Thompson Awnings v. Joshua Fullerton
Opinion
Thompson Awnings sued, among others, Officers Joshua Fullerton, Ryan Duncan, and Tarvis Banks of the Lincoln Police Department (LPD) under
I. Background
A. Awnings's Arrest 2
On an early morning in July 2013, Officers Fullerton and Duncan of the LPD encountered Damien Wilkins on a sidewalk in Lincoln. The officers questioned Wilkins about his possible involvement with criminal activity. Awnings, Wilkins's companion, inserted himself into the conversation and began asking the officers why they were questioning Wilkins. Officer Fullerton informed Awnings that the officers were conducting law enforcement business with Wilkins. Officer Fullerton then told Awnings, who had been drinking, that he could wait for his friend a short distance away, if he wished.
Unsatisfied, Awnings-now obviously angry and agitated-refused the direction to step away. Awnings then, in an expletive-laced exclamation, declared that "[h]e would protect his buddy" and that he was "not going anywhere." Qualified Immunity Order at 9. Awnings was several feet from Officer Fullerton, and the officer instructed Awnings to step away from the officers. Awnings again refused, asking, "Why should I leave?"
At that point, Officer Fullerton informed Awnings that he was under arrest and commanded Awnings to place his hands behind his back. Awnings refused, telling Officer Fullerton, "I'm gonna kick your [expletive] ass."
hook[ed] his hand under Officer Duncan's LPD uniform shirt and [brought] his hand up to the collar, grabbing onto the body armor and undershirt as well as his collar. [Awnings] used this hold ... to try to pull Officer Duncan to the ground with force, causing the collar to cinch around Officer Duncan's neck.
Officer Duncan yelled to his colleagues for help. Awnings eventually released Officer Duncan's shirt, and the officers then rolled Awnings onto his stomach and handcuffed him. Awnings refused to walk to the police cruiser. Officer Jeremy Carther from the University of Nebraska-Lincoln Police Department arrived and assisted the LPD officers in placing Awnings on his back in the backseat of the cruiser. Awnings continued to resist and yell profanities. Awnings kicked Officer Carther in the chest twice. At that point, Officers Fullerton, Meyer, and Carther removed Awnings from the cruiser and called for a vehicle with a "full backseat cage."
B. Awnings's Transport to the Detention Center 3
Awnings sustained visible injuries during his arrest. Because he was bleeding, the LPD officers called for an ambulance to transport Awnings to the Bryan West Medical Center ("the Hospital"). Officer Howard accompanied Awnings in the ambulance. At the Hospital, Awnings told the examining physician that he believed he had one or more fractured ribs. The doctor ordered a chest X-ray, which revealed no rib fracture. The doctor pronounced Awnings fit for incarceration, but he ordered a follow-up examination at the Hospital within one to two days. Officer Banks, who had relieved Officer Howard during Awnings's examination at the Hospital, then transported Awnings to the Lancaster County Jail. Officer Banks neglected to inform jail personnel of the doctor's request for a follow-up appointment with Awnings; he "simply informed jail personnel that [Awnings] had been to the emergency room and had been deemed fit for confinement." Mem. & Order at 3, Awnings v. Fullerton , No. 4:15-cv-03078-RGK-CRZ (D. Neb. Jan. 20, 2016), ECF No. 40.
C. District Court and Other Proceedings
Awnings's scuffle with the LPD led to several, subsequent state criminal charges. 4 Awnings pleaded no contest to two of the charges, and the District Court of Lancaster County, Nebraska, sentenced him to two consecutive 90-day jail terms. The Nebraska Court of Appeals upheld Awnings's convictions.
After his state convictions, Awnings filed a lawsuit in federal court pursuant to
Elizabeth Elliott, an attorney employed by the City of Lincoln Attorney's Office (CLAO), initially represented the LPD officers. In that capacity, she filed a notice of intent to serve subpoena duces tecum with the district court. Elliott previously had worked in the Lancaster County Public Defender's Office (LPDO). In fact, Elliott worked as an attorney in that office while the LPDO defended Awnings's state criminal charges. Awnings objected to the notice, and Elliott moved to withdraw from the case upon discovering the potential conflict. Awnings then moved to disqualify the entire CLAO, claiming Elliott's employment at the LPDO while that office represented Awnings created a conflict of interest that could prejudice his civil suit against the officers.
