SACK, Circuit Judge:
Defendant-Appellant Andrew Novarro, an Ithaca, New York, police officer, appeals from that part of a memorandum decision and order dated March 28, 2008, by the United States District Court for the Northern District of New York (Frederick J. Scullin, Jr., Judge) denying his motion for summary judgment on a false arrest claim brought by plaintiff-appellee Joseph Amore under 42 U.S.C. § 1983. The claim is based on Novarro's arrest of Amore pursuant to New York Penal Law § 240.35(3), which, on its face, prohibited loitering in a public place for the purpose of soliciting another person to engage in "deviate" sexual behavior.
The district court concluded that Novarro was not entitled to qualified immunity: Amore had a clearly established constitutional right to be free from unlawful arrest, and it would have been clear to a reasonable officer in Novarro's position that making an arrest under section 240.35(3) after it had been held to be unconstitutional by the New York Court of Appeals in People v. Uplinger, 58 N.Y.2d 936, 460 N.Y.S.2d 514, 447 N.E.2d 62 (1983) (Mem.), was unlawful.
We disagree. We conclude that Novarro is entitled to qualified immunity under the circumstances of this case. We therefore reverse that part of the district court's order dismissing Novarro's motion for summary judgment on the false arrest claim based on qualified immunity, and remand the cause with instructions to grant the motion. The action against the City of Ithaca may proceed.
Plaintiff Joseph Amore encountered defendant Andrew Novarro on October 19, 2001, at around 9:00 p.m. in Stewart Park, a public park in Ithaca, New York. Novarro was there as an undercover police officer, sitting in a parked unmarked car, watching for drug activity. Amore, having been in the park for some while and not knowing who Novarro was or what he was doing there, approached his car, engaged him in conversation, and then offered to perform a sexual act on him.
Novarro identified himself as a police officer and asked Amore for identification, which he produced. Novarro told Amore that he did not have a ticket to write out and would have to call for "backup," which he proceeded to do.
While they waited for another police officer to arrive, Novarro told Amore that he was being charged with "loitering for the purpose of deviant [sic
Novarro testified, and it is not disputed before us, that the New York police academy he had attended issues a copy of the New York Penal Law to, inter alia, every Ithaca police officer.
Novarro then drove from the park to the police station to prepare an accusatory instrument reflecting the citation issued to Amore. It alleged that Amore had violated section 240.35(3) by "loitering ... in a public place for the purpose of ... soliciting another person to engage[,] in ... sexual behavior of a deviate nature, TO WIT: ... [Amore] did solicit [Novarro] to engage in deviate sexual intercourse." Accusatory Instrument, No. 01-13431 (Ithaca City Ct. Oct. 19, 2001) ("Accusatory Instrument"). Novarro then issued Amore an appearance ticket pursuant to the Penal Law, and released him from custody. The appearance ticket required Amore to appear in Ithaca City Court to answer a charge of "loitering" in violation of New York Penal Law § 240.35(3).
Novarro then had Amore formally charged with a violation of that offense. See Accusatory Instrument.
Some time later, the city prosecutor informed Novarro that Amore had moved to dismiss the charge against him based on Uplinger, a 1983 ruling by the New York Court of Appeals holding, in a memorandum decision, that the loitering statute pursuant to which Amore had been arrested, New York Penal Law § 240.35(3), was unconstitutional. The city prosecutor told Novarro that she therefore could not continue the prosecution. It is undisputed that Novarro was unaware, prior to this conversation, that the statute had been held to be unconstitutional.
On November 7, 2001, the prosecutor moved to dismiss the charge against Amore based on Uplinger, as she had told Novarro she would. The Ithaca City Court granted the motion on that basis. The court observed that it was "puzzling" that the statute continued to be published in the McKinney's Consolidated Laws of New York Annotated—an annotated compendium of New York statutes that is separate from, and more formal and complete than, the unannotated booklet provided to Novarro and other officers by the police academy—"as if it is still a viable statute." People v. Amore, No. 01-36459 (Ithaca City Ct. Nov. 15, 2001). "It is hard to understand why the Legislature would continue this statute on the books, given that it is now close to 20 years since it was determined to be unconstitutional." Id.
