Maxwell v. City of New York
Opinion of the Court
This appeal involves the constitutionality of a vehicle checkpoint. Winfred Maxwell, a retired New York City police officer, brought this action against the city of New York and various police officials and officers for alleged violations of his constitutional and civil rights, under 42 U.S.C. §§ 1983, 1985(3), and 1986, and for corresponding violations of state law. Maxwell’s twenty-eight count amended complaint alleges, inter alia, that in going to visit his daughter, he was stopped by police at a barricaded vehicle checkpoint. He claims that , the existence of the checkpoint and resultant stop violated his Fourth Amendment right to be free from unreasonable searches and seizures. Maxwell further alleges that various police officers at the checkpoint used excessive force against him and illegally arrested, detained, and prosecuted him.
Appellants, Police Commissioner William Bratton, Lieutenant Thomas Kelly, Inspector Philip Lee, and Chief Thomas Gallagher, were responsible only for planning and ordering the establishment of the checkpoint. They were denied qualified immunity by Judge Mukasey on Maxwell’s claim for monetary damages for alleged Fourth Amendment violations in ordering the checkpoint. We hold that establishing the particular vehicle checkpoint without more did not violate Maxwell’s Fourth Amendment rights and reverse.
BACKGROUND
During the spring and summer of 1992, street crime, including four drive-by shoot
In the early evening .of September 19, 1992, Maxwell sought to drive to his daughter’s house, which was in the barricaded area.
Maxwell filed the instant action alleging violations of his civil and constitutional rights as well as various state law claims. The district court granted the defendants’ motion for partial summary judgment with respect to various claims but declined to dismiss Maxwell’s Fourth Amendment claim for monetary damages for being stopped — apart from being arrested and beaten—at the checkpoint. Maxwell’s excessive force, illegal detention, and certain other claims were not the subject of the summary judgment motion and remain pending.
The district court also denied appellants’ motion that the complaint be dismissed as to Bratton, Kelly, Lee, and Gallagher on the ground of qualified immunity. They were of course involved only in planning and ordering the checkpoint and not in the arrest and alleged beating of Maxwell. In denying the motion, Judge Mukasey stated that “Because [Maxwell’s claim for monetary damages based on alleged Fourth Amendment violations] must proceed to trial, it cannot be determined at this stage whether plaintiff suffered any violation of his constitutional rights. Further, if plaintiffs version of the facts proves true, and the officers did not provide adequate instructions on how to operate the checkpoints, qualified immunity will not protect them.” Therefore, the court held that summary judgment was inappropriate and that the issue of qualified immunity must
DISCUSSION
Only the district court's denial of the qualffied immunity defense as to the four appellants is before us. We review a district court's denial of summary judgment de novo. Aslanidis v. United States Lines, Inc., 7 F.3d 1067, 1072 (2d Cir. 1993).
The district court denied qualified immunity in the belief that genuine questions of material fact exist as to whether the vehicle checkpoint itself-in contrast to the alleged misconduct of the officers manning the checkpoint-violated Maxwell's constitutional rights. Appellants are entitled to qualified immunity if either the checkpoint in question did not violate clearly established federal rights, see Harlow v. Fitzgerald 457 U.S. 800, 818, 102 S.Ct. 2727, 2736, 73 L.Ed.2d 396 (1982), or it was objectively reasonable for defendants to believe their conduct was lawful, see Anderson v. Creighton, 483 U.S. 635, 641, 107 S.Ct. 3034, 3039-40, 97 L.Ed.2d 523 (1987). The threshold inquiry is, of course, whether the plaintiff has alleged a constitutional violation at all. See Siegert v. Gilley, 500 U.S. 226, 232, 111 SCt. 1789, 1793, 114 L.Ed.2d 277 (1991); Blue v. Koren, 72 F.3d 1075 (2d Cir. 1995).
In Michigan Department of State Police `a. Sits, the Supreme Court held that a Fourth Amendment "`seizure' occurs when a vehicle is stopped at a checkpoint." 496 U.S. 444, 450, 110 S.Ct. 2481, 2485, 110 L.Ed.2d 412 (1990); see also People v. Scott, 63 N.Y.2d 518, 524, 473 N.E.2d 1, 483 N.Y.S.2d 649 (1984) ("There is ... no question that a roadblock or checkpoint is a seizure within the meaning of the Fourth Amendment.") The reasonableness of a seizure at a vehicle checkpoint depends upon a balancing of (1) the gravity of the public concerns served by the checkpoint; (ii) the degree to which the checkpoint effectively addresses those concerns; and (iii) the severity of the intrusion upon individual liberty. Sitz, 496 U.S. at 448-49, 110 S.Ct. at 2484-85 (citing Brown v. Texas, 443 U.S. 47, 50-51, 99 S.Ct. 2637, 2640-41, 61 L.Ed.2d 357 (1979)). We con-elude that, as planned, the Special Operation passed constitutional muster.