The magistrate judge considered Awnings's motion and found that while employed with the LPDO, Elliott "did not represent [Awnings], never appeared with [Awnings] in court, and never spoke to him about his case. She [did] not recall [Awnings] or the underlying facts of his state criminal case. She was never 'actively involved' in [Awnings's] underlying state criminal case." Mem. & Order at 3,
Awnings v. Fullerton
, No. 4:15-cv-03078-RGK-CRZ (D. Neb. Oct. 14, 2015), ECF No. 26 (citation omitted). And Awnings pleaded no contest to the criminal charges after Elliott left the LPDO. The CLAO assured the court that "Elliott has no confidential information regarding [Awnings] and as such, has not divulged any confidential information to [the CLAO] about [Awnings] or his criminal case."
Officers Banks, Duncan, and Fullerton moved to dismiss Awnings's § 1983 suit under Federal Rule of Civil Procedure Rule 12(b)(6). The district court partially granted the motion and dismissed Officer Banks from the suit. Officers Duncan and Fullerton subsequently filed a motion for summary judgment, which the district court granted. The court concluded that the Heck 5 doctrine barred Awnings from claiming false arrest. But even if Heck did not foreclose Awnings's false arrest claim, the district court determined that Officers Duncan and Fullerton had probable cause to arrest Awnings. Further, the court concluded that the officers' use of force was "objectively reasonable under the circumstances and did not violate [Awnings's] constitutional rights." Qualified Immunity Order at 34. The district court then granted summary judgment to the officers. The court held that the officers were entitled to qualified immunity and dismissed both the false arrest and the excessive force claims.
II. Discussion
In this appeal, Awnings claims the district court erred by: (1) failing to disqualify the entire CLAO; (2) granting qualified immunity to Officers Duncan and Fullerton; and (3) granting Officer Banks's Rule 12(b)(6) motion. We disagree and affirm.
A. Disqualification of the CLAO Attorneys
Awnings argues that Elliott's employment with the LPDO prior to joining the CLAO raises a conflict of interest. Furthermore, he contends that Elliott's conflict should be imputed to the entire CLAO and that the district court should have granted Awnings's motion to disqualify. We review the district court's denial of attorney disqualification for abuse of discretion.
See
United States v. Kehoe
,
Under its general rules, the district court does not "adopt other codes of professional responsibility or ethics." NEGenR 1.7(b)(2)(A). But, "the court may consult other codes of professional responsibility or ethics to determine whether a lawyer has engaged in conduct unbecoming of a member of the bar." NEGenR 1.7(b)(2)(B);
cf.
Malone v. Kantner Ingredients, Inc.
, No. 4:12CV3190,
In
Kinkennon
, a Nebraska court appointed an attorney from a private law firm to represent a defendant in a criminal case.
We recognize that complete disqualification of a prosecutor's office may be warranted in cases where the appearance of unfairness or impropriety is so great that the public trust and confidence in our judicial system simply could not be maintained otherwise. Such an extreme case might exist, even where the State has done all in its power to establish an effective screening procedure precluding the individual lawyer's direct or indirect participation in the prosecution. But when the disqualified attorney is effectively screened from any participation in the prosecution of the defendant, the prosecutor's office may, in general, proceed with the prosecution.
Awnings says the district court erroneously relied on
Kinkennon
and contends that our prior decision,
State of Arkansas v. Dean Foods Products Co.
,
[i]n Dean Foods Products , this court affirmed a district court order disqualifying an Assistant Attorney General from taking part in an antitrust action against a defendant that was being represented by his former law firm. Moreover, the court disqualified those members of the Attorney General's staff who had actively participated in the case under the supervision of the disqualified attorney. The court explicitly reserved judgment on whether the conflict should have resulted in the imputed disqualification of the entire Attorney General's office .
