Dominguez v. BeameDominguez v. Beame
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- Before:
- Meskill
Lead Opinion
We are asked to reverse a judgment entered in the United States District Court for the Southern District of New York, Charles M. Metzner, Judge, dismissing an action brought under
Until 1973, women who were suspected by the New York City police of being engaged in prostitution-related activities, but against whom an arrest for prostitution could not be sustained, were arrested for “loitering.” The statute that defined this offense read as follows:
A person is guilty of loitering when he:
6. Loiters, remains or wanders in or about a place without apparent reason and under circumstances which justify suspicion that he may be engaged or about to engage in crime, and, upon inquiry by a peace officer, refuses to identify himself or fails to give a reasonably credible account of his conduct and purposes .
A person is guilty of disorderly conduct when, with intent to cause public inconvenience, annoyance or alarm, or recklessly creating a risk thereof:
5. He obstructs vehicular or pedestrian traffic .
Arrests of suspected prostitutes on charges of “disorderly conduct” came to be known as “dis-con-pros” arrests. From the record as it stands,1 it appears that virtually all of the suspected prostitutes who were arrested for “disorderly conduct” were released the next morning as a result of the district attorney’s decision not to prosecute. The only exceptions to this practice appear to have occurred when an additional charge was lodged against the arrestee or when an outstanding warrant for the arrestee was discovered. This process of dismissing “dis-con-pros” arrests was known as “343-ing,” the number referring to the form used by the district attorney’s office to formalize the decision. The record also shows that the supervising officers and certain specific police officers in the 20th precinct, the precinct involved in this case, knew and understood that most if not all of the “dis-con-pros” arrests effected in the 20th precinct would be “343-ed” by the district attorney.
As to the specific arrest at the center of this appeal, the district court made the following findings of fact, which we cannot characterize as clearly erroneous.
On March 6, 1976, a complaint was filed in the Southern District by the appellant individually “and on behalf of all others similarly situated.” The named defendants were the Police Department of New York City, the Mayor and Assistant Mayor, the Commissioner of the Police Department, and the two arresting officers. The defendants other than the Police Department were sued both individually and in their official capacities. The substance of the
The district court held that appellant had been arrested without probable cause, basing that holding on judicial interpretations of the predecessor to the then effective “disorderly conduct” statute, § 722 of the New York Penal Law of 1909. See, e. g., People v. Nixon, 248 N.Y. 182, 161 N.E. 463 (1928); People v. Carcel, 3 N.Y.2d 327, 165 N.Y.S.2d 113, 144 N.E.2d 81 (1957). See also Practice Commentary to
It would seem that a policy refusal by a district attorney not to prosecute persons arrested for disorderly conduct does not rise to the level of summary punishment of those nevertheless arrested by the police. First, it is the duty of police officers to carry out their enforcement duties. If the district attorney refuses to follow through with prosecution, that is his responsibility, for which he may be held answerable in other forums. Second, district attorneys in other counties within the city were prosecuting these cases and it would create an anomalous situation to have a single police department enforcing the same law in different ways in different portions of the city.
Accordingly, the district court declined to grant to the appellant the requested declaratory, injunctive and monetary forms of relief and dismissed the action in its entirety.
DISCUSSION
Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any State or Territory, subjects, or causes to be subjected, any citizen of the United States or other person within the jurisdiction thereof to the deprivation of any rights, privileges, or immunities secured by the Constitution and laws, shall be liable to the party injured in an action at law, suit in equity, or other proper proceeding for redress.
In Monel1 v. Department of Social Services of the City of New York, 436 U.S. 658, 98 S.Ct. 2018, 56 L.Ed.2d 611 (1978), the Su
The Supreme Court explained in Monell that:
Local governing bodies . . . can be sued directly under§ 1983 for monetary, declaratory, or injunctive relief where, as here, the action that is alleged to be unconstitutional implements or executes a policy statement, ordinance, regulation, or decision officially adopted and promulgated by that body’s officers. Moreover, although the touchstone of the§ 1983 action against a government body is an allegation that official policy is responsible for a deprivation of rights protected by the Constitution, local governments, like every other§ 1983 “person,” by the very terms of the statute, may be sued for constitutional deprivations visited pursuant to governmental “custom” even though such a custom has not received formal approval through the body’s official decision-making channels.
