Raymond BRONOWICZ, Appellant v. ALLEGHENY COUNTY; Probation Officer Karen Ollis; Probation Officer Jeffrey Cima; Thomas McCaffrey, Director of Allegheny County Adult Probation; Judge Donald E. Machen.
No. 13-4497
United States Court of Appeals, Third Circuit
Argued: Jan. 21, 2015. Filed: Sept. 22, 2015.
803 F.3d 338
We need not take a stance on this issue because, even if we found the “bar to joinder” rule misguided, it is too late for any creditor to save the petition. The text of
III.
For the foregoing reasons, we will affirm the order of the District Court.
Virginia S. Scott, Esq., [Argued], Dennis R. Biondo, Jr., Esq. Paul R. Dachille, Esq. Jake S. Lifson, Esq., Allegheny County Law Department Pittsburgh, PA, Counsel for Appellees, County of Allegheny and Probation Officer Karen Ollis, Probation Officer Jeffrey Cima, and Thomas McCaffrey, in their individual capacities.
Caroline P. Liebenguth, Esq., [Argued], Administrative Office of Pennsylvania Courts, Philadelphia, PA, Counsel for Appellees, Probation Officer Karen Ollis, Probation Officer Jeffrey Cima, and Thomas McCaffrey, in their official capacities.
Before: FISHER, JORDAN, and GREENAWAY, JR., Circuit Judges.
OPINION
GREENAWAY, JR., Circuit Judge.
Plaintiff-Appellant Raymond Bronowicz (“Appellant” or “Bronowicz“) is a former Pennsylvania state inmate and probationer. As a probationer, Bronowicz was repeatedly charged with probation violations and was ultimately sentenced to additional incarceration. Bronowicz successfully appealed that prison sentence in state court and then filed the present action seeking, inter alia, damages for his wrongful incarceration under
This appeal raises a discrete issue involving claims for damages for unlawful incarceration brought under
I. Facts1
Bronowicz‘s
A. Initial Charges and Sentencing
On July 5, 2000, Bronowicz was charged with several criminal violations of Pennsylvania law ranging from terroristic threats to driving under the influence.2 Bronowicz entered a negotiated plea and appeared before the Allegheny County Court of Common Pleas (the “Court of Common Pleas“) for sentencing on June 6, 2001. Bronowicz was sentenced as follows:
- Count One, aggravated assault, withdrawn per the plea agreement
- Count Two, aggravated harassment by a prisoner, withdrawn per the plea agreement
- Count Three, terroristic threats, no further penalty3
- Count Four, terroristic threats, five to ten months’ incarceration, effective June 6, 2001, with credit for time served, and five years’ probation, also effective June 6, 2001
- Count Five, DUI, ninety to one hundred eighty days’ incarceration, effective June 6, 2001, with credit for time served, and five years’ probation, also effective June 6, 2001, both to run concurrently with the sentence for Count Four
- Count Six, resisting arrest, no further penalty
- Count Seven, simple assault, no further penalty
- Count Eight, simple assault, two years’ probation, to run concurrently with the sentences for Counts Four and Nine
- Count Nine, simple assault, two years’ probation, to run concurrently with the sentences for Counts Four and Eight
- Count Ten, disorderly conduct, no further penalty
Thus Bronowicz was sentenced to further imprisonment and/or probation for only Counts Four, Five, Eight and Nine. Counts One and Two were withdrawn per the plea agreement, and Bronowicz was assessed “no further penalty” for Counts Three, Six, Seven, and Ten—indicating that Bronowicz had fully served his sentence for these counts as of that hearing. With credit for time served, he was released from incarceration on June 6 and began serving a term of probation.
B. First Revocation Proceeding
On July 21, 2005, Bronowicz appeared before the Court of Common Pleas for probation violations. The court
Bronowicz was re-incarcerated and then granted house arrest on December 20, 2005.
C. Second Revocation Proceeding
In July 2008, Bronowicz was arrested on other charges, and a bench warrant issued for alleged violations of probation. Bronowicz was again re-incarcerated.7 On July 20, 2010, Bronowicz appeared at a second probation revocation hearing. The court “continued” Bronowicz‘s probation for Count Four, terroristic threats—though there was no term of probation to “continue” for this count, as Bronowicz‘s five-year term of probation had expired on June 5, 2006. App. 275. The court also sentenced Bronowicz to additional imprisonment for Count Five, DUI (now correctly numbered as in the original information), and with credit for time served, he was released from incarceration and “paroled forthwith” on July 27, 2010. App. 269. Bronowicz alleges that the “[c]ourt concluded its interest in the DUI charge” at that time, as he had fully served his sentence for this count. App. 269-70.
