supreme Judicial Court upheld the stop under the community caretaking exception. See Commonwealth v. Evans ,
Coffman's opening brief also cited Provo City v. Warden ,
As noted, Coffman maintains we should apply the exclusionary rule to any nonemergency acts of community caretaking, even if the acts were otherwise proper. However, the exclusionary rule exists in Iowa as a "remedy for the constitutional violation" and to "protect[ ] the integrity of the courts." State v. Cline ,
Law professor Michael R. Dimino Sr. elaborated on this point in the context of community caretaking searches, stating,
Searches are either reasonable or unreasonable. Generally speaking, reasonable searches are constitutional and give rise to no issue of remedy. Unreasonable searches are unconstitutional and usually result in exclusion of evidence found during the unreasonable search. The targeted exclusionary rule, however, either requires exclusion when the police were acting reasonably in fulfilling community-caretaking function, or calls the community-caretaking search unreasonable and excludes evidence-all the while winking and nodding to police departments to encourage them to act in the very manner the court holds to be unconstitutional.
Michael R. Dimino Sr., Police Paternalism: Community Caretaking, Assistance Searches, and Fourth Amendment Reasonableness ,
*257Recently, in State v. Ramirez , this court confronted the question whether the results of a federal search that complied with the federal law on anticipatory warrants should be excluded from a state prosecution because Iowa law does not authorize anticipatory warrants.
When a bona fide federal investigation leads to a valid federal search, but the evidence is later turned over to state authorities for a state prosecution, we do not believe deterrence or judicial integrity necessarily require a reexamination of the search under standards that hypothetically would have prevailed if the search had been performed by state authorities.
During his oral argument before our court, Coffman changed course somewhat from his appellate briefing. First, Coffman posited that "the public servant doctrine should not allow officers to seize individuals." This of course would extinguish the doctrine altogether. Our discussion heretofore explains why we do not find this jurisprudential approach persuasive.
Second, Coffman urged us to restrict the public servant doctrine to circumstances where the officer has a firm basis for concluding that the motorist actually needed assistance. As his counsel elaborated, he would "requir[e] the state to show specific, objective facts as to why a need existed."
Clearly, a community caretaking seizure of a motorist must be supported by objective grounds to believe the motorist or a third party affected by the motorist may need assistance. Still, we would not set the required threshold of proof as high as Coffman would. Coffman's threshold would deter officers from stepping into a situation, like the one in this case, where the motorist may need help but the officer cannot tell. Helping a citizen and investigating a citizen for commission of a crime are two different things. An officer lacking a warrant should have somewhat more latitude to do the former than to do the latter.
Thus, we believe the basic three-part test we have applied to community caretaking seizures of motorists under the Fourth Amendment also provides an appropriate standard under article I, section 8. See Kurth ,
We do note, however, one qualification. In applying the Fourth Amendment, we have said that "the relevant test for determining whether the community caretaking exception applies is an objective one based on the information available at the time of the stop and does not depend upon the subjective motivations of the individual officers involved." Kurth ,
We find these authors' arguments persuasive. Investigatory seizures of motorists and community caretaking seizures of motorists should remain analytically separate. Otherwise, the latter could become simply a way to perform an investigation without meeting the reasonable suspicion or probable cause standard. To insure this separation, therefore, we hold that under the Iowa Constitution, a community caretaking seizure of a vehicle must be undertaken for genuine community caretaking purposes. In a sense, this restores the community caretaking exception to its roots, where it was "totally divorced" from criminal investigation. See Cady ,
Here, based on our de novo review of the record while giving deference to the district court's findings, we conclude that Deputy Hochberger's motivation was to assist Coffman. Like the district court, we note that Deputy Hochberger did not run the vehicle's plates through dispatch but instead immediately went up to the driver's side of the vehicle and asked if everything was okay. Therefore, the seizure in this case met the additional requirement we have just recognized under article I, section 8.
In sum, we do not believe the conduct of the deputy in this case was unconstitutional or even deserving of criticism. Iowans expect law enforcement on patrol to offer a helping hand in situations like this where a motorist is pulled over on a public highway at night and may be in difficulty. As noted above, Iowa state troopers assisted over 10,000 motorists in need in a single year, and the sheriff's office of this county assisted nearly 1000 motorists in that time span. Applying the same three-part test we have used under the Fourth Amendment, but modifying it to impose a further requirement that the officer acted out of a genuine community caretaking motivation, we find that the stop here did not violate article I, section 8.