Some two and one-half years later, on February 12, 2004, Amore filed a complaint in the United States District Court for the Northern District of New York against Novarro and the City of Ithaca seeking damages pursuant to 42 U.S.C. § 1983. His claims against Novarro were for false arrest, malicious prosecution, abuse of process, and violation of his right to equal protection. His claims against the city were made pursuant to Monell v. Department of Social Services, 436 U.S. 658, 98 S.Ct. 2018, 56 L.Ed.2d 611 (1978), for failure to train city employees and for maintaining an improper policy, custom or practice of permitting officers to make arrests under the unconstitutional statute.
The defendants moved to dismiss the complaint. Amore opposed the motion, filing a cross-motion for partial summary judgment on the issue of liability.
On March 28, 2008, the district court denied Amore's cross-motion for summary judgment with respect to all claims, and, treating the defendants' motion as a motion for summary judgment, granted the defendants' motion in part and denied it in part. The district court granted the motion
The district court denied summary judgment on the false arrest claim, however. See id. The court reasoned that Novarro lacked probable cause to arrest Amore under section 240.35(3) because the New York Court of Appeals had declared that statute unconstitutional in Uplinger. Id. at *14-*16.
The district court acknowledged that such a situation presents a "difficult choice" for a police officer because "[a] common sense reading of [section 240.35(3)] would place [Amore's] actions squarely within the purview of [that provision]." Id. at *20-*21. It also recognized that "Novarro would have had to conduct legal research or seek expert advice in order to discover the statute's invalidity." Id. at *21.
The district court also denied the motion for summary judgment on the failure-to-train claim against the city. The court based its decision on evidence submitted by Amore to the effect that the city knew that its police officers operating in Stewart Park would encounter individuals soliciting and engaging in sex. See id. at *18-*19. At argument before this Court, the parties represented that the failure-to-train claim against the city was still pending. It is not before us on this appeal.
On June 9, 2008, the district court denied Amore's motion to reconsider the denial of his motion for summary judgment on the false arrest claim. See Amore v. City of Ithaca, No. 04 Civ. 176, 2008 U.S. Dist. LEXIS 453 (N.D.N.Y. June 9, 2008).
The sole question on appeal, then, is whether Novarro is entitled to qualified immunity on the false arrest claim.
"As a general rule, the denial of summary judgment is not immediately appealable." Finigan v. Marshall, 574 F.3d 57, 60 n. 2 (2d Cir.2009) (citing 28 U.S.C. § 1291). "The collateral order doctrine, however, allows review of a district court's denial of summary judgment on the ground that the movant was not entitled to qualified immunity to the extent that the district court has denied the motion as a matter of law." Id. (internal quotation marks omitted).
Our jurisdiction is limited such that we may only review Novarro's assertion of qualified immunity based on "stipulated facts, facts accepted for purposes of the appeal, or the plaintiff's version of the facts that the district court deemed available for jury resolution." Kelsey v. County of Schoharie, 567 F.3d 54, 60 (2d Cir. 2009) (internal quotation marks omitted). While "we must examine whether a given factual dispute is `material' for summary judgment purposes, we may not review whether a dispute of fact identified by the district court is `genuine.'" Jones v. Parmley, 465 F.3d 46, 55 (2d Cir.2006) (internal quotation marks omitted).
Summary judgment should be granted where "there is no genuine issue as to any material fact and ... the movant is entitled to judgment as a matter of law." Fed.R.Civ.P. 56(c). The court construes all evidence in the light most favorable to the non-moving party, drawing all inferences and resolving all ambiguities in his favor. See, e.g., LaSalle Bank Nat'l Ass'n v. Nomura Asset Capital Corp., 424 F.3d 195, 205 (2d Cir.2005). We review the district court's denial of summary judgment on qualified immunity grounds, as in other contexts, de novo. See, e.g., Moore v. Andreno, 505 F.3d 203, 208 (2d Cir. 2007).