D. Third Revocation Proceeding
In November 2010, another bench warrant issued for further probation violations,8 and Bronowicz was again re-incarcerated. Bronowicz‘s next revocation
The next day Probation Officer Karen Ollis spoke with Bronowicz while he was waiting to be called for his hearing. Officer Ollis told Bronowicz that she had reached an agreement with Bronowicz‘s attorney whereby Bronowicz would plead and spend 18 to 36 months in prison. Bronowicz again rejected the deal, but Officer Ollis ignored Bronowicz‘s protests and told him that he did not need to appear before the judge in light of the plea agreement.
The revocation hearing was held with neither Bronowicz nor his attorney in the courtroom. Officer Ollis presented the purported plea agreement to the judge, and Bronowicz was sentenced to 18 to 36 months’ incarceration pursuant to the alleged agreement. Bronowicz maintains that he never waived his right to counsel, to appear before the court, or to have a plea agreement colloquy in open court and on the record. No transcript of the January 2011 proceeding exists.
E. Superior Court Appeal
Bronowicz then appealed his sentence to the Pennsylvania Superior Court, arguing, inter alia, that: (1) his due process rights were violated when his probation was revoked and he was re-sentenced in January 2011 in absentia, and (2) the sentence imposed was illegal for numerous reasons. The Commonwealth filed an answering brief essentially admitting to all allegations. Notably, the Commonwealth conceded that: (1) the January 2011 hearing revoking Bronowicz‘s probation and imposing a new prison sentence was conducted in absentia, (2) there was no indication that Bronowicz had waived his right to be present, (3) Bronowicz had been re-sentenced for counts as to which no penalty was initially imposed, and (4) Bronowicz was subject to sentences that exceeded the statutory maximum. The Commonwealth ultimately concluded that “remand for a new violation hearing and sentencing [was] required.” App. 321.
In light of the Commonwealth‘s concessions, the Superior Court issued a short order on January 13, 2012 (the “Superior Court‘s order“) vacating the sentence imposed in January 2011 and remanding for further proceedings. The order stated in relevant part:
Although appellant now raises two challenges on appeal—one related to procedure and one related to the legality of the sentence—we need not address those challenges at this time, since the Commonwealth concedes that, due to an error committed at the time of sentencing, the current sentence must be vacated, and the case remanded to the trial court for a new sentencing hearing.
Judgment of Sentence vacated. Jurisdiction relinquished.
to the office, Officer Cima handcuffed Bronowicz for “smoking crack,” and contacted Defendant Probation Officer Ollis who recommended incarceration. App. 270-71. Bronowicz maintains that he was never tested for drugs and that the Defendant Probation Officers never provided him with any test results evidencing drug use. Bronowicz reminded them that he was no longer on probation, but he was “ignored.” App. 271. The November 2010 bench warrant was issued for this alleged probation violation. Bronowicz avers in the Complaint that this entire episode was an illegal search and seizure in violation of the
F. The Instant Suit
Bronowicz filed the present action in District Court against Allegheny County and Probation Officers Karen Ollis, Jeffrey Cima, Thomas McCaffrey, Director of the Allegheny County Probation Office, and Judge Donald E. Machen, in both their individual and official capacities,9 alleging numerous constitutional torts related to his unlawful incarceration.
Defendants moved to dismiss the Complaint, arguing, inter alia, that Bronowicz‘s
II. Jurisdiction and Standard of Review
The District Court had jurisdiction under
We review a district court‘s dismissal order de novo. Weiss, 757 F.3d at 341. “In doing so, we ‘accept all factual allegations as true, construe the complaint in the light most favorable to the plaintiff, and determine whether, under any reasonable reading of the complaint, the plaintiff may be entitled to relief.‘” Id. (quoting Phillips v. Cnty. of Allegheny, 515 F.3d 224, 231 (3d Cir.2008)).
III. Discussion
A. Heck v. Humphrey
Bronowicz argues on appeal that the Superior Court order satisfies Heck‘s favorable termination requirement and that the District Court erred in dismissing his
Under Heck,
in order to recover damages for allegedly unconstitutional conviction or imprisonment, ... a
§ 1983 plaintiff must prove that the conviction or sentence has been reversed on direct appeal, expunged by executive order, declared invalid by a state tribunal authorized to make such determination, or called into question by a federal court‘s issuance of a writ of habeas corpus.
