This case requires consideration of the circumstances under which a police officer who intentionally gives false testimony before a grand jury is entitled to absolute immunity from civil liability under 42 U.S.C. § 1983 (1982). The issue is raised on an interlocutory appeal by defendants-appellants Richard Frank and Freeman Marshall from an order of the District Court for the Southern District of New York (David N. Edelstein, Judge) denying their motion to dismiss a civil rights suit brought by plaintiff-appellee Willie D. White.
Background
The complaint contains the following allegations. Until sometime in mid-1985, the appellants Frank and Marshall were police officers in the Crime Prevention Unit of the Poughkeepsie Police Department. Both officers appeared before the Dutchess County grand jury in the summer of 1983 and testified that they had observed White sell small quantities of cocaine to a confidential informant, Frank testifying to a sale on June 8, 1983, and Marshall testifying to a sale on June 15, 1983.
The record at this stage does not reveal whether additional evidence, testimonial or otherwise, was presented to the grand jury concerning the alleged crimes. Nor are we informed of any additional facts detailing the nature and extent of appellants’ roles in the initial stages of the prosecution.
The grand jury returned a four-count indictment charging White with the sale and possession of a controlled substance on both occasions in June. An arrest warrant was issued upon the indictment, and White was arrested by unidentified Poughkeepsie police officers. Unable to make bail, White remained in jail pending trial. After a pretrial suppression hearing, at which Frank and Marshall again testified against White, the case proceeded to trial.
At trial, Frank and Marshall once again appeared as witnesses and repeated their testimony concerning the two alleged narcotics transactions. White was convicted on the counts relating to the alleged June 8 episode, concerning which Frank had testified. The jury could not, however, reach a verdict on the counts relating to the June 15 episode, which had been the subject of Marshall’s testimony, and these counts were dismissed. White was sentenced to a prison term of seven and one-half to fifteen years.
During the latter part of 1984 and early 1985, the Dutchess County District Attorney’s office investigated allegations of official misconduct in the Poughkeepsie Police Department’s Crime Prevention Unit. The probe apparently uncovered widespread corruption implicating to some extent both Frank and Marshall. Frank was charged with grand larceny in the third degree, criminal possession of stolen property in the second degree, and tampering with physical evidence, all arising out of his activities as a police officer. He later pled guilty to tampering with physical evidence. Criminal charges were also brought against Marshall as a result of the investigation, and he subsequently pled guilty to the crime of official misconduct.
In early 1985 Frank confessed to the Dutchess County District Attorney’s office that his testimony in the proceedings against White had been perjured. As a consequence, White’s conviction was vacated pursuant to Article 440 of the New York Criminal Procedure Law, and he was released from custody after serving almost two years in prison.
White then brought suit under, section 1983, claiming that his rights protected by the Fourth, Sixth, and Fourteenth Amendments had been violated as a result of the false arrest, false imprisonment, and malicious prosecution allegedly instigated and orchestrated by Frank and Marshall.
1
The
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defendants moved to dismiss the complaint on the ground that they are absolutely immune from civil liability for damages based on their testimony before the grand jury, at the pretrial suppression hearing, and at trial. They relied then, as they do now, primarily on
Briscoe v. LaHue,
Discussion
Although the denial of a motion to dismiss is ordinarily not an appealable “final decision” within the meaning of 28 U.S.C. § 1291 (1982), the “collateral order” doctrine of
Cohen v. Beneficial Industrial Loan Corp.,
Section 1983 “on its face admits of no immunities,”
Imbler v. Pachtman,
The common law made a subtle but crucial distinction between two categories of witnesses with respect to their immunity for false testimony. Those whose role was
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limited to providing testimony enjoyed immunity; those who played a role in initiating a prosecution — complaining witnesses — did not enjoy immunity. The distinction reflected the difference between the two causes of action by which those falsely accused sought to hold witnesses liable. In an action for defamation, the perjurious witness was sought to be held liable only for the defamatory effect of his testimony, and in such an action he enjoyed absolute immunity upon a threshold showing that the allegedly defamatory statements were relevant to the judicial proceeding.
See Briscoe v. LaHue, supra,
Indeed, courts and commentators often distinguished between the two actions precisely in terms of the availability of immunity. In
Hastings v. Lusk,
To this class, also, belong complaints made to grand juries and magistrates, charging persons with crimes, for which no' action for slander will lie, although express malice as well as the absolute falsity of the charge can be established by proof. But the law has provided a different remedy in cases of that kind, where, in addition to what has before been stated, it can be proved that the party who made the complaint had no probable cause for believing that the charge was true.
Id. at 417 (emphasis added). In 1860, another New York court offered a similar analysis:
In the case of judicial proceedings ... words spoken or written by a party, by counsel, by a judge, a juror or a witness, although false, defamatory and malicious, are not actionable if they were uttered in the due course of the proceeding, in the discharge of a duty, or the prosecution or defense of a right, and were pertinent and material to the matter in hand. It is unquestionable that a person who institutes a groundless proceeding, whether civil or criminal, *960 against another, upon false or defamatory charges, is liable to an action for the injury he occasions. But that the action must be for the malicious complaint, indictment or action, and not for the words.
Perkins v. Mitchell,
Other early cases illustrate the point with special pertinence to the pending appeal by permitting a plaintiff to recover in an action for malicious prosecution based in part upon the defendant’s appearance before the grand jury.