Qualified immunity is an affirmative defense designed to "protect[] the [defendant public] official not just from liability but also from suit ... thereby sparing him the necessity of defending by submitting to discovery on the merits or undergoing a trial." X-Men Sec., Inc. v. Pataki, 196 F.3d 56, 65 (2d Cir.1999). In explaining the justification for the provision of qualified immunity to government officers, we have looked to Judge Learned Hand's discussion of absolute immunity in Gregoire v. Biddle, 177 F.2d 579 (2d Cir. 1949), cert. denied, 339 U.S. 949, 70 S.Ct. 803, 94 L.Ed. 1363 (1950). See Back v. Hastings on Hudson Union Free School Dist., 365 F.3d 107, 129 (2d Cir.2004) ("The justification for the common law privilege of qualified immunity has been eloquently described by Judge Learned Hand...."). Judge Hand explained that "to submit all officials, the innocent as well as the guilty, to the burden of a trial and to the inevitable danger of its outcome, would dampen the ardor of all but the most resolute, or the most irresponsible, in the unflinching
We have since reiterated our concern that for the public benefit, public officials be able to perform their duties unflinchingly and without constant dread of retaliation. See, e.g., Provost v. City of Newburgh, 262 F.3d 146, 160 (2d Cir.2001) ("Qualified immunity serves important interests in our political system, chief among them to ensure that damages suits do not `unduly inhibit officials in the discharge of their duties' by saddling individual officers with `personal monetary liability and harassing litigation.'" (quoting Anderson v. Creighton, 483 U.S. 635, 638, 107 S.Ct. 3034, 97 L.Ed.2d 523 (1987))). And the Supreme Court has described the "central purpose" of qualified immunity as preventing threats of liability that would be "`potentially disabling'" to officials. Elder v. Holloway, 510 U.S. 510, 514, 114 S.Ct. 1019, 127 L.Ed.2d 344 (1994) (quoting Harlow, 457 U.S. at 818, 102 S.Ct. 2727).
In light of these considerations, we have developed a standard for determining whether an officer is entitled to qualified immunity that is "forgiving" and "`protects all but the plainly incompetent or those who knowingly violate the law.'" Provost, 262 F.3d at 160 (quoting Malley v. Briggs, 475 U.S. 335, 341, 106 S.Ct. 1092, 89 L.Ed.2d 271 (1986)). "[Q]ualified immunity ... is sufficient to shield executive employees from civil liability under § 1983 if either (1) their conduct did not violate clearly established rights of which a reasonable person would have known, or (2) it was objectively reasonable [for them] to believe that their acts did not violate these clearly established rights." Cornejo v. Bell, 592 F.3d 121, 128 (2d Cir.2010); see also, e.g., Taravella v. Town of Wolcott, 599 F.3d 129, 134 (2d Cir.2010) ("Even where the law is `clearly established' and the scope of an official's permissible conduct is `clearly defined,' the qualified immunity defense also protects an official if it was `objectively reasonable' for him at the time of the challenged action to believe his acts were lawful." (internal quotation marks omitted)); Okin v. Village of Cornwall-On-Hudson Police Dep't, 577 F.3d 415, 433 (2d Cir.2009) ("A police officer who has an objectively reasonable belief that his actions are lawful is entitled to qualified immunity.").
"Ordinarily, determining whether official conduct was objectively reasonable
We assume here, not without reason, that when Novarro arrested Amore he violated a constitutional right of Amore not to be arrested for activity made criminal by section 240.35(3), which had been held unconstitutional by the New York Court of Appeals. Cf. Lemon v. Kurtzman, 411 U.S. 192, 207-08, 93 S.Ct. 1463, 36 L.Ed.2d 151 (1973) (plurality opinion) (indicating that a statute is a legal basis for arrest only "[u]ntil judges say otherwise"). But the question for purposes of determining Novarro's entitlement to qualified immunity is whether it was objectively reasonable for him to arrest Amore while failing to realize that the statute he was attempting to enforce had been held unconstitutional.