512 U.S. at 486-87, 114 S.Ct. 2364. Thus, the rule applies if “success in [the] action would necessarily demonstrate the invalidi-
Bronowicz maintains that the Superior Court‘s order vacating the January 2011 judgment satisfies Heck‘s favorable termination rule.12 Appellees argue that the Superior Court‘s order does not satisfy the Heck bar because the Superior Court vacated the sentence but expressly declined to address Bronowicz‘s challenges to the legality of the sentence and proceedings—that is, the Superior Court never “declare[d] that it [was] an illegal sentence.” Allegheny Cnty. Br. at 12. We think, however, that vacating a judgment as opposed to declaring it “illegal” is a distinction without a difference here because the Superior Court order plainly invalidated Bronowicz‘s January 2011 sentence.
B. Applying the Favorable Termination Requirement
The Supreme Court adopted the favorable termination rule in light of the “hoary principle that civil tort actions are not appropriate vehicles for challenging the validity of outstanding criminal judgments.” Heck, 512 U.S. at 486, 114 S.Ct. 2364. The purpose of the favorable termination requirement is to avoid “the possibility of the claimant [sic] succeeding in the tort action after having been convicted in the underlying criminal prosecution, in contravention of a strong judicial policy against the creation of two conflicting resolutions arising out of the same or identical transaction.” Id. at 484, 114 S.Ct. 2364 (quoting 8 S. Speiser, C. Krause, & A. Gans, American Law of Torts § 28.5, p. 24 (1991)); see also Kossler v. Crisanti, 564 F.3d 181, 187 (3d Cir.2009) (en banc).13
Thus, Bronowicz must demonstrate that success on his
We have conducted our most salient favorable termination analysis in Kossler and Gilles, in the context of
Kossler and Gilles control our analysis here because they are demonstrative of our general approach to favorable termination analysis. In those cases, we considered the “particular circumstances,” including relevant state law and the underlying facts of the case, in determining whether the “judgment as a whole reflect[ed] the plaintiff‘s innocence.” Kossler, 564 F.3d at 188 (internal quotation marks omitted); see also Gilles, 427 F.3d at 211-12 (outcome of prior proceedings must be “consistent with innocence“) (emphasis added). Thus, we have eschewed an overly mechanical approach that would categorically require a judgment to contain certain magic words in order to satisfy the favorable termination requirement. Rather, we consider whether the totality of the circumstances surrounding the prior proceedings reflect a favorable outcome for the plaintiff that would be consistent with the success of the plaintiff‘s
In Kossler, we considered whether a simultaneous conviction and acquittal on different counts arising from the same conduct constituted a favorable termination for the purpose of a subsequent
We examined the relevant statutes and underlying conduct and determined that the criminal statutes involved all “aim[ed] at punishing the same underlying misconduct,” Kossler, 564 F.3d at 189 n. 5, and that the charges in that case were “predicated on the same factual basis.” Id. at 189. We concluded that under those circumstances, “the judgment as a whole [did] not reflect plaintiff‘s innocence,” id. at 188, because the plaintiff was “clearly guilty of some wrongdoing ... notwithstanding [the acquittal for aggravated assault].” Id. at 189. Thus, the state proceeding “did not end in [the plaintiff‘s] favor, even when we view[ed] the facts in the light most favorable to him.” Id.
Similarly, in Gilles, we considered whether resolution of criminal charges through Pennsylvania‘s Accelerated Disposition (“ARD“) Program constituted a favorable termination. There, the plaintiff was arrested and charged with disorderly conduct after recording an inflammatory speech by a “campus evangelist” and refusing to leave at the direction of university police. After entering an ARD pro-
C. Bronowicz has Demonstrated Favorable Termination
Applying the same analysis here, and considering the Superior Court‘s order in the context of the revocation proceedings as a whole, we conclude those proceedings were terminated in Bronowicz‘s favor when the Superior Court vacated the January 2011 judgment. As required by Heck, the Superior Court is “a state tribunal authorized to [declare Bronowicz‘s sentence invalid].” See Heck, 512 U.S. at 486-87, 114 S.Ct. 2364;
Unlike in Kossler and Gilles, the Superior Court order does not imply that the sentence imposed or the proceedings before the Court of Common Pleas in January 2011 were valid. The Superior Court vacated the “Judgment of Sentence” in its entirety,14 and on remand, the Court of
Moreover, the purpose of the favorable termination rule is fully realized by this result because there is no risk that permitting Bronowicz‘s
Bronowicz‘s claims stemming from the January 2011 revocation proceedings and sentence do not constitute a collateral attack on his sentence because Bronowicz has already successfully challenged his sentence in state court. See, e.g., Powell, 757 F.3d at 346 (
We hold that Bronowicz‘s
IV. Conclusion
For the foregoing reasons we will affirm in part and reverse in part the District Court‘s order dismissing the Complaint.18 We remand to the District Court for further proceedings consistent with this opinion.