*259IV. Conclusion.
For the reasons stated, we affirm the judgment of the district court and the decision of the court of appeals.
DECISION OF COURT OF APPEALS AND JUDGMENT OF DISTRICT COURT AFFIRMED.
Cady, C.J., and Waterman and Zager, JJ., join this opinion. Appel, J., files a dissenting opinion in which Wiggins, J., joins. Hecht, J., takes no part.
We distinguished the Laake decision in Kurth . See Kurth ,
We also distinguished Winters in our Kurth decision. See
Professor Dimino finds that a total of ten states do not recognize community caretaking searches as a valid warrant exception in nonemergency situations. See Dimino, 66 Wash. & Lee L. Rev. at 1503-04. The lead case is People v. Mitchell ,
The present case, however, involves a vehicle seizure, not a search. See John W. Sturgis VII, Note, Help! I Need Somebody (or Do I?): A Discussion of Community Caretaking and "Assistance Seizures" Under Iowa Law ,
We emphasize that today's decision applies only to vehicle seizures and should not be extended to searches.
Several other state courts, applying the Fourth Amendment, have held that community caretaking stops of vehicles must be for community caretaking purposes or at least must take the officer's motive into account. See State v. Marx ,
Dissenting Opinion
I respectfully dissent. For the reasons expressed below, I would hold that the search and seizure was unlawful under article I, section 8 of the Iowa Constitution. In order to fully understand the context of today's decision, it is necessary to review the purposes of constitutional provisions related to search and seizure, development of the "community caretaking" exception in the United States Supreme Court, the state and federal caselaw attempting to apply it, and the implications the doctrine may have on search and seizure law generally.
I. Purpose of Constitutional Provisions Related to Search and Seizure.
It is important at the outset to understand the purposes of Search and Seizure Clauses in the State and Federal Constitutions. The central purpose of the Fourth Amendment and article I, section 8 of the Iowa Constitution"is to safeguard the privacy and security of individuals against arbitrary invasions by government officials." South Dakota v. Opperman ,
The United States Supreme Court, of course, has recognized exceptions to the warrant requirement, and so have we. Yet, as noted in Terry v. Ohio , the exceptions must be "confined in scope" and "strictly circumscribed."
Justice Jackson famously declared decades ago that the warrant requirement was imposed to ensure that a neutral and detached magistrate made the judgment calls necessary to protect privacy and liberty interests and not an officer "engaged in the often competitive enterprise of ferreting out crime." Johnson v. United States ,
Further, no encroachments on liberty are minor. As noted more than a century ago by Justice Bradley, illegitimate practices *260gain their footing when accepted in their "mildest and least repulsive form." Boyd v. United States ,
II. United States Supreme Court Cases Regarding the Community Caretaking Exception to the Warrant Requirement.
In 1973, a divided United States Supreme Court decided Cady v. Dombrowski ,
Law enforcement more thoroughly searched the police officer's seized automobile at the private garage in an effort to find the service revolver, which according to testimony at the hearing on the motion to suppress, was "standard procedure in [the police] department."
The Cady majority concluded that it did.
Under the circumstances, the Cady majority concluded that
the type of caretaking "search" conducted here of a vehicle that was neither in the custody nor on the premises of its owner, and that had been placed where it was by virtue of lawful police action, was not unreasonable solely because a warrant had not been obtained.
Despite the narrow language, the Supreme Court also used the term "community *261caretaking," a potentially protean phrase, to describe police activities not associated with the detection and investigation of crime.
Local police officers, unlike federal officers, frequently investigate vehicle accidents in which there is no claim of criminal liability and engage in what, for want of a better term, may be described as community caretaking functions, totally divorced from the detection, investigation, or acquisition of evidence relating to the violation of a criminal statute.
The above sentence from the Cady majority is, of course, completely true. The interpretive question, however, as will be seen below, is whether this language was intended to provide a springboard for a stand-alone community caretaking exception to the warrant requirement that extends far beyond the limitations expressly emphasized in the majority opinion of Cady .
Justice Brennan, joined by Justices Douglas, Stewart, and Marshall, dissented.
