McClellan v. Smith
| Decision Date | 24 February 2006 |
| Docket Number | Docket No. 04-5996-CV. |
| Citation | 439 F.3d 137 |
| Parties | Frank McCLELLAN, Plaintiff-Appellant, v. Steven SMITH, Individually and in His Official Capacity as Police Officer of the City of Rensselaer, Defendant-Appellee, City of Rensselaer, Defendant. |
| Court | U.S. Court of Appeals — Second Circuit |
Lee D. Greenstein, Albany, NY, for Plaintiff-Appellant.
Gregory S. Mills, Clifton Park, NY, for Defendant-Appellee.
Before: MINER, WESLEY, Circuit Judges, and RAKOFF, District Judge.1
Plaintiff-appellant Frank McClellan ("McClellan") appeals from a summary judgment and an order denying reconsideration entered in the United States District Court for the Northern District of New York (Hood, J.)2 in favor of defendant-appellee Steven Smith ("Smith"), a police officer employed by the City of Rensselaer3 but not on duty at the time of the events giving rise to this action. The action was brought pursuant to 42 U.S.C. § 1983 to redress alleged Fourth Amendment violations related to the arrest and prosecution of McClellan following an altercation involving Smith and McClellan. The violations were pleaded in claims against Smith for false arrest, malicious prosecution, unlawful search and seizure, and unlawful imprisonment. In decisions following cross-motions for summary judgment and a motion by McClellan for reconsideration, the District Court determined that all the Fourth Amendment claims related to the underlying assault charges were barred by the grand jury indictment of plaintiff and that the Fourth Amendment claims derived from the resisting arrest and disorderly conduct charges, as well as the false arrest claim related to the assault charges, were barred in any event by the doctrine of qualified immunity. For the reasons that follow, we vacate the judgment and order of the District Court and remand for further proceedings consistent herewith.
The parties give somewhat different versions of the confrontation and ensuing altercation that resulted in McClellan's arrest and prosecution. Because the differences are critical to the disposition of this appeal, we set them forth separately.
On November 16, 2000, at 7:30 P.M., McClellan was unloading grocery bags from his automobile, which was parked directly in front of his house at 95 Washington Avenue, Rensselaer, New York. He was standing as close as possible to his car while unloading the bags and handing them to his girlfriend, Michelle Cristo, who carried them into the house. At some point in the unloading process, as McClellan was leaning into the driver's side with the door open and his back to Washington Avenue, Smith drove by in the lane where McClellan was parked. As he passed, Smith honked his horn and gestured to McClellan with his middle finger. McClellan returned the gesture, whereupon Smith abruptly turned his car around in a driveway a short distance away and drove back toward McClellan. As McClellan finished unloading and closed his car door, Smith suddenly turned his car into the lane of incoming traffic and stopped at a forty-five degree angle to McClellan's car and only inches away from it. Smith's side-view mirror grazed McClellan's hand, and McClellan was essentially trapped in the triangular area where the two cars met. Witnesses confirmed McClellan's assertion that Smith's car at this point was parked at an angle and blocked oncoming traffic.
After he stopped his car, Smith yelled and cursed at McClellan saying: Although it turned out that Smith was indeed a Detective Sergeant in the City of Rensselaer Police Department, he wore no uniform and his car bore no police markings. He appeared agitated, and his eyes were bloodshot and glassy and he was red-faced. McClellan was concerned that Smith had been drinking. McClellan did not believe, given the circumstances, that Smith was a police officer and requested identification. Smith responded that "he did not have to show . . . any f____ing ID" and attempted to exit his car by pushing the door into McClellan. McClellan, in an effort to avoid a physical confrontation, held Smith's door closed with his hands and body, and advised Smith that he would not let him out until he produced identification. Smith continued trying to push his way out of the car, threatening to "kick [McClellan's] f____ing ass" and to arrest him. During the altercation, McClellan heard Smith use the word "backup" but was not able to see a radio or other police equipment in Smith's car or determine who he was talking to. Eventually, McClellan yelled to Cristo to call the police.
