I
This action arises out of the alleged violations of plaintiffs civil rights by New York State Trooper R.H. Endee, Jr., the Town of Argyle and the County of Washington. 1 The action is brought pursuant to 42 U.S.C. § 1983, and jurisdiction is predicated upon 28 U.S.C. §§ 1331 and 1343. A trial to the Court was had on January 5-7 and 18-19, 1983. 2 The final submissions of counsel were filed on May 25, 1983.
II
In 1969, Richard Hickland commenced farming in Argyle, New York, on property which later became known as Beaver Brook Farms.
3
The primary operation of the farm consisted of raising Hereford cattle.
4
On December 16, 1976, Terry Gray, a neighbor of the Hickland farm, advised New York State Trooper James Dean that he had been involved in an accident with one of Richard Hickland’s animals. (Transcript, p. 537). The accident occurred on McClay Road, adjacent to the Hickland farm. Upon investigation, Trooper Dean discovered a dead Hereford lying on the west shoulder of McClay Road approximately 150 feet north of the Alice Hickland residence. (Transcript, p. 538). Later that evening, Dean telephoned Richard Hickland at his home in Salem, New York and spoke to Sandra Hickland, Richard’s second wife.
On December 17, 1976, defendant Robert Endee received a telephone complaint from Alice Hiekland about a dead animal on the shoulder of McClay Road. (Transcript, pp. 113-15). Endee then interviewed Mrs. Hiekland, who advised him that the cow belonged to Beaver Brook Farms. (Transcript, pp. 115-16, 215-16). Thereafter, Endee travelled to the Hiekland farm and examined the dead Hereford but could find no markings which conclusively would identify its owner. Endee then contacted Dr. Leith Skinner, the Town of Argyle Health Officer, who apparently authorized Endee to “act as his agent” in seeing that the cow was removed. (Transcript, p. 559). Accordingly, Endee drove ten miles to Richard and Sandra Hickland’s residence in Salem, New York, and instructed Richard Hiekland to remove the dead animal by sundown of the next day. (Transcript, pp. 118-19). Specifically, Trooper Endee informed Richard Hiekland
that if the bull was not removed by sundown on the following day, that the Town would remove it, the Town Highway Department, and that he would be charged the fee for their time and cost. (Transcript, pp. 133-34). 5
Additionally, Endee informed Richard Hick-land that some of his cattle were loose on McClay Road. (Transcript, pp. 134, 255).
Richard Hiekland responded that he had to attend a funeral out of state the next day but that “he would see what he could do about it.” (Transcript, pp. 133, 254). Satisfied with this response, Endee “considered the case closed.” (Transcript, p. 220). Hiekland testified also that, later that evening, he drove to Beaver Brook Farms in an attempt to comply with Endee’s instructions but that he could find neither the dead cow nor any roaming animals. (Transcript, p. 255). He further testified that all the gates used to fence in his cattle were securely closed.
The next day (December 18th), Richard Hiekland left for Connecticut. That night, Trooper Endee returned to McClay Road to check if the dead cow had been removed. (Transcript, p. 139). Endee testified that the dead cow had not been moved and that other live cattle still were running loose on McClay Road. (Transcript, p. 149). Trooper Endee again returned to the farm on Sunday the 19th to see if the dead cow had been removed. Endee testified further that he went to the farm for the additional purpose of taking the deposition 6 of Terry Gray needed to support an information charging Richard Hiekland with criminal nuisance. (Transcript, pp. 151-52). By this time, the dead cow had been removed by the Town Highway Superintendent, Robert LaFoy. (Transcript, p. 150).
That evening, Trooper Endee filed two informations with Judge McWhorter, the town justice, charging Richard Hiekland with a violation of § 12-b of the New York Public Health Law
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and § 240.45 of the New York Penal Law.
8
Based on these
Sometime on the 20th of December, Richard Hickland arrived at the State Police Substation in Salem to inquire as to the whereabouts of his cattle. (Transcript, p. 172). After telling Hickland that his cattle had been impounded, Trooper Endee advised him that he was under arrest for violations of the Penal Law and the Public Health Law, but permitted Hickland to drive his family home before placing him in custody. Hickland was arraigned later that day before Judge McWhorter. (Transcript, pp. 174-75).