436 U.S. at 690-91, 98 S.Ct. at 2035-36 (footnote omitted). The Court cautioned, however, that “Congress did not intend municipalities to be held liable unless action pursuant to official municipal policy of some nature caused a constitutional tort.” 436 U.S. at 691, 98 S.Ct. at 2036 (emphasis added). Accordingly, a municipality may not be held liable under
[A] local government may not be sued under§ 1983 for an injury inflicted solely by its employees or agents. Instead, it is when execution of a government’s policy or custom, whether made by its lawmakers or by those whose edicts or acts may fairly be said to represent official policy, inflicts the injury that the government as an entity is responsible under§ 1983 .
436 U.S. at 694, 98 S.Ct. at 2038. In other words, in order for a governmental entity to be liable “for its own violations,” 436 U.S. at 683, 98 S.Ct. 2018, the plaintiff in a
Using this analysis, we think it is quite plain that the Police Department should not be held liable for the violations of the appellant’s rights that were either alleged or demonstrated. As found by the district court, “[t]he evidence in this case is clear that although there was a policy to arrest women suspected of being prostitutes on the charge of disorderly conduct, the policy was to arrest only those women actually observed engaging in activity which the police in good faith believed constituted an offense.” This disposes of the appellant’s argument that she was arrested for her “status;” the record shows that she was arrested for her conduct. Compare Powell v. Texas, 392 U.S. 514, 88 S.Ct. 2145, 20 L.Ed.2d 1254 (1968); Robinson v. California, 370 U.S. 660, 82 S.Ct. 1417, 8 L.Ed.2d 758 (1962). This also disposes of appellant’s claim that the Department should be held liable for the fact that she was arrested without probable cause. There was no departmental policy, and there was no showing of a departmental custom, to arrest suspected prostitutes under the “disorderly conduct” statute in the absence of probable cause. The fact that the police officers actually did arrest the appellant without
As to defendant Codd, then the Commissioner of the New York City Police Department, virtually the same considerations dictate the same result — dismissal. Again reverting to the findings of fact by the district judge, “[tjhere is nothing in this case to indicate that anyone higher in the Police Department than Chief Inspector McCarthy[4] was aware of the policy involved in this action,” meaning the policy of arresting suspected prostitutes under the “disorderly conduct” statute. Moreover, even if he had known about it, indeed, even if he had been responsible for it, there is nothing unlawful about the policy that existed — arresting persons for “disorderly conduct.” And, as with the Department itself, even assuming that appellant was subjected to “summary punishment,” there is nothing in the record to justify assigning responsibility for that action to Commissioner Codd. The dismissal of “disorderly conduct” arrests was solely a matter for the district attorney.
As far as the individual arresting officers are concerned, we see no basis for overturning the district court’s finding that they acted in “good faith” when they placed the appellant under arrest. In defining the good faith defense that may be asserted by police officers when they are sued for having effected an arrest without probable cause, this Court has stated:
[T]o prevail the police officer need not allege and prove probable cause in the constitutional sense. The standard governing police conduct is composed of two elements, the first is subjective and the second is objective. Thus the officer must allege and prove not only that he believed, in good faith, that his conduct was lawful, but also that his belief was reasonable. And so we hold that it is a defense to allege and prove good faith and reasonable belief in the validity of the arrest and search and in the necessity for carrying out the arrest and search in the way the arrest was made and the search was conducted. We think, as a matter of constitutional law and as amatter of common sense, a law enforcement officer is entitled to this protection.
Bivens v. Six Unknown Named Agents of the Federal Bureau of Narcotics, supra, 456 F.2d at 1348. Judge Lumbard explained the contours of this defense in the following fashion:
If the complaint states a cause of action and the plaintiff adduces substantiating proof, the defendant will have to disprove the allegation that he acted without probable cause, or show that, in any event, he acted in good faith and with a reasonable belief in the validity of the arrest and search.
Ordinarily when a suit of this type is brought a court will already have determined that there was no probable cause for the arrest and search complained of. Nevertheless the agent has a complete defense if he can convince the trier of the fact that he acted in good faith and that it was reasonable for him to have believed that the arrest and search were lawful. Thus there are two standards to be considered. The first is what constitutes reasonableness for purposes of defining probable cause under the fourth amendment for the protection of citizens against governmental overreaching. The other standard is the less stringent reasonable man standard of the tort action against government agents. This second and lesser standard is appropriate because, in many cases, federal officers cannot be expected to predict what federal judges frequently have considerable difficulty in deciding and about which they frequently differ among themselves. It would be contrary to the public interest if federal officers were held to a probable cause standard as in many cases they would fail to act for fear of guessing wrong. Consequently the law ought to, and does, protect government agents if they act in good faith and with a reasonable belief in the validity of the arrest and search.