First, the checkpoints in question served an important public concern in attempting to deter drive-by shootings that were, or were reasonably perceived to have been, connected with widespread drive-up drug purchases. Second, at the time of implementation, the checkpoints were reasonably viewed as an effective mechanism to deter criminal behavior in the barricaded area. Indeed, checkpoints similar to the one here had been effectively used in the past by the New York City Police. See Sitz, 496 U.S. at 453-54, 110 S.Ct. at 2486-87 (in order to satisfy the effectiveness prong, a checkpoint need only be one reasonable method of deterring the prohibited conduct; it need not be the most effective measure).
Third, the intended level of intrusion to motorists was minimal. No vehicle was to be stopped or its operation questioned unless entry into the cordoned-off area was desired. For those seeking entry, the stop was meant to be brief and was aimed solely at ascertaining the motorists' connection to the neighborhood. In United States v. Martinez-Fuerte, 428 U.S. 543, 96 S.Ct. 3074, 49 L.Ed.2d 1116 (1976), the Supreme Court held that a checkpoint aimed at interdicting the flow of illegal aliens which involved "only a brief detention Of travelers during which all that [was] required of the vehicle's occupants [was] a response to a brief question or two and possibly the production of a document evidencing a right to be in the United States" was not sufficiently intrusive so as to violate the Fourth Amendment: Id. at 558, 96 S.Ct. at 3083 (internal quotation marks omitted). Here, as in Martinez-Fuerte, the request for evidence of a legitimate reason to enter the barricaded area was not significantly intrusive. Moreover, because the plan here was to stop all motorists seeking entry, there was little concern that the stop would generate "fear and surprise." Sitz, 496 U.S. at 452-53, 110 S.Ct. at 2486-87; Martinez-Fuerte, 428 U.S. at 558, 96 S.Ct. at 3083 (where motorist can see that other vehicles are being stopped and can see visible signs of the officers' authority, there is less likelihood of fright or annoyance).
We emphasize the discretion afforded went only to the decision to permit or deny vehicular entry into the area, not to the detention of persons in the vehicles. Police roadblocks need not be based on reasonable suspicion of particular drivers, see Martinez-Fuerte, 428 U.S. at 556, 559-60, 96 S.Ct. at 3082, 3083-84, but the detention of particular motorists beyond the initial stop “may require satisfaction of an individualized suspicion standard.” Sitz, 496 U.S. at 451, 110 S.Ct. at 2485; see also Martinez-Fuerte, 428 U.S. at 566-67, 96 S.Ct. at 3087 (“The principal protection of Fourth Amendment rights at checkpoints lies in appropriate limitations on the scope of the stop.”) Thus, once the initial stop has been conducted, the decision to further detain a motorist must be based on particularized reasonable suspicion. See Terry v. Ohio, 392 U.S. 1, 27, 88 S.Ct. 1868, 1883, 20 L.Ed.2d 889 (1968); United States v. Sokolow, 490 U.S. 1, 7, 109 S.Ct. 1581, 1585, 104 L.Ed.2d 1 (1989). Our decision does not, therefore, affect Maxwell’s claims regarding events after the initial stop.
We conclude that summary judgment should have been granted as to the four appellants and reverse.
. Maxwell claims that, prior to arriving at the checkpoint, he observed no posted markings alerting him that he was approaching such a barricade and had no opportunity to avoid being stopped and questioned. Whether a failure to allow drivers to avoid the checkpoint might violate a driver's rights is not before us because Maxwell wanted to enter the area by car.
. We also note that simply turning away a vehicle when no legitimate reason for entry is given may not constitute a search or a seizure for Fourth Amendment purposes. In order for there to have been a “search,” “the police must have physically intruded into 'a constitutionally protected area.'" See 1 LaFave, Search & Seizure § 2.1(a), at 302-03 (2d ed. 1987). Refusing entrance does not intrude into any such area. Similarly, a "seizure” requires that an officer restrict the liberty of an individual such that a reasonable person would not believe that he was free to leave. Id. (citing United States v. Mendenhall, 446 U.S. 544, 100 S.Ct. 1870, 64 L.Ed.2d 497 (1980)). In Sheppard v. Beerman, 18 F.3d 147 (2d Cir.), cert. denied, - U.S. -, 115 S.Ct. 73, 130 L.Ed.2d 28 (1994), we held that no Fourth Amendment "seizure” took place when a fired court employee was escorted from the courthouse. We reasoned that because the plaintiff was free to go anywhere in the world, except the courthouse, he had not been "seized.” Id. at 153. Here, the plan was that motorists who were denied entry for lack of any legitimate reason to go into the area were free to go anywhere else.