Nearly three weeks later, on January 7, 1977, there was another accident near the Hickland Farm allegedly involving one of Richard Hickland’s cows. Trooper Endee was instructed by his superior, Sergeant Russell Guard, to proceed with an investigation already commenced by two other New York State Troopers. Sergeant Guard apparently requested the efforts of Trooper Endee due to his familiarity with “the information and the law,” having “previously handled the situation with Mr. Hickland.” (Transcript, p. 188). This second accident, reported to have occurred at 2:40 A.M. on January 7, 1977, involved a collision between an automobile driven by Carol Guard (Sergeant Guard’s teenage daughter) and a stray Hereford bull. The accident occurred on County Route 49 near both the Hickland farm and the home of Thomas Hughes. The two troopers who originally investigated the accident reported a statement by Hughes that the bull belonged to Richard Hickland. Accordingly, Trooper Endee interviewed Hughes on January 14, 1977 and obtained from him a deposition stating the following:
That on January 7th, 1977 at about 2:40 A.M. a Hereford bull, belonging to the Hickland Farm, was struck by a ear operated by Carol Guard, on County routy, [sic] 49, near my home. (Defendant’s exhibit J.).
On January 14, 1977, Judge McWhorter issued a warrant for the arrest of Richard Hickland based on the Hughes deposition and an accompanying information executed by Trooper Endee. 10 On January 15, 1977, Richard Hickland was arrested by Trooper Endee and promptly arraigned before Judge McWhorter on a charge of criminal nuisance. (Transcript, p. 196).
On June 27, 1977, Richard Hickland was acquitted by a jury on the criminal nui
Ill
The threshold inquiry in a § 1983 action is twofold. The Court must consider both whether the conduct complained of was committed by a person acting under color of state law as well as whether that conduct deprived a person of rights, privileges, or immunities secured by the Constitution.
Parratt v. Taylor,
In a § 1983 action the burden is on the plaintiff to prove by a preponderance of the evidence that conduct of the defendant “caused him to be subjected to a deprivation of constitutional rights.”
Duchesne v. Sugarman,
IV
A. Malicious Prosecution
In order for a plaintiff to recover on a claim of malicious prosecution, four distinct elements must be established. The plaintiff must demonstrate that (1) the defendant either commenced or continued a criminal proceeding against him; (2) that the proceeding terminated in his favor; (3) that there was no probable cause for the criminal proceeding; and (4) that the criminal proceeding was instituted in actual malice.
Russo v. State of New York,
Here, plaintiff’s complaint centers upon defendant Endee’s alleged lack of probable cause at the time he filed the informations charging plaintiff with criminal nuisance and violation of the New York State Health Law.
With respect to the first two informations filed on December 19, 1976, it is clear that plaintiff has failed to meet his burden of proving by a preponderance of the evidence a lack of probable cause. While the record contains extensive testimony concerning the factors surrounding defendant Endee’s decision to file these initial informations, there is no clear indication that his actions were prompted by other than probable cause. Indeed, the “totality of the circumstances” informing Endee’s decision to file the informations provides ample support for a finding of probable cause. 15
Although this Court concludes that Endee had probable cause to believe the cow belonged to Richard Hickland, that is not the only relevant probable cause inquiry. The basis of the informations was not only the presence of the animals on the road, but rather a failure on the part of Richard Hickland to comply with the orders from Trooper Endee to remove the dead cow and to keep other live cows off McClay Road. It was not until after Trooper Endee noted non-compliance with these orders that the informations were executed. Clearly, there was probable cause to support Endee’s belief that Richard Hickland did not obey his orders. Because plaintiff has failed to establish the absence of probable cause as to these two informations, a claim for malicious prosecution stemming therefrom will not lie.
Similarly, with respect to the third information filed on January 14, 1977, plaintiff has failed to prove by a preponderance of the evidence that Trooper Endee lacked probable cause in executing the accusatory instrument. The record clearly indicates that Endee was instructed to proceed with an investigation of an accident involving a cow near the Hickland farm. When Endee took charge of the investigation already commenced by two other troopers, he was privy to a police blotter entry made by the original investigating officers which indicated that Thomas Hughes, a neighbor of the Hickland farm, said that the cow that was hit belonged to Richard Hickland. (Transcript, p. 205). Based on this information, Endee proceeded to obtain a deposition of Thomas Hughes to the same effect. While the deposition of Hughes was not
Even if plaintiff proved by a preponderance of the evidence a lack of probable cause,
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the malicious prosecution claim still must fail for want of an additional element, viz., malice. Malice is of course an indispensable element of a malicious prosecution claim under state law.