Blair
,
We find no conflict between
Kinkennon
and
Dean Foods Products
, and neither decision supports disqualifying the entire CLAO in Awnings's civil case. When the potential for a conflict became known, Elliott moved to recuse herself from the case out of caution. She did not represent Awnings in his state criminal proceedings, did not recall Awnings or his criminal case, and was never actively involved in the criminal proceedings. Awnings pleaded no contest to the criminal charges after Elliott departed the LPDO. Aside from filing the notice of intent to serve a subpoena duces tecum, the CLAO screened Elliott from further participation in Awnings's case. While Awnings suggested that Elliott might have imparted confidential information regarding his criminal case to the CLAO,
see
Appellant's Br. at 16-17, "[g]eneral assertions that an attorney possesses knowledge of a party's 'trade secrets, trial strategies, negotiation strategies, legal theories or business practices' are not typically sufficient and can be overcome by an attorney affidavit stating the attorney has no knowledge of such items."
Infogroup, Inc. v. DatabaseLLC
, No. 8:14CV49,
Because Awnings failed in his burden to show the necessity of disqualifying of the entire CLAO, we find no abuse of discretion in the district court's denial of Awnings's motion to disqualify.
See
A.J. by L.B.
,
B. Qualified Immunity
Next, Awnings claims the district court erred when it granted qualified immunity to Officers Duncan and Fullerton because the district court erroneously: (1) excluded Awnings's statements about his medical condition; (2) admitted affidavits from the LPD officers; and (3) ignored material fact disputes raised by Awnings. "We review the district court's grant of summary judgment de novo, and may affirm the district court on any basis supported by the record."
Figg v. Russell
,
1. Evidentiary Rulings
Awnings claims that the district court erred in excluding statements he made about his medical examination at the Hospital after his release from jail. He also asserts that the court erred in admitting affidavits from Officers Fullerton, Duncan, Meyer, Howard, and one other officer of the LPD and from Officer Carther from the University of Nebraska-Lincoln Police Department.
Awnings submitted a declaration stating that following his release from jail, he visited a physician at the Hospital, who diagnosed him with four broken ribs and a collapsed lung. The district court excluded Awnings's medical condition statement because the "[examining] physician [was] not identified, the diagnoses [were] hearsay, and there [was] no medical evidence to establish a causal link to" Awning's encounter with the LPD. Qualified Immunity Order at 22 n.22. Awnings says that at the
summary judgment stage, he need not present evidence in a trial-ready form. He contends that he could have called the examining physician to testify at trial. Further, he asserts that he was not required to disclose the physician's name, especially when the doctor's identity was readily discernible from the record. Lastly, Awnings, citing
Ziesmer v. Hagen
,
In
Ziesmer
, a police search of an individual turned into a physical altercation.
It is true that "[w]hen an injury is sophisticated, proof of causation generally must be established by expert testimony." Robinson v. Hager ,292 F.3d 560 , 564 (8th Cir. 2002). However, "[a] causal connection between an event and an injury may be inferred in cases in which a visible injury or a sudden onset of an injury occurs."Id. (quoting Turner v. Iowa Fire Equip. Co. ,229 F.3d 1202 , 1210 (8th Cir. 2000) ).
Given that Ziesmer claims he began experiencing neck pain shortly after the alleged altercation with Trooper Hagen, and given that there is no evidence suggesting he experienced any such pain before [the incident with the trooper], a layperson could conclude that Ziesmer's symptoms were caused by the trauma to his neck and back. See also Hill v. Gonzalez ,454 F.2d 1201 , 1203 (8th Cir. 1972) (noting that "expert testimony is not necessary" to prove causation when the "inferences to be drawn from the facts are within the range of common experience" of the jury members (quotation omitted) ); cf. Saunders v. Frost ,124 Fed. Appx. 468 , 469 (8th Cir. 2005) (agreeing that the plaintiff's knee injury was sophisticated, requiring an expert witness to prove causation, because his knee "had a long medical history marked by earlier traumas and an earlier surgery"). Injuries such as those claimed by Ziesmer are "within the range of common experience," and the lack of a medical expert on this issue is not fatal to his claim at this stage of the proceedings.
Id. at 1239 (first and second alterations in original).