Id. at 1348-49 (Lumbard, J., concurring). See also Jaroslawicz v. Seedman, 528 F.2d 727, 732 (2d Cir. 1975); Laverne v. Corning, 522 F.2d 1144, 1147-48 (2d Cir. 1975). See generally Newman, Suing the Lawbreakers: Proposals to Strengthen the
We decline to overturn the district court’s finding that the officers acted in subjective good faith, based as it is on a determination of witness credibility, and we find it reasonable for the officers to have believed that the conduct engaged in by the appellant gave them sufficient reason to place her under arrest for “disorderly conduct.”
The New York Court of Appeals described the determination of probable cause in the case of People v. Smith, supra:
Probable cause exists where the facts and circumstances within the officer’s knowledge and of which he had reasonably trustworthy information are sufficient in themselves to warrant a person of reasonable caution in the belief that an offense has been or is being committed.
44 N.Y.2d at 622, 407 N.Y.S.2d at 467, 378 N.E.2d at 1037. It is our judgment that, for purposes of this
The judgment of the district court is affirmed.
Notes
. We decline to reverse the evidentiary rulings made by the district court regarding the admissibility of certain documents. Our decision today rests upon our reading of the documents that were admitted into evidence and our review of the transcripts and papers submitted to the court.
. In light of Turpin v. Mailet, 591 F.2d 426 (2d Cir. 1979) (on remand), we need not consider appellant’s complaint insofar as it attempts to state a cause of action directly under the Fourteenth Amendment.
. The appellees have not persuaded us that the district court’s conclusion in this regard was error. Accordingly, we base our decision today on the assumption that appellant was arrested without probable cause.
4. McCarthy is a high-ranking officer in what is called the “Manhattan North Area.” A Captain McCabe was the commanding officer of the 20th Precinct, in which appellant was arrested. McCabe was the one who instructed the officers to make arrests of suspected prostitutes when they had reason to believe that they were violating the “disorderly conduct” statute. McCabe sent a copy of his order to McCarthy who responded by sending a copy of a memorandum from Isabel Wood, then Legal Advisor to Manhattan North. Wood’s memo indicated that arrests for “status” were illegal and that the implementation of McCabe’s order would therefore be illegal. She also indicated that an arrest with knowledge of inevitable dismissal would be unlawful. McCabe asked McCarthy for advice, and McCarthy said to go ahead with the arrests as long as the proper observations of conduct were made and documented.
Dissenting Opinion
(dissenting in part):
The evidence, it would appear, does not support the trial court’s finding that the defendants Bonarti and Colletti had established a defense of good faith. Leaving to one side the question whether Officer Colletti was sufficiently a participant in rather than a bystander at the arrest, the evidence seems plainly to preclude a finding that the officers could reasonably have believed that the arrest was supported by probable cause. The disorderly conduct statute, Penal Law,
“with intent to create public inconvenience, annoyance or alarm, or recklessly creating a risk thereof.”
Officer Bonarti observed no such conduct. Around 1:00 A.M. he saw plaintiff-appellant leaning against a car, saw her beckon to a man who talked to her and then walked away, and, a moment later, saw her walk over to another passing man and speak to him for a moment or so at about the midpoint of the sidewalks that meet at the corner of Broadway and West 84th Street. Officer Colletti’s testimony was similar, but he added that he observed plaintiff speaking from the passenger side to someone in a car. A man had earlier complained to the officers of plaintiff’s solicitation and had pointed plaintiff out to them, but refused to give his name, and Officer Bonarti testified that the intersection was one frequented by prostitutes. Nothing in this evidence suggests the remotest approach to a breach of peace, or to any public disorder, or threat of it, or, specifically, of obstructing public passage in the street. Officer Bonarti clearly understood the statute. He explained the statute thus:
“So far as I understand that law, it is if someone impedes the flow of vehicular or pedestrian traffic and also causes a public inconvenience, annoyance, then they are in violation of the section.”
There was in what the officers testified that they observed nothing of the impeding of public traffic, nothing of threat to public order; the complaint’s characterizing the observed conduct as engaging various males in “conversation thereby causing an inconvenience to vehicle and pedestrian traffic” makes it clear that there was no interference with the flow of traffic other than that implicit in any brief conversation between two people meeting on the street.
It might have been wondered whether the officers’ action disappointed any expectation of their superiors, but the testimony of Captain McCabe forbids the inference
It is concluded that an erroneous standard of reasonable belief was applied to the facts in the district court, and that, in consequence, dismissal of appellant’s complaint against the arresting officers was error.