See Dennis v. Ryan,
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This common law background has special relevance to the issue of immunity for public officials sought to be held liable under section 1983 for initiating baseless charges.
5
The Supreme Court, recognizing that the common law did not extend immunity to “complaining witnesses,”
Malley v. Briggs, supra,
Numerous decisions have similarly afforded immunity to officials charged under section 1983 with testifying falsely at various types of pretrial proceedings, although the decisions have not been careful to recognize that such immunity is available only where the constitutional tort is simply giving false testimony.
See Williams v. Hepting,
Appellants also contend that the role of both the public prosecutor and the grand jury in advancing the prosecution of White necessarily insulated them from liability for malicious prosecution. We disagree. The intervening acts of a grand jury have never been enough to defeat an otherwise viable malicious prosecution claim, whether or not the grand jury votes a true bill or even returns an indictment ultimately determined to be deficient as a matter of law.
See
H. Stephen,
supra,
at 10-13 (discussing English cases). And though an indictment by a grand jury is generally considered
prima facie
evidence of probable cause in a subsequent civil action for malicious prosecution, this presumption may be rebutted by proof that
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the defendant misrepresented, withheld, or falsified evidence.
See Hopkinson v. Lehigh Valley R.R. Co.,
The public prosecutor’s role in the prosecution likewise does not affect our immunity analysis, though again it may affect appellants’ ultimate liability on the merits. No doubt, the availability of the malicious prosecution action has been curtailed with the growth of the office of the public prosecutor. Unlike the private prosecutor,
see
Note,
Private Prosecution: A Remedy for District Attorneys’ Unwarranted Inaction,
65 Yale L.J. 209, 232-33 & n. 127 (1955), the public prosecutor “is absolutely immune from suit for malicious prosecution,”
Imbler v. Pachtman, supra,
As with the grand jury, however, the public prosecutor’s role in a criminal prosecution will not necessarily shield a complaining witness from subsequent civil liability where the witness’s testimony is knowingly and maliciously false.
See Hopkinson v. Lehigh Valley R.R. Co., supra,
Though the appellants are not entitled to immunity simply because they participated as witnesses before the grand jury that indicted White, they may yet be entitled to immunity if further exploration of the facts demonstrates that they did not play a sufficient role in initiating the prosecution to be liable for the constitutional tort of malicious prosecution. Clearly, the plaintiff has alleged a claim of malicious prosecution and appears to have a factual basis that will defeat a claim of immunity from liability for this tort. Whether that turns out to be the case cannot be determined at this stage. Since the availability of immunity cannot now be determined as a matter of law, we lack jurisdiction over this interlocutory appeal and are obliged to dismiss so that the matter may proceed in the trial court.
The appeal is therefore dismissed.
Notes
. White also alleged that Frank and Marshall maliciously conspired to initiate the criminal prosecution in violation of 42 U.S.C. § 1985(3) (1982), discriminating against him because he is Black. The District Court denied a motion to dismiss this claim, rejecting the contention that White had insufficiently alleged racial animus. Appellants challenge this ruling, but we decline to exercise pendent appellate jurisdiction over that challenge. The sufficiency of the pleading of the conspiracy is not closely related to the immunity issue raised by appellants’ challenge
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to the ruling denying their motion to dismiss the section 1983 claim,
cf. San Filippo v. U.S. Trust Co.,
Also not before us is White's claim against the City of Poughkeepsie, alleging a failure adequately to train and supervise police officers, including the appellants.
. An action for malicious prosecution has long been available against an individual who (1) instituted criminal proceedings against the plaintiff (2) with malice and (3) without probable cause, if (4) the criminal proceedings terminated in the plaintiffs favor.
See generally
W. Prosser,
supra,
§ 119, at 834. The tort evolved during
the
Sixteenth and Seventeenth Centuries out of the ancient writ of conspiracy into an action on the case maintainable against a single defendant.
See Briscoe v. LaHue, supra,
.Professor Harper’s article traces the complex and subtle way in which the actions for malicious prosecution, false imprisonment, and defamation complement one another in the context of defining the “tort remedies available against one who directly or indirectly participates or attempts to participate in the administration and enforcement of the criminal law." Harper, supra, 15 Tex.L.Rev. at 183. He identifies a roughly inverse relationship between the standards for liability and the limitations on liability within each doctrinal framework and seeks to explain this phenomenon by reference to the different policy concerns at work in the three fields of liability. Thus, the defamation action provides for strict liability, but the privilege from liability for words spoken in a judicial proceeding is absolute because “the public interest in protecting those who materially assist in the administration of the criminal law so far offsets the interest in reputation alone.” Id. at 168. However, the action for malicious prosecution is not similarly circumscribed. It provides redress, though only under tightly guarded circumstances, from unjustifiable litigation in order to protect the plaintiffs financial interests and interest in bodily freedom, as well as his reputation. Id. at 168-70. The malicious prosecution plaintiff faced a daunting task to establish liability, but the obstacle of witness immunity was removed.
.There were isolated cases at common law in which a witness was held to be immune from liability for malicious prosecution for testimony before a grand jury.
See Taplin-Rice-Clerkin Co. v. Hower,
. There can be no question that malicious prosecution can form the basis for imposition of liability under section 1983.
See Raysor v. Port Authority,
. No argument is made that appellants’ status as police officers confers additional force to their claim to absolute immunity in their role as witnesses. Indeed, appellants urge us to treat police officer-witnesses no differently from any other witness.
Cf. Briscoe
v.
LaHue, supra,