Here, Awnings's alleged injuries-fractured ribs and a collapsed lung-were internal and required sophisticated medical tools to diagnose accurately. As such, Awnings's non-visible alleged injuries are not within the range of common experience where inferences may be made with confidence. Further, Awnings's visit to the Hospital immediately after his arrest showed no fractured ribs or a collapsed lung. In the absence of medical evidence, only Awnings's own allegations remain. But, "[a] plaintiff may not merely point to unsupported self-serving allegations, but must substantiate allegations with sufficient probative evidence that would permit a finding in the plaintiff's favor."
Davidson & Assocs. v. Jung
,
Awnings also challenges the district court's decision to admit affidavits from the officers, contending that the affidavits should have been excluded because the officers do not state that they had personal knowledge of "any of the facts [they] recited, and "the affidavit[s] do[ ] not establish that [the officers] would be competent to testify as to the objectionable portions." Appellant's Br. at 39. Awnings cites to no authority that the affidavits must expressly state they came from personal knowledge, and we decline to endorse the kind of formalism that Awnings propounds. The district court found that the officers' statements were based on personal knowledge and overruled Awnings's objections. See Qualified Immunity Order at 4 n.1. In his objections, Awnings presented no arguments or evidence why the officers would not be competent to testify at a trial. We find no abuse of discretion and affirm the district court's evidentiary rulings.
2. False Arrest
Awnings contests the district court's conclusion that the Heck doctrine barred his false arrest claim. He also challenges the district court's alternative ruling-that even if Heck does not bar Awnings's claim, Officers Duncan and Fullerton had probable cause to arrest Awnings. We need not address Awnings argument that the district court misapplied Heck because the officers had probable cause to arrest him for obstruction of a peace officer.
Awnings argues that at the beginning of his encounter with Officers Fullerton and Duncan, he did not resist. The record, however, does not support Awnings's contention. According to Awnings, Officer Fullerton "yelled at him to shut up and pointed to a direction behind him." Qualified Immunity Order at 17. Awnings averred that he could not hear Officer Fullerton and he "yelled back at [Officer] Fullerton." Id. at 18. Officer Fullerton then "grabbed [Awnings's] right arm and started to yank it." Id. "Awnings [then] recoiled and tried to get his arm loose." Id. Awnings does not dispute that Officers Fullerton and Duncan were conducting law enforcement business with his companion, that Officer Fullerton pointed Awnings away from the scene, or that he refused to comply. At that point, Officer Fullerton grabbed Awnings, and Awnings pulled away.
Under Nebraska law, Awnings's admitted conduct qualified as obstruction of a peace officer and resisting arrest. "A person commits the offense of obstructing a peace officer, when, by ... physical interference, or obstacle, he ... intentionally obstructs, impairs, or hinders ... the enforcement of the penal law or the preservation of the peace by a peace officer ... acting under color of his ... official authority."
Based on Awnings's obstruction, Officer Fullerton had probable cause to arrest. With probable cause, it was unnecessary for Officer Fullerton to issue a "verbal advisement of an attempted arrest"; rather, "actions to effectuate physical control over [the defendant] [are sufficient to] constitute[ ] an attempt to arrest."
Statev. Heath
,
3. Excessive Force
Awnings also faults the district court for granting qualified immunity to Officers Fullerton and Duncan on his excessive force claim. He argues genuine disputes of material facts preclude the court's grant of qualified immunity.
"To determine whether a particular use of force was excessive, the court considers whether it was objectively reasonable under the circumstances, relying on the perspective of a reasonable officer present at the scene, rather than the 20/20 vision of hindsight."
Ehlers
,
We agree with the district court that Awnings showed no genuine disputes of material fact between his version of events and the officers' version. Here, the record shows that Officer Fullerton executed a takedown maneuver after Awnings resisted arrest for obstruction under Nebraska
law. Awnings alleged that officers joined in beating him, but Officers Fullerton and Duncan's evidence-uncontroverted by Awnings-showed an uncooperative and bellicose Awnings who resisted arrest by swinging and kicking at the officers.
6
Also of note, Awnings contends that at least four officers physically attacked him. But, according to the proof of record, Awnings sustained only a
de minimis
injury-a small laceration over his right eyebrow.
See
Ellison v. Lesher
,
Here, other than generic assertions, Awnings's statements "do not give the slightest hint about the amount of force the officer[s] used or why the amount of force was unreasonable in light of [his] persistent efforts to [resist] the police."