To spare police officers the unenviable choice between failing to enforce the law and risking personal liability for enforcing what they reasonably, but mistakenly, think is the law, we generally extend qualified immunity to an officer for an arrest made pursuant to a statute that is "on the books," so long as the arrest was based on probable cause that the statute was violated.
We noted some years ago that:
Robison v. Via, 821 F.2d 913, 921 (2d Cir.1987) (citations omitted).
Similarly here, we assume that it is clearly established that an arrest under a statute that has been authoritatively held to be unconstitutional is ordinarily a constitutional violation. And it is clear that Amore was sufficiently detained for him to have been "arrested" for purposes of bringing this false arrest claim,
The question is whether it was nonetheless objectively reasonable for Novarro, as the arresting officer, to have believed that the statute in question remained fully in force and that his arrest was therefore not a violation of Amore's constitutional rights.
Section 240.35(3) made it a crime to loiter "in a public place for the purpose of engaging, or soliciting another person to engage, in deviate sexual intercourse or other sexual behavior of a deviate nature."
At the time Novarro arrested Amore— and indeed, until after the issuance of our initial opinion in this appeal—"[d]espite judicial invalidation, the State of New York ha[d] not formally repealed [section 240.35(3)]." Casale v. Kelly, 257 F.R.D. 396, 401 (S.D.N.Y.2009).
Indeed, more than two years after Amore's arrest for violating section 240.35(3), the New York State legislature amended the wording of this very section,
In determining whether an officer is entitled to qualified immunity, "[t]he question is not what a lawyer would learn
The plaintiff and amici suggest the fact that the statute had been held unconstitutional automatically and necessarily strips the officer of immunity. We disagree.
We accept that it is the unusual case where a police officer's enforcement of an unconstitutional statute will be immune. And there are suggestions from the Supreme Court and our own court that an officer's entitlement to rely on a statute ordinarily expires when a binding court decision declares the statute unconstitutional. See Michigan v. DeFillippo, 443 U.S. 31, 38, 99 S.Ct. 2627, 61 L.Ed.2d 343 (1979) (state officials "are charged to enforce laws until and unless they are declared unconstitutional"); Vives, 405 F.3d at 117 ("We have held that absent contrary direction, state officials are entitled to rely on a presumptively valid state statute until and unless the statute is declared unconstitutional.") (internal quotation marks, ellipses, and alterations omitted); Crotty, 346 F.3d at 102 ("[U]ntil judges say otherwise, state officers have the power to carry forward the directives of the state legislature") (internal quotation marks and ellipsis omitted).
There are cases, too, from other circuits where qualified immunity was denied to an officer enforcing a statute that, while still "on the books," had previously been declared unconstitutional in a binding court decision. See, e.g., Leonard v. Robinson, 477 F.3d 347, 358-61 (6th Cir.2007) (denying qualified immunity to a police officer who arrested a citizen for using a "mild profanity while peacefully advocating a political position" at a public assembly, and noting that "it cannot seriously be contended that any reasonable peace officer, or citizen, for that matter, would believe" that such speech constituted a "criminal act," in light of "the prominent position that free political speech has in our jurisprudence and in our society"); Baribeau v. City of Minneapolis, 596 F.3d 465, 479 (8th Cir.2010) (denying qualified immunity to police officers who arrested citizens for "engaging in an artistic protest").