Russo v. State of New York,
requirements for maintaining a common law malicious prosecution suit, time-honored though they are, do not bind us in determining whether the plaintiffs have stated a claim for violation of their Fourteenth Amendment rights, ... the experience of the common law is nonetheless a valuable source of instruction in arriving at minimum standards for imposition of liability based essentially on tortious conduct, whether or not it be labelled as a violation of a “constitutional” or some other right.
while normally the requirement of ulteri- or purpose or improper motive is not necessary to establish a § 1983 violation, ... “[w]hen an essential element of the wrong itself under well established principles of tort law includes the demonstration of an improper motive as in malicious prosecution, ... then such principle becomes a part of see. 1983.”
Tucker v. Maher,
Plaintiff erroneously contends that, to establish malice “[i]n the legal sense, it is sufficient to establish only that defendant acted without probable cause.” (Plaintiff’s post-trial brief at 14). While the absence of probable cause does bear on the malice issue, the two remain independent elements of the malicious prosecution action.
Martin v. City of Albany,
Plaintiff also raises allegations of animosity on the part of Judge McWhorter and Trooper Endee toward Richard Hick-land. Nowhere, however, are these claims fairly established by the testimony. ' Nor is there to be found proof of any causal link between such purported animosity and the filing of charges. In short, plaintiff has not carried his burden of establishing by a preponderance of the evidence that any of Trooper Endee’s actions were maliciously motivated.
Finally, at least with respect to two of the three informations, plaintiff has failed to establish the third element of a malicious prosecution claim, namely, a termination of the criminal proceedings in plaintiffs favor. It is well settled that this element of the state tort of malicious prosecution claim is equally applicable to § 1983 cases.
Singleton v. City of New York,
Finally, the burden is on the plaintiff to present evidence of the circumstances under which the criminal proceeding was terminated.
Russo v. State of New York,
B. False Arrest
In addition to the malicious prosecution claim addressed above, plaintiff’s complaint also includes claims predicated on a theory of constitutional false arrest. These claims too must fail.
Ostensibly, the constitutional deprivation asserted by plaintiff with respect to his false arrest claim is predicated upon both his fourth amendment right to be free from any unreasonable seizure and his fourteenth amendment right not to be deprived of liberty without due process of law. It is important to note at the outset that Endee’s arrest of Richard Hickland was effected pursuant to a facially valid arrest warrant. Richard Hickland, thus, was af
The analysis of the Supreme Court in
Baker v. McCollan,
Whatever claims this situation might give rise to under state tort law, we think it gives rise to no claim under the United States Constitution. Respondent was indeed deprived of his liberty for a period of days, but it was pursuant to a warrant conforming, for purposes of our decision, to the requirements of the Fourth Amendment____
Respondent’s innocence of the charge contained in the warrant, while relevant to a tort claim of false imprisonment in most if not all jurisdictions, is largely irrelevant to his claim of deprivation of liberty without due process of law.
In the present case, Trooper Endee effected the arrest of Richard Hickland only after first obtaining a warrant issued upon a probable cause finding by the town justice. The constitutional safeguard against unfounded invasions of liberty was satisfied, therefore, by having the issue of probable cause decided by a neutral and detached magistrate.
See Gerstein v. Pugh,
Of course, the situation would be entirely different had plaintiff adduced evidence that Endee swore falsely to the information upon which the magistrate based his finding of probable cause. Here, however, the record contains no such evidence. Because plaintiff was afforded the constitutional protection of having a neutral and detached magistrate pass upon the question of probable cause, no liability properly may attach to the actions of Trooper Endee.
V
For all of the foregoing reasons, this Court concludes that plaintiff has not established a violation of his constitutional rights. Accordingly, entry of judgment in favor of defendant R.H. Endee, Jr. hereby is directed. The foregoing constitutes this Court’s findings of fact and conclusions of law in accordance with Fed.R.Civ.P. 52(a).
It is so Ordered.
Notes
. Originally named as defendants were State Trooper Endee, the Town of Argyle, the County of Washington and the State of New York. However, the allegations in the body of plaintiffs complaint fail specifically to refer to the State as a defendant. In any event, this suit against New York State is barred by the eleventh amendment to the United States Constitution.