Edwards v. Giles
,
C. Motion to Dismiss
Awnings contends that the district court erred in dismissing Officer Banks from the suit. Awnings argues that he adequately stated a claim for deliberate indifference to his serious medical needs. Awnings's allegation stemmed from Officer Banks's failure to inform the jail staff of Awnings's need for a follow-up visit with the Hospital. We review de novo the district court's grant of a motion to dismiss under Federal Rule of Civil Procedure 12(b)(6).
Wong v. Minn. Dep't of Human Servs.
,
The parties do not dispute that Officer Banks neglected to inform jail personnel of Awnings's need for a follow-up medical appointment. Awnings argues that his transport from the Hospital to the jail was part of his arrest; therefore his claim against Officer Banks necessarily implicates the Fourth Amendment. But, historically, in this circuit, claims of deliberate indifference to an arrestee's medical needs are "properly analyzed under the Due Process Clause of the Fourteenth Amendment."
Carpenter v. Gage
,
Under the Fourteenth Amendment, " '[d]eliberate indifference' entails a level of culpability equal to the criminal law definition of recklessness, that is, a prison official 'must both be aware of facts from which the inference could be drawn that a substantial risk of serious harm exists, and he must also draw the inference.' "
Bender v. Regier
,
III. Conclusion
We affirm. 7
COLLOTON, Circuit Judge, concurring in part and concurring in the judgment.
I join all but Part II.C of the opinion of the court. As to Awnings's claim against Officer Banks, I disagree with the court's decision to declare that the claim is governed by the Due Process Clause. Whether the Fourth Amendment or the Due Process Clause governs the actions of Officer Banks during the period after Awnings was arrested but before a judicial officer determined probable cause to detain him is important doctrinally. The issue was not thoroughly briefed in this case. The answer is unnecessary to resolving this appeal. I would therefore refrain from deciding the point.
We said in
Bailey v. Feltmann
,
In this case, Awnings loses under either approach. An arrestee's asserted Fourth Amendment right to be free from unreasonable neglect in communicating a need for medical care was not clearly established in July 2013 when Awnings was seized, so Banks is entitled to qualified immunity on that claim.
See
Bailey
,
The court goes further, however, and says that "our precedents favor analyzing Awnings's medical needs claim under Fourteenth Amendment standards."
Id
. But our decisions do not resolve which constitutional provision applies. As we explained in
Bailey
,
The court disclaims any decision about whether "an arrestee's claim alleging denial of medical care is analyzed under the Due Process Clause or the Fourth Amendment,"
ante
, at 1102 (quoting
Bailey
,
The Honorable Richard G. Kopf, United States District Judge for the District of Nebraska.
Although Awnings disputed the defendants' version of the events, the district court found that most of the defendants' statements of material facts did not controvert Awnings's own recitation.
See
Mem. & Order at 7-23,
Awnings v. Fullerton
, No. 4:15-cv-03078-RGK-CRZ (D. Neb. Apr. 24, 2017), ECF No. 133 ("Qualified Immunity Order"). Upon review, we find that the parties' versions of events largely do not controvert each other, and we recite here only the undisputed facts.
See
Morris v. City of Chillicothe
,
We recite these facts as alleged in Awnings's complaint and assume them to be true.
See
Zink v. Lombardi
,
These charges included assault on an officer in the third degree, in violation of
Heck v. Humphrey
,
Awnings stated that he pulled his arm back when Officer Fullerton first grabbed his arm; that after Officer Fullerton's takedown, Awnings tried to get Officer Fullerton off and to get away from the officer; that he tried to curl his body into a ball (thereby making it difficult for the officers to handcuff Awnings); and that he jumped out of the police vehicle after having been placed in the back seat. See Qualified Immunity Order at 18-20.
Prior to oral argument, Officer Banks moved to be dismissed as a party to this appeal. That motion is denied.
Reference
- Full Case Name
- Thompson L. AWNINGS, Formerly Known as Tristan Simon, Plaintiff-Appellant v. Joshua FULLERTON; Ryan Duncan, Defendants-Appellees Jeremy Carther; Todd Roberts, Defendants Tarvis Banks; 1-10 Does, Defendants-Appellees
- Cited By
- 18 cases
- Status
- Published