Case Information
*1 13-3592-cv Victory v. Pataki et al. UNITED STATES COURT OF APPEALS
FOR THE SECOND CIRCUIT
SUMMARY ORDER RULINGS BY SUMMARY ORDER DO NOT HAVE PRECEDENTIAL EFFECT. CITATION TO A SUMMARY ORDER FILED ON OR AFTER JANUARY 1, 2007, IS PERMITTED AND IS GOVERNED BY FEDERAL RULE OF APPELLATE PROCEDURE 32.1 AND THIS COURT’S LOCAL RULE 32.1.1. WHEN CITING A SUMMARY ORDER IN A DOCUMENT FILED WITH THIS COURT, A PARTY MUST CITE EITHER THE FEDERAL APPENDIX OR AN ELECTRONIC DATABASE (WITH THE NOTATION “SUMMARY ORDER”). A PARTY CITING A SUMMARY ORDER MUST SERVE A COPY OF IT ON ANY PARTY NOT REPRESENTED BY COUNSEL.
At a stated Term of the United States Court of Appeals for the Second Circuit, held at the Thurgood Marshall United States Courthouse, 40 Foley Square, in the City of New York on the 17 th day of April, two thousand fifteen.
Present: ROSEMARY S. POOLER,
BARRINGTON D. PARKER,
Circuit Judges . [*] _____________________________________________________ ALBERT LOPEZ VICTORY,
Plaintiff-Appellant , v. 13-3592-cv GEORGE PATAKI, Former Governor of the State of New York in his official capacity, BRION D. TRAVIS, Ex-Chair, Board of Parole, New York State Division of Parole, THOMAS P. GRANT, Special Assistant to the Chair of the Board of Parole, MIKE HAYDEN, Acting Director of the Division of Parole, RONALD P. WHITE, Director of Upstate Field Operations for the Division of Parole, TERRANCE X. TRACY, Chief Counsel to the Chair of the Board of Parole, KENNETH E. GRABER, Commissioner of the Board of Parole, GEORGE CHARD, Senior Parole Officer, Utica Parole Office, DOUGLAS C. SMITH, Ex-Supervising Parole Officer, Utica Parole Office, PERRITANO, “JOHN,” First Name Unknown, Parole Officer, Utica Parole Office, KEVIN MCCARTHY, Head of the Special Services Bureau for the Division of Parole, Central New York Area, THOMAS MURFITT, Syracuse Police Officer, GILHOOLEY, “JOHN,” first name unknown, Syracuse Police Officer, TIMOTHY FOODY, Ex-Police Chief, Syracuse Police Department, John Does, 1, 2, 3, etc., Jane Does 1, 2, 3, etc., (whose identities are unknown but who are believed to be either employees of the Division of *2 Parole, the Governor’s Office, and/or the Syracuse Police Department); all such individual defendants being sued both in their individual and official capacity, THE CITY OF SYRACUSE, New York, DENNIS DUVAL, Chief of Police of the Syracuse Police Department, GEORGE ALEXANDER, Chair, Board of Parole, in his official capacity, GOVERNOR DAVID PATERSON, RORY D. GILHOOLEY, Syracuse Police Officer, JOHN FALGE, Ex-Police Chief, Syracuse Police Department, GARY MIGUEL, Police Chief, Syracuse Police Department, ELIOT SPITZER, Governor of the State of New York in his official capacity,
Defendants-Appellees . [**]
__________________________________________
Appearing for Appellant: Myron Beldock, Beldock Levine & Hoffman LLP, New York,
N.Y. for Albert Lopez Victory. Appearing for Appellees: Andrew B. Ayers, Assistant Solicitor General, Office of the
Attorney General (Eric T. Schneiderman, Attorney General of the State of New York; Barbarda D. Underwood, Solicitor General; Nancy A. Speigel, Senior Assistant Solicitor General, on the brief ), Albany, N.Y. for New York State Appellees .
Shannon T. O’Connor, Assistant Corporation Counsel for the City of Syracuse, (Robert P. Stamey, Corporation Counsel for the City of Syracuse, on the brief ), Syracuse, N.Y. for City of Syracuse Appellees.
Appeal from the United States District Court for the Western District of New York (Skretny, C.J. ).
ON CONSIDERATION WHEREOF, IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that the judgment of the district court be and it hereby is REVERSED in part, AFFIRMED in part, and REMANDED for a trial on the due process claims.
Plaintiff-Appellant Albert Lopez Victory, a former inmate of the New York Department
of Corrections and Community Supervision (“DOCCS”), appeals from the August 27, 2013
order of the United States District Court for the Western District of New York (Skretny,
C.J.
)
granting summary judgment for defendants and dismissing in its entirety his complaint.
See
Victory v. Pataki
, No. 02-CV-0031,
We review the district court’s grant of summary judgment de novo.
Summa v. Hofstra
Univ.
,
I. Background
In 1970, Victory entered DOCCS custody to serve a sentence of twenty-five years to life
upon his conviction of felony murder, stemming from his involvement in the shooting death of a
police officer.