See Edelman v. Jordan,
By an earlier decision of this Court, all claims against defendants Town of Argyle and County of Washington were dismissed pursuant to Fed. R.Civ.P. 12(b)(6). Hickland v. Endee, No. 78-CV-172 (N.D.N.Y. Sept. 23, 1982). Additionally, pursuant to this Court’s unpublished order of November 8, 1982, plaintiffs Sandra Hickland, James Hickland, John Hickland, and Amanda Hickland all have been dropped from the suit.
. The following witnesses testified on behalf of plaintiff: Wallace McWhorter, Town Justice of the Town of Argyle; defendant Robert H. Endee; Robert LaFoy, Superintendent of Highways for the Town of Argyle; plaintiff Richard Hickland; Stanley E. Hook, Captain, New York State Police; Robert A. Given.
Defendant called the following witnesses: New York State Trooper James Dean; Dr. Leith Skinner, Town of Argyle Health Officer; Muriel A. Swanson; Paul L. Stephan; William J. Morrison.
. The Argyle property was purchased in 1969 by Richard Hickland and his former wife, Alice Hickland. The Hicklands were divorced on April 15, 1974. In January of 1975, use and possession of the Argyle farm were granted to Richard Hickland for his farming operation while his former wife retained use and possession of the farm residence. Richard Hickland resided in the town of Salem, New York, approximately 10 miles from the farm.
. More specifically, plaintiff was engaged in raising registered, pure-bred Herefords. Herefords registered with the Hereford Association primarily are considered breeding animals, and are sold to other farmers who are interested in improving their herd quality. (Transcript, pp. 248-49). Each registered head of cattle is given an identifying number which is tattooed in the animal’s ear. (Transcript, p. 249). Richard Hickland testified that all of his cattle were so tattooed (except for very small calves). Additionally, he testified that all of his cattle were tattooed with the ‘‘BBF’’ (Beaver Brook Farms) brand. (Transcript, p. 249).
The distinguishing characteristic of a Hereford apparently is its reddish brown body and white face. (Transcript, p. 117). Among Herefords, there is also a distinction between horned and polled (unhorned) animals. According to trial testimony, most of the Hickland Herefords had horns. (Transcript, p. 436).
. Apparently, Trooper Endee did not advise Richard Hiekland that he would be subject to arrest for failure to comply with this directive. According to Endee's testimony, he had no intention of making an arrest, since he assumed that Richard Hiekland would comply with his request. (Transcript, p. 148).
. The "depositions” referred to here as well as those appearing elsewhere in this opinion are not depositions within the meaning of the Federal Rules of Civil Procedure. Rather, they are statements contained on an official New York State Police form labelled "Deposition of Witness to Accompany Complaint or Information.” The statements so made are not sworn to in all cases but the forms put declarants on notice that any false statements made therein are punishable as a class A misdemeanor pursuant to § 210.45 of the New York Penal Law.
. N.Y.Public Health Law § 12-b.l (McKinney 1979):
A person who wilfully violates or refuses or omits to comply with any lawful order or regulation prescribed by any local board of health or local health officer, is guilty of a misdemeanor____
. N.Y.Penal Law § 240.45 (McKinney 1980):
A person is guilty of criminal nuisance when:
1. By conduct either unlawful in itself or unreasonable under all the circumstances, heknowingly or recklessly creates or maintains a condition which endangers the safety or health of a considerable number of persons
. In addition to the informations, Trooper Endee submitted to Judge McWhorter several supporting depositions, including that of Dr. Skinner, stating that Endee had in fact been authorized to act as an agent of the Health Office in directing Richard Hickland to remove the cattle; a deposition executed by Terry Gray, describing his auto accident on McClay Road involving an animal; a deposition by Muriel Swanson, a neighbor of the Hickland Farm, alleging that on numerous occasions Richard Hickland’s cattle had intruded upon her property; and the deposition of Richard Smith, alleging that Hickland cows had been loose on McClay Road on December 17, and that one of them came in contact with his car.
. Although there is some question as to precisely what documents served as the basis for the issuance of the warrant, there is no question that Judge McWhorter was presented with the deposition of Thomas Hughes as well as the information executed by Trooper Endee. There was also testimony by Trooper Endee and Judge McWhorter that a deposition of Carol Guard was submitted in support of the accusatory instrument. (Transcript, pp. 85-89, 193). However, it appears that the Guard deposition was not executed until January 15, 1977, the day after the warrant was issued. If that is in fact the case, then the warrant was issued solely on the basis of Trooper Endee’s information and the rather skeletal deposition of Thomas Hughes.