The Cady decision itself is an inventory search case and directly led to further inventory search cases in the United States Supreme Court. See Colorado v. Bertine ,
A fighting issue in the lower courts has been the extent to which the community caretaking exception in Cady is limited by the case's facts. Is the exception limited to searches of impounded automobiles such as those involved in Cady , Opperman , and Bertine ? Does it extend to other kinds of searches involving automobiles that do not involve impoundment or inventory searches? Does it extend into searches of residences?
A second fighting issue is the standard to be employed in determining whether a warrantless community caretaking search is lawful. While the Cady majority refers to "reasonableness" as a test of evaluating the lawfulness of law enforcement actions, what exactly does that mean?
In the more than forty years since Cady , the United States Supreme Court has not addressed these issues, and as a result, the development of the community caretaking doctrine has been left to the lower courts.
*262The only authoritative declaration from the Supreme Court has been the Cady decision, which permitted a warrantless search for community caretaking purposes under the limited circumstances described in that case.
In considering the scope and standards under the community caretaking exception, it is important not to conflate community caretaking with other recognized exceptions to the warrant requirement. For example, warrantless searches have been permitted when there are exigent circumstances or to render emergency aid. See Mincey v. Arizona ,
III. Development of Community Caretaking in Lower Federal Courts.
In light of the limited guidance from the Cady majority and the vigorous nature of the dissent, it is hardly surprising that the lower federal courts have been divided with respect to the application of the community caretaking exception to the warrant requirement outside the context of a Cady search of an impounded automobile. For the most part, however, the federal cases do not involve searches of automobiles, which ordinarily arise in state court proceedings. Yet, the federal cases illustrate some of the fundamental issues involved in considering the scope and standards that inhere in warrantless searches pursuant to a community caretaking function.
For example, several circuits have refused to extend the community caretaking exception. These cases rely on the limiting language in Cady and the availability of other well-recognized exceptions to the warrant requirement. See, e.g. , United States v. Bute ,
Another question percolating through the federal courts is whether the community caretaking exception extends beyond emergency situations and inventory searches to a third amorphous category of police officers acting as public servants. Arguably, everything an officer does pursuant to his or her lawful duties is acting as a public servant. As a result, a case can be made that the public-servant exception to the warrant requirement would swallow up constitutional restrictions on warrantless searches all together. Some federal courts have seemingly limited the scope of the community caretaking doctrine by adopting the relatively stringent standards generally applicable to a warrantless search based on emergency aid. See United States v. Stafford ,
Once the scope of permissible community caretaking has been established, the next question is what standards the court should apply in determining the validity of the warrantless search. One federal court has, like Cady itself, simply declared that the ultimate inquiry is whether the officer acted "within the realm of reason." Lockhart-Bembery v. Sauro ,
A more structured approach to reasonableness in the context of community caretaking is found in United States v. Garner ,
IV. Development of Community Caretaking in State Courts.
Like the federal courts, the state courts are divided on the scope and standards of the community caretaking exception. As in federal court, the struggle over the scope of the community caretaking doctrine has surfaced on the question of whether it extends to home searches.
For example, in State v. Vargas , the New Jersey Supreme Court considered whether evidence obtained pursuant to a warrantless welfare check was admissible.
In the end, the Vargas court concluded that a broad community caretaking doctrine could not support a warrantless search of a home. Id. at 187. The court emphasized the limited scope of Cady and the availability of other exceptions to the warrant requirement, including the emergency-aid and exigent-circumstances exceptions. Id. at 188-89 ; see also State v. Wilson ,
Other state courts, however, have expanded the scope of community caretaking beyond Cady to apply it to searches of homes as well, at least under some circumstances. See People v. Ray ,
The Oregon Supreme Court, on the other hand, does not recognize the community caretaking exception under the Oregon Constitution. State v. Bridewell ,
*265V. Development of Community Caretaking in Iowa Supreme Court Precedents.
We have considered community caretaking in a number of cases. Like many other courts, however, our handling of this search and seizure doctrine has not always been precise.
For example, in State v. Kersh , we considered the admissibility of evidence-namely a pistol-obtained pursuant to a search of an automobile and driver after police received a report that the vehicle had been driven up onto the lawn, the driver was slumped over the wheel when police arrived, and the driver did not respond to police knocks on the window.