Dissenting Opinion
dissenting:
I find it surprising that the majority holds — particularly at the sümmary judgment level — that the police operation here in question does not implicate the Fourth Amendment. I have long agreed with the thesis put forth by Professor Anthony Amsterdam in his Holmes Lectures at the University of Minnesota Law School
The majority characterizes this as a stop by police “at a barricaded vehicle checkpoint.” But the “checkpoint” here is quite different from the sobriety checkpoint upheld in Michigan Department of State Police v.
What were the rules by which this Operation was set up? The July 30 memorandum by Police Lieutenant Kelly, the apparent architect of the Operation, provided that “barriers will be set up on side streets feeding into Watson Avenue in order to discourage drive-up purchasers from patronizing local dealers. Area residents will be allowed to enter the target area....” There were no written standards explaining which persons could and could not enter the frozen zone other than that memorándum and a memorandum of August 24, 1994, from the 43rd Precinct Commander DeRienzo to detail supervisors. That latter memo advised: “Supervisors will inform Officers manning barriers that area residents will be allowed to pass through the area, as well as delivery trucks. Those individuals who do not have a legitimate reason to enter will be instructed to utilize other routes_” Needless to say, what was or was not a “legitimate reason” depended upon the field officer’s subjective evaluation. This was conceded by Kelly himself, who also conceded that a motorist could be denied access even if the officer lacked probable cause or reasonable suspicion to believe that a vehicle’s occupants were engaged in crime; in other words, motorists could not enter the frozen zone unless they “could come up with a reasonable excuse” as to what they were going to do in the area. Thus, law abiding citizens — you or I — could be turned away at the checkpoint officer’s discretion, while even passengers in a car fitting a description of drive-by shooters might be allowed to pass if the driver said he was visiting a friend in the area and could provide his friend’s correct address. On the positive side, a delivery truck, a car full of children, a vehicle driven by a local store owner, or a car dropping off visitors to a local church might be allowed to pass through the barricade even if the driver lacked adequate
The district court, in denying summary judgment on the plaintiffs ninth claim seeking monetary damages for the alleged violation of his Fourth Amendment rights, found that “the facts as currently presented relating to the second [Brown v. Texas ] inquiry in this three-part test—the effectiveness of the checkpoints—are incomplete and in dispute,” thereby holding that the cross-motions for summary judgment should be denied. While the Supreme Court in Sitz, 496 U.S. at 454, 110 S.Ct. at 2487, made it clear that an in-depth statistical examination of a checkpoint’s “effectiveness” is not warranted, there still must be some means beyond subjective evaluations by neighborhood residents of measuring whether the checkpoint reasonably advanced its stated purpose. While I agree with Judge Mukasey that only after trial could a factual determination properly be made and that portion of the test correctly be applied, and indeed until the threshold question of whether a “seizure” actually took place is resolved, it would be impossible to determine whether the frozen zone here could pass constitutional muster.
However, I agree with plaintiff-appellee that entrance to the frozen zone was left to the arbitrary determination of officers in the field with no meaningful written standards of how to exercise their discretion: the “legitimate reason to enter” mentioned in the August 24 memorandum is another way of saying that the individual officer had total discretion. And it is this unfettered discretion that makes the majority’s resolution of the case, in my view, totally unsound. I say this because it seems to me that the Fourth Amendment is — or, in any event, should be — about controlling such discretion. This is a point I have tried to make in several opinions, the first for the court in a border stop case, United States v. Barbera, 514 F.2d 294 (2d Cir. 1975), as well as in dissent in an airport search case, United States v. Vasquez, 612 F.2d 1338, 1352 (2d Cir. 1979), and in concurrence in another airport search case, United States v. Place, 660 F.2d 44, 53 (2d Cir. 1981), aff'd 462 U.S. 696, 103 S.Ct. 2637, 77 L.Ed.2d 110 (1983).
. Anthony Amsterdam, Perspectives on the Fourth Amendment, 58 Minn.L.Rev. 349 (1974) (criticizing Court decisions holding, in effect, that "whether you and I get arrested and subjected to full-scale body search or are sent upon our respective ways with a pink multiform and a disapproving cluck ... depends upon the state of the digestion of any officer who stops us — or, more likely, upon our obsequiousness, the price of our automobiles, the formality of our dress, the shortness of our hair or the color of our skin.”) Id. at 416.
. Id.
. Reference here should be had to Judge George Pratt’s dissent in United States v. Hooper, 935 F.2d 484, 499 (2d Cir. 1991).
Reference
- Full Case Name
- Winfred L. MAXWELL v. CITY OF NEW YORK the New York City Police Department Timothy Morley, Police Officer Angel DeJesus, Police Officer Monserrate Badillo, Police Officer Davie Arroyo, Police Officer Daniel Gonin, Police Sergeant Richard Van Leuvan, Police Sergeant and George Vasta, Police Detective, William Bratton, as Police Commissioner of the New York City Police Department Thomas Kelly, Police Lieutenant Philip Lee, Police Inspector and Thomas Gallagher, Police Chief
- Cited By
- 27 cases
- Status
- Published