. Section 170.40 provides:
1. An information, a simplified traffic information, or a misdemeanor complaint, or any count thereof, may be dismissed in the interest of justice, as provided in paragraph (g) of subdivision one of section 170.30 when, even though there may be no basis for dismissal as a matter of law upon any ground specified in paragraphs (a) through (f) of said subdivision one of section 170.30, such dismissal is required as a matter of judicial discretion by the existence of some compelling factor, consideration or circumstance clearly demonstrating that conviction or prosecution of the defendant upon such accusatory instrument or count would constitute or result in injustice.
. Counts one and two of plaintiffs amended complaint originally set forth claims against all named defendants based on conversion of the Hickland cattle, and a conspiracy to deny plaintiff access to the courts. Both of these counts were dismissed as to all defendants pursuant to the earlier decision of this Court. Hickland v. Endee, No. 78-CV-172 (N.D.N.Y. Sept. 23, 1982). The sole issue presently before this Court, therefore, concerns only allegations contained in counts three and four of the amended complaint, namely, false arrest and malicious prosecution.
. Throughout these proceedings, plaintiff has maintained that the constitutional deprivation here at issue was effected through a conspiracy on the part of defendant Endee and Town Justice McWhorter. Specifically, plaintiff alleges a "close relationship” between Judge McWhorter and defendant Endee, (Transcript, pp. 53-55), and suggests that Endee and McWhorter "jointly” decided to impound stray Hickland cattle, (Transcript pp. 159, 169). On the basis of the evidence adduced at trial, however, this Court remains unconvinced as to the existence of any such conspiracy.
The "close relationship” to which plaintiff refers is certainly not out of the ordinary, considering the interrelated functions performed by these two defendants. The testimony of Judge McWhorter specifically disavows any social relationship with defendant Endee and acknowledges only the “line of duty” contacts that certainly would be expected between a town justice and a locally stationed state trooper.
With respect to any "joint venture” involving the impounding of the plaintiffs cattle, two points are in order. First, the claim of conversion already has been dismissed. Second, plaintiff’s proof falls far short of suggesting even an inference of impropriety with respect to such concerted action. The impounding simply was a task requiring the efforts of more than one individual, and no conspiratorial motive reasonably may be found to exist. Indeed, plaintiff has failed completely to produce any evidence other than mere conjecture or speculation as to the existence of any conspiracy.
Cf. Greene v. Brown,
. While the elements so stated are required to sustain a tort action under New York law, it is clear that these same elements are necessary in a § 1983 claim.
See Singleton v. City of New York,
.
See Illinois v. Gates,
— U.S.-,
Plaintiff apparently operates under the misconception that Endee was required to be absolutely certain of the identity of the cows before instructing Richard Hickland to have them removed. However, “it is clear that ‘only the probability, and not a prima facie showing, of criminal activity is the standard of probable
. Despite extensive testimony, the record does not reveal who in fact owned the cow. Richard Hickland testified that all of his cattle were ear-tattooed with both a registered number and the letters "BBF” (Beaver Brook Farms). Trooper Endee, however, testified that the dead cow on McClay Road had no identifying marks. Rather, he believed it to be Hickland’s animal based on other circumstantial evidence. In any event, there is no indication that Endee knew that all of- Hickland’s cows were tattooed, and so, the absence of a tattoo on the dead cow would not necessarily have alerted him to the possibility of another owner.
. Indeed, plaintiff appears to operate under a misconception as to where such a burden properly lies. In his post-trial brief, plaintiff asserts that “the limited evidentiary support that defendant introduced at trial ... fails utterly to establish any probable cause for filing the charge[s]...." (Brief at p. 38). The onus is not upon defendant to prove he had probable cause; rather, plaintiff must establish its absence.
. There is no claim that the town justice himself is liable for the false arrest of plaintiff. Nor would such a claim be maintainable under the well-established doctrine of judicial immunity. “[Jjudges defending against § 1983 actions enjoy absolute immunity from damages liability for acts performed in their judicial capacities.”
Supreme Court of Virginia v. Consumers Union,
What plaintiff does argue, however, is that those conspiring with immune officials are not entitled to assert a vicarious immunity. Citing
Dennis v. Sparks,