In Kersh , we noted that the warrantless search would be unlawful "unless it fell within one of the carefully prescribed exceptions." Id. We stated that the search fell within two exceptions to the warrant requirement, which we did not label. Id. We cited Mincey , however, and other cases involving the emergency-aid exception. Id. We also later suggested that there was reason to believe that the driver was intoxicated. Id. We did not, however, expressly discuss the community caretaking doctrine. Although police in Kersh may have been engaged in community caretaking, the case itself does not involve application of a stand-alone community caretaking exception to the warrant requirement but instead provides a conventional application of well-established exceptions to the warrant requirement. The Kersh case does not expressly state whether the challenge was brought under the Fourth Amendment, article I, section 8 of the Iowa Constitution, or both.
A decade later, we decided State v. Mitchell ,
The next case is State v. Carlson ,
After Carlson , we decided State v. Moore ,
On appeal, we affirmed the district court.
In 2003, we decided State v. Crawford , a Fourth Amendment case.
For the first time, we canvassed the community caretaking doctrine in some detail.
In Crawford , we stated that in community caretaking cases, the reasonableness of *267the warrantless search is based on the facts and circumstances of the case, that reasonableness is determined by balancing the public need against the nature of the intrusion on the privacy of the individual, and that pursuant to the balancing requirement, "the state has the burden of 'showing specific and articulable facts that indicate their actions were proper.' "
(1) was there a seizure within the meaning of the Fourth Amendment?; (2) if so, was the police conduct bona fide community caretaker activity?; and (3) if so, did the public need and interest outweigh the intrusion upon the privacy of the citizen?
In applying the Anderson test, the Crawford court found that there was a seizure.
We came to a different conclusion in a challenge to a warrantless search under article I, section 8 of the Iowa Constitution in State v. Tague ,
In Tague , the state defended the stop on the ground there was reason to believe that the driver was either intoxicated or fatigued.
Drivers talking on their cell phone, looking at a map, adjusting the radio, adjusting the heater, defroster or air conditioner, or checking on a child restrained in the back seat can lead a driver to momentarily cross an edge line, without giving rise to a reasonable suspicion of intoxication or fatigue.
Our most recent community caretaking case is State v. Kurth , where the defendant *268challenged a warrantless search of his automobile under the Fourth Amendment.
In sum, our cases have been inconsistent. In Kurth , Carlson , and Crawford , the searches involved community caretaking but were analyzed under the emergency-aid or exigent-circumstance exceptions to the warrant requirement. In Moore , although the officer was engaged in community caretaking, traditional emergency-aid or exigent-circumstances doctrines could have supported the officer's actions. Finally, in Tague and Kurth , we refused to apply a broad, stand-alone community caretaking doctrine under the facts and circumstances of the case. In no case have we affirmatively stated that the community-caretaking doctrine, whatever it includes, is broad enough to cover situations where law enforcement is providing assistance to the driver of a vehicle-first-party assistance-nor have we considered the requirements that the state must show for a warrantless first-party assistance search to meet constitutional standards.
VI. Survey of State and Federal Cases Involving First-Party Assistance Searches and Seizures of Stopped Vehicles and Motorists Under the Community Caretaking Exception.
We now turn to cases involving warrantless first-party assistance searches and seizures of vehicles on the side of the road. Given the doctrinal uncertainty surrounding community caretaking, it comes as no surprise that the caselaw related to warrantless searches and seizures of such vehicles is scattered. It is no doubt true that the results in the cases turn on the totality of the facts and circumstances, and as a result, the precedents may not provide a basis for rigid reliance. Yet, a survey of the cases can help inform our analysis of the present controversy.
A substantial number of cases involving first-party assistance seizures of stopped vehicles have required specific, articulable facts demonstrating a reasonable belief that the driver or passengers were in need of assistance. These cases often emphasize that when there are only generalized concerns, law enforcement may utilize less intrusive means to determine whether there is a need of assistance but may not engage in warrantless seizures.
An illustrative case is Commonwealth v. Livingstone ,
State v. Boutin is a similar case.
A third case of interest is Ozhuwan v. State ,
A fourth case illustrating the limits of community caretaking in a first-party assistance case is State v. Button ,
Two cases out of Montana show the privacy interests that people have in their automobiles when parked at night. In State v. Hoover and State v. Graham , adults engaging in consensual intimacy in their parked cars were seized by law enforcement officers. Hoover ,
There is one federal case dealing with the seizure of a parked vehicle. In United States v. Gross , a police officer noticed a person slumped down in the front passenger seat of a lawfully parked vehicle.