We have no reason to doubt the conclusions of those courts. But the statutes at issue and the circumstances of arrest they were considering differ from the facts presented here. Cf. Brief of Amici Curiae New York Civil Liberties Union & Lambda Legal Defense and Education Fund, Inc. in Support of Appellee's Pet. for Reh'g and Reh'g En Banc ("Amici Br.") at 2-3 (discussing statutes banning interracial marriage that remained on the books until 2000). None of these cases, nor any other binding authority of which we are aware, stands for the categorical proposition that if a statute has been held unconstitutional, adherence to it by a law enforcement official is, ipso facto, unreasonable for qualified immunity purposes irrespective of the circumstances. We do not think that to be the law. Cf. Gertz v. Robert Welch, Inc., 418 U.S. 323, 343-44, 94 S.Ct. 2997, 41 L.Ed.2d 789 (1974) (observing that while a "broad rule[] of general application" was justified in the First Amendment context
We ordinarily impute knowledge of the case law to public officials. See Harlow, 457 U.S. at 819, 102 S.Ct. 2727 ("[A] reasonably competent public official should know the law governing his conduct."); Simms v. Village of Albion, N.Y., 115 F.3d 1098, 1106 (2d Cir.1997) (qualified immunity inquiry focuses on "reasonably well-trained officer"); Salahuddin v. Coughlin, 781 F.2d 24, 27 (2d Cir.1986) ("Officials are held to have constructive knowledge of established law."). But, as Judge Hartz of the Tenth Circuit has noted, albeit in dissent, "[t]he statement in Harlow that reasonably competent public officials know clearly established law[] is a legal fiction." Lawrence v. Reed, 406 F.3d 1224, 1237 (10th Cir.2005) (Hartz, J., dissenting) (internal citation omitted). Qualified immunity is appropriate in "those situations in which the legal fiction does not make sense and applying that fiction would create problems that qualified immunity is intended to avert." Id.; cf. Harlow, 457 U.S. at 819, 102 S.Ct. 2727 ("[I]f the official pleading the [qualified immunity] defense claims extraordinary circumstances and can prove that he neither knew nor should have known of the relevant legal standard, the defense should be sustained.").
While we may not consider an official's subjective intent in determining whether he is entitled to qualified immunity, see Crotty, 346 F.3d at 106, we do—and must—consider "the particular facts of the case," Robison, 821 F.2d at 921, including the objective information before the officer at the time of the arrest. In the case at bar, where the defendant acted deliberately and rationally in seeking to determine the then—valid, applicable and enforceable law before taking the actions for which the plaintiff now seeks to hold him accountable, we cannot say that Novarro's arrest of Amore was objectively unreasonable. His immunity stands.
Our conclusion that Novarro's motion for summary judgment on the section 1983 claim against him must be granted on qualified-immunity grounds does not detract, of course, from Amore's remaining failure-to-train claim against the City of Ithaca; indeed the facts upon which it is based may tend to support such a claim. See Rohman v. N.Y.C. Trans. Auth., 215 F.3d 208, 218 (2d Cir.2000) (granting qualified immunity on section 1983 claim but noting that state-law claim may well succeed). Amore "may be richly entitled to a recovery on that cause of action." Id. at 218-19 (internal quotation marks and citation omitted). But "[t]hat issue is not before us," id. at 219, and it has no bearing on our decision here. Both Amore and the amici urge us to consider that "holding municipalities liable ... can be quite difficult." Amici Br. at 6; see also Appellee Pet. for Reh'g at 12-13 ("The limited remedy provided by Monell v. Department of Social Services, 436 U.S. 658, 690-91, 98 S.Ct. 2018, 56 L.Ed.2d 611 (1978), is a wholly inadequate alternative. Litigation of Monell claims requires significant resources, which many plaintiffs will not possess."). But that is an argument against the Monell doctrine in its present form, not for depriving a law officer acting objectively
Amore argues that even if it was reasonable for Novarro to rely on section 240.35(3), his apprehension of Amore was a false arrest because it was not supported by probable cause. And Amore contends that Novarro is not entitled to qualified immunity because he did not have even "arguable probable cause" for the arrest.
"The existence of probable cause to arrest constitutes justification and is a complete defense to an action for false arrest, whether that action is brought under state law or under § 1983." Weyant v. Okst, 101 F.3d 845, 852 (2d Cir.1996) (internal quotation marks and citation omitted). Probable cause exists if at the time of the arrest "the facts and circumstances within th[e officer's] knowledge and of which [he] had reasonably trustworthy information were sufficient to warrant a prudent man in believing that the [suspect] had committed or was committing an offense." Beck v. Ohio, 379 U.S. 89, 91, 85 S.Ct. 223, 13 L.Ed.2d 142 (1964); accord, Zellner v. Summerlin, 494 F.3d 344, 369 (2d Cir.2007).