See People v. Bornholdt
,
It is undisputed that throughout the period Victory was eligible for parole release, former Governor George Pataki espoused strong beliefs that parole should not be granted to violent felons and publicly supported legislative reforms that would abolish parole for this category of offender. In 1997, Victory’s initial parole application was denied, but a two-member panel was unable to reach a consensus with respect to his next two applications.
On January 11, 1999, Victory was considered for parole release for the fourth time by a two-member panel consisting of Commissioners Kenneth Graber and Lawrence Scott. During the hearing, Commissioner Graber assured Victory that the panel had reviewed all the documents in his file, even if it failed to mention every consideration. The information before the panel contained numerous prominent references to Victory’s 1978 escape. However, unlike the two prior panels, the January 11, 1999 panel never explicitly mentioned Victory’s escape. [1] Graber and Scott granted Victory’s application for parole and assigned him an open release date of March 11, 1999. Pursuant to the direction of non-party Katherine Lapp, who then served as Pataki’s Director of Criminal Justice, Victory was not informed of the panel’s determination until January 19, 1999, when he simultaneously received a Notice of Temporary Suspension of Parole Release.
*4 The core dispute concerns the events precipitating the March hearing to rescind Victory’s grant of parole release. Victory proffered admissible evidence supporting the following allegations. On January 12, 1999—the day after the panel granted Victory parole—Thomas P. Grant, the Special Assistant to the Chairman of the Board of Parole, received a media inquiry requesting the outcome of Victory’s hearing. Grant then called Terrance X. Tracy, Chief Counsel to the Chairman of the Board of Parole, to inform him that Victory had been granted release. Grant also called Director Lapp at the Governor’s office and conveyed the panel’s determination along with the nature of Victory’s offense and his history as an escapee. Five minutes later, Lapp called Grant back to request that he immediately send the file that had been before the January 11, 1999 panel to her in Albany. On January 13, 1999, it is undisputed that Lapp met with Tracy and Grant to discuss whether proper procedures were followed during the hearing, and they addressed the issue of Victory’s escape. Grant testified that Lapp instructed him not to serve Victory with the panel’s decision until she had an opportunity to review the file, and this instruction was implemented by Michael Hayden, the Deputy Chief of Operations of the Department of Parole. That same day, Lapp also contacted Assistant District Attorney James Kindler and Judge John F. Keenan, the former Assistant District Attorney who had prosecuted Victory, requesting information to supplement the record militating against his release. Kindler testified that he understood the panel “would need new information.” On January 14, Kindler sent a letter in opposition to Victory’s release, which emphasized the escape. On March 8, 1999, Judge Keenan wrote a letter to Pataki that was provided to the Parole Board, discussing at length Victory’s escape and urging the Governor to prevent his release.
On March 9, 1999, a rescission hearing was held before a three-member panel, which included Commissioner Graber. The only evidence offered on the issue of whether Victory’s escape was unknown to the January 11, 1999 panel was Graber’s own unsworn statements to this effect. Based on “new materials” highlighting Victory’s escape, the rescission panel unanimously voted to rescind Victory’s release. On November 8, 1999, the Board of Parole Appeals Unit reversed the rescission determination, concluding that “[t]he conduct of Commissioner Graber acting as unsworn witness, prosecutor and judge at the rescission hearing so tainted the proceeding that the rescission hearing must be deemed constitutionally insufficient in violation of Mr. Victory’s right to due process.” App’x at 1215. It therefore remanded for a new rescission hearing to be convened immediately before a panel of three commissioners who lacked any prior involvement in Victory’s case.
Ultimately, the rehearing never transpired. On December 15, 1999, the Wyoming County
Supreme Court (Dadd,
J.
) (“Dadd Order”) granted Victory’s state habeas petition and ordered
his immediate parole release. Victory was released on December 28, 1999. The Fourth
Department subsequently reversed the Dadd Order as premature and reinstituted the Board of
Parole’s direction to conduct a new rescission hearing.
People ex rel. Victory v. Herbert
, 716
N.Y.S.2d 254 (4th Dep’t 2000),
lv. denied
,
On April 7, 2000, Syracuse police officers arrested Victory for his admitted consumption of alcohol and his violation of a parole condition imposed by Syracuse Parole Officer Kevin McCarthy, that he not enter any establishment serving alcohol. Later that year, a final hearing *5 revoked Victory’s parole and recommended a 28-month delinquent time assessment. The Board of Parole affirmed the parole commissioner’s decision to instead impose a time assessment of 60 months. Victory challenged his parole revocation, alleging that his restrictive conditions of release, intensive surveillance, and excessive time assessment constituted selective enforcement. The Clinton County Supreme Court (Feldstein, J. ) upheld the revocation decision, but determined that the 60-month delinquent time assessment was excessive. Because Victory had already served the majority of this term, the court ordered that Victory be immediately considered for re-release to parole supervision. On October 18, 2005, Victory was re-released. II. Parole Rescission Claims
“It is firmly established that a constitutional right exists not to be deprived of liberty on
the basis of false evidence fabricated by a government officer.”