The Sixth Circuit rejected the claim that the seizure was permissible under the community caretaking doctrine.
There are, however, first-party assistance cases involving parked vehicles where seizures under the public-servant prong of community caretaking have been upheld. These cases, however, often emphasize specific and particular facts related to the need for first-party assistance to support the seizure.
For example, there are a number of first-party assistance cases involving parked vehicles sustaining community caretaking seizures in what might be called slumped-driver cases. See, e.g. , In re Suspension of Driver's License of Clayton ,
A second category of first-party assistance cases involving parked vehicles are cases where assistance is impliedly invited. See, e.g. , People v. McDonough ,
A third category of first-party assistance cases involving parked vehicles arises where odd circumstances surround the parked vehicle. For instance, in State v. McCormick , the defendant's vehicle was parked kittywampus across the entryway of a closed grocery store, with seventy-five percent of the entryway blocked, and a left wheel protruding onto the public roadway at around 2:45 a.m.
*271In general, though the results in the first-party assistance cases involving stopped vehicles are somewhat mixed, the caselaw embraces a concern that the public-servant prong of community caretaking must be carefully cabined through a particularized showing that the driver or occupants are likely to desire or consent to assistance by law enforcement. See, e.g. , Boutin ,
VII. Analysis.
I begin by considering the lesser claim advanced by Coffman, namely, that even assuming the validity of a public-servant prong of community caretaking, the seizure in this case was unlawful. In considering the validity of a warrantless search and seizure, the burden of rebutting a presumption of unlawfulness rests with the government. State v. Horton ,
The first question under Crawford is whether there was a seizure.
The second question is whether the police officer was engaging in a bona fide community caretaking activity. Crawford ,
The requirement of specific, peculiar, and articulable facts is critical to any community caretaking analysis. Even the cases that embrace the public-servant prong of community caretaking emphasize the need for providing effective limits to prevent abuse. See Livingstone ,
Here, the State did not meet its burden of showing specific, particularized reasons for the seizure. At best, the police officer may have had a generalized concern about the situation of the occupants in the vehicle. In Tague , we emphasized that there are many reasons why a person might swerve once over the line on the left side of the road.
It is also important to note what was absent here. There was no slumped driver, no activation of hazard lights, no objective indices of a request for help, no oddball parking, and no safety hazard. As the above discussion indicates, many of the cases supporting seizures of parked vehicles rely upon these types of particularized facts. See, e.g. , Clayton ,
And, there was no reason why a consensual encounter, rather than a seizure, would not have been sufficient to satisfy any community caretaking interest. "[T]he multitudinous everyday contacts between police officers and individuals do not approach any need for forcible intrusions on privacy." Commonwealth v. Canavan ,
It is true, of course, that the incident occurred at night. This is, at best, a double-edged sword. As police found in Hoover ,
Further, this case involves a seizure designed to benefit the party seized, or a first-party assistance seizure. When a first-party assistance seizure is involved, there is no government interest beyond that of assisting the individual. See State v. Kinzy ,
And, under Iowa law the privacy interest of a party in an automobile is substantial. In State v. Vance , we cited a body of academic writing that seeks to increase privacy protections with respect to automobiles compared to recent United States Supreme Court precedent.
In light of the above discussion, it is not necessary to address the larger argument that we should decline to adopt a community caretaking exception that includes the public-servant prong. There are, of course, some important reasons supporting such a view. As has been pointed out above, nothing in Cady itself specifically embraces a broadly framed, stand-alone community caretaking exception. Further, rejection of a broadly framed community caretaking exception would have limited impact on law enforcement as many community caretaking encounters are either consensual or supported by the emergency-aid or exigent-circumstances exceptions. In addition, as demonstrated by the review of caselaw, the public-servant prong tends to be highly fact specific, which could lead to lack of clarity in the law and the slicing and dicing of fact patterns with no principled rule of decision. See, e.g ., Graham ,
VIII. Conclusion.
In my view, for the above reasons, the seizure here was invalid under article I, section 8 of the Iowa Constitution. As a result, I respectfully dissent.
Wiggins, J., joins this dissent.
Reference
- Full Case Name
- STATE of Iowa, Appellee, v. Terry Lee COFFMAN, Appellant.
- Cited By
- 58 cases
- Status
- Published