In determining whether an officer is entitled to qualified immunity for a false arrest claim in the absence of probable cause, we examine whether there was "arguable probable cause." Walczyk v. Rio, 496 F.3d 139, 163 (2d Cir.2007). "Arguable probable cause exists if either (a) it was objectively reasonable for the officer to believe that probable cause existed, or (b) officers of reasonable competence could disagree on whether the probable cause test was met." Id. (internal quotation marks omitted). In deciding whether an officer's conduct was "objectively reasonable" for purposes of qualified immunity, we look to the information possessed by the officer at the time of the arrest, but "we do not consider the subjective intent, motives, or beliefs" of the officer. Crotty, 346 F.3d at 106.
At the time of Amore's arrest, section 240.35(3) on its face prohibited "[l]oiter[ing]... in a public place for the purpose of engaging, or soliciting another person to engage, in deviate sexual intercourse or other sexual behavior of a deviate nature...." N.Y. Penal Law § 240.35(3) (pre-2003 amendment text); see also Uplinger, 58 N.Y.2d at 937, 460 N.Y.S.2d 514, 447 N.E.2d at 62. Amore does not dispute that the sexual act he offered to perform on Novarro would have been treated under the statute as "sexual behavior of a deviate nature."
Amore argues instead that the facts could as easily support a theory that Novarro solicited him, not the other way around. But in all the versions of the interaction between Amore and Novarro reflected in the record, it is Amore who initiates the conversation with Novarro and who proposes a sexual interaction.
We therefore disagree with Amore's insistence that the several versions of the event are materially "inconsistent." Appellee's Br. 14. On the undisputed facts Novarro had at least arguable probable cause to believe that Amore was "[l]oiter[ing]
Because we conclude that Novarro is entitled to qualified immunity for arresting Amore pursuant to New York Penal Law § 240.35(3), we decline to reach Novarro's argument that he is entitled to qualified immunity because there was arguable probable cause to arrest Amore for disorderly conduct or harassment.
For the foregoing reasons, we reverse the district court's denial of Novarro's motion for summary judgment, and remand the cause with instructions to the district court to grant the motion, thereby dismissing the false arrest claim.
Id.
Id., Act II, available at http://math.boisestate.edu/GaS/pirates/web_op/pirates24.html (last visited April 19, 2010).
In a letter submitted after argument pursuant to Federal Rule of Appellate Procedure 28(j), Novarro argues that under our recent decision in Burg v. Gosselin, 591 F.3d 95 (2d Cir.2010), which was issued after this case was briefed and argued, Amore's detention was insufficient to give rise to a claim of false arrest. That argument is based on our conclusion in Burg that "the issuance of a pre-arraignment, non-felony summons requiring a later court appearance, without further restrictions, does not constitute a Fourth Amendment seizure." Id. at 98. Novarro misconstrues Burg, which distinguished false arrest claims based on a plaintiff's detention while interacting with law enforcement: "Burg thus does not contend that she was detained or seized while [the officer] wrote out the summons." Id. at 96 n. 3. Indeed, we noted in Burg that "a plaintiff pleads a seizure when he alleges that a police officer held on to his identification and ordered him to stay put while the police officer wrote out a summons." Id. (citing Vasquez v. Pampena, No. 08 Civ. 4184, 2009 WL 1373591, at *2 (E.D.N.Y. May 18, 2009)) (internal quotation marks omitted). There is nothing in Burg, therefore, inconsistent with our conclusion that Amore's detention was a Fourth Amendment seizure for purposes of a false arrest claim.
In 2003, as part of a sweeping amendment to various New York statutes, the legislature had amended section 240.35(3) by changing the phrase, "deviate sexual intercourse," to "oral sexual conduct, anal sexual conduct." 2003 N.Y. LAWS 264, ch. 264 § 30, eff. Nov. 1, 2003. The section had otherwise remained unchanged.