Zahrey v. Coffey
,
Victory alleges that the State Defendants violated and conspired to violate his right to
due process by fabricating a false basis for rescinding his parole and by depriving him of an
unbiased panel at his rescission hearing. The district court acknowledged that the rescission
hearing was “problematic on a due process level” and that “there arguably exist issues of fact
with regard to whether Graber knew of the escape, and therefore whether the information that his
rescission hearing was based upon was ‘new’ for purposes of 9 N.Y.C.R.R. § 8002.5(b)(2) (i).”
Victory
,
We affirm the district court insofar as it concluded that Graber was entitled to absolute
immunity for any actions taken while performing the quasi-judicial function of deciding whether
to grant, deny, or rescind Victory’s parole.
See Montero v. Travis
,
We agree with Victory that the district court erred in concluding that no rational jury
could find that any of the other defendants conspired to violate his right to due process. Despite
the State Defendants’ admission to multiple conversations regarding Victory’s parole, the district
court found that Victory could not establish the agreement necessary to sustain a conspiracy
claim due to lack of direct evidence “that these individuals agreed to anything other than
reviewing Plaintiff’s parole file.”
Victory
,
The district court did not draw all reasonable inferences in Victory’s favor when it
concluded that “Graber’s failure to note the escape in the parole file when it was readily
available was nothing more than a mistake” and that no nexus existed “between Lapp, Kindler,
Keenan, Grant, Travis, and Tracy discussing Plaintiff’s parole file and Graber depriving Plaintiff
of an impartial hearing.”
Victory
,
We also reverse the grant of summary judgment for lack of personal involvement with
respect to Michael Hayden and Ronald White, both directors of the Division of Parole.
“[P]ersonal involvement is a question of fact,”
Farrell v. Burke
,
The district court also dismissed former Governor Pataki for lack of personal
involvement. While the opinion below failed to draw all inferences in Victory’s favor in this
respect, we nonetheless agree with its ultimate determination that Victory failed to come forth
with evidence that would permit a jury to reasonably find that Pataki was personally involved in
depriving Victory of due process. As an initial matter, the undisputed involvement of two high-
ranking members of Pataki’s staff in the events preceding the rescission hearing is insufficient to
establish Pataki’s liability “[b]ecause vicarious liability is inapplicable to . . . § 1983 suits.”
Ashcroft v. Iqbal
,
Victory has similarly failed to show that Pataki fostered a policy or custom that deprived
him of due process during his rescission hearing. Undeniably, there is evidence in the record to
suggest that Pataki promoted a blanket policy opposing parole for violent offenders, but this does
not support the inference that he “created a policy or custom under which unconstitutional
practices occurred.”
Colon v. Coughlin
,
*8 III. Parole Supervision and Revocation Claims
We affirm the grant of summary judgment in all other respects. The district court properly dismissed Victory’s equal protection claims in light of his failure to come forth with any evidence suggesting that his admittedly stringent treatment during his parole supervision or revocation was motivated by impermissible considerations. This Court has previously explained that an unofficial policy to deny parole to all violent offenders would not violate the Equal Protection Clause of the Fourteenth Amendment because such disparate treatment is rationally related to the legitimate state interest in protecting the public. See Graziano v. Pataki , 689 F.3d 110, 117 (2d Cir. 2012). Victory asserts that he was treated more severely than other violent offenders, but concedes that this difference stemmed from his status as a “cop killer.” That parole restrictions may vary according to the nature of an offender’s crime requires no citation. Likewise, Victory’s challenge to his parole supervision fails under a “class-of-one” theory because Victory has presented no evidence that he was subject to a higher level of supervision than other similarly situated parolees. See Ruston v. Town Bd. for Town of Skaneateles , 610 F.3d 55, 59-60 (2d Cir. 2010) (“Class-of-one plaintiffs must show an extremely high degree of similarity between themselves and the persons to whom they compare themselves.” (alterations and internal quotation marks omitted)).
The district court dismissed Victory’s Fourth Amendment challenge on the basis that he
failed to proffer any admissible evidence that the defendants actually placed a global positioning
system device (“GPS”) on his vehicle. Upon de novo review, we find no error in the district
court’s holding in this respect. Even assuming that Victory had raised a genuine dispute as to the
GPS’s placement, the defendants personally involved would be entitled to qualified immunity
because, in 2000, when the alleged conduct occurred, it was not “clearly established” that the
warrantless placement of a GPS device on the vehicle of a parolee subject to electronic
monitoring would violate the Fourth Amendment.
See Hope v. Pelzer
,
Victory asserts no other colorable challenge to his supervision during his parole release.
Although he repeatedly asserts that the Department of Parole violated New York regulations or
its own policies, such conduct is not actionable under Section 1983.
See Wray v. City of New
York
,
In sum, we reverse the grant of summary judgment with respect to Board of Parole officials Tracy, Grant, and Travis, and Division of Parole officials Hayden and White, because *9 triable issues remain as to whether these individuals were personally involved in depriving Victory of due process. We affirm the district court’s dismissal of all of Victory’s remaining claims.
For the foregoing reasons, we AFFIRM IN PART, REVERSE IN PART, and REMAND for further proceedings consistent with