Ultimately, Smith was able to push McClellan out of the way with his car door and by punching him in the face. Smith apparently struck his face on the car door as he exited. After wrestling with Smith, and without throwing a punch, McClellan was able to hold Smith down over the hood of McClellan's car. At that point, McClellan noticed that Smith was bleeding profusely from the injury to his face and saw him speak into a hand-held radio and say that he was being beaten (which was not true) and needed backup. McClellan then told Smith that he would release him if he promised to stop fighting. Smith said he would stop, and McClellan released him and walked toward his house. As he did so, Smith grabbed him and told him to wait. McClellan once again asked for identification and once again was rebuffed. The Rensselaer police arrived moments later and Smith directed an officer to arrest McClellan. En route to the police station, McClellan told the police officer that he did not know Smith was a police officer and was only trying to restrain him from getting out of the car in order to avoid a fight.
On November 16, 2000, at about 7:30 P.M., Smith was driving on Washington Avenue in the City of Rensselaer, where he served in the Police Department as a Detective Sergeant. He was wearing street clothes and driving an undercover vehicle with a portable police radio between the two front bucket seats. The radio was at all times receiving transmissions from fellow officers. As he drove, Smith saw a vehicle ahead of him swerve and then saw McClellan in the middle of the road with the door to his car wide open. Perceiving that McClellan was impeding traffic and putting himself in danger of being struck, Smith beeped his horn twice on approaching McClellan. As he passed, Smith saw, in his rear view mirror, McClellan extend his middle finger and shout "F____ you." Smith also observed another car behind him swerve to avoid McClellan.
Smith thereupon turned his vehicle around and returned to where McClellan was standing for the purpose of advising him to get out of the road. Smith pulled up alongside McClellan and parked at an angle so that the right side and rear of Smith's vehicle extended into the other lane. The left side of the vehicle was about four feet from McClellan's car and the rear of the vehicle was across the middle of the other lane. As he pulled up alongside, Smith rolled down his driver side window and told McClellan he was a "cop." McClellan replied: "I don't give a f____ who you are." McClellan then started swinging at Smith while Smith was still seated and struck him in the left side of the head. Smith leaned away from McClellan and called for backup on his portable radio.
Smith then tried to exit his vehicle and told McClellan he was under arrest. McClellan stood in front of Smith's car door and pushed against it to prevent Smith from exiting his vehicle. Smith finally opened the door and got his left foot out. At that point, McClellan pushed the car door in such a way that the top of the door struck Smith's face, causing a deep facial laceration. Smith was able to exit the car with his portable radio in hand, having used it to call for assistance. McClellan grabbed him and threw him face down across the hood of McClellan's vehicle, holding him in that position with the weight of his body. At that point, other officers arrived at the scene. Smith believed that McClellan was in violation of the Vehicle and Traffic Law when he stood on Washington Avenue with his car door open, impeding traffic and endangering himself.
Immediately following the incident described above, McClellan was charged with four violations of the New York Penal Law: Aggravated Assault on a Police Officer; Assault in the Second Degree; Resisting Arrest; and Disorderly Conduct. He was arraigned before a judge of the Rensselaer City Court on the morning following the incident and held without bail. A preliminary hearing was held four days later in the City Court, which determined that there was reasonable ground to believe that a felony had been committed. On the day following the hearing, the Rensselaer County Court, pursuant to McClellan's application, set bail at $50,000, bond or cash. McClellan posted a bond after having been confined for six days.
On February 1, 2001, the case against McClellan was presented to a Rensselaer County Grand Jury. The presentation was conducted by an Assistant District Attorney from Washington County because of a conflict of interest arising from the employment of Smith as a part-time investigator in the office of the Rensselaer County District Attorney. Both McClellan and Cristo testified before the grand jury. The grand jury returned a "No True Bill," and all charges against McClellan were dismissed. Smith reported to the Chief of his Department
Smith continued his interest in the case, having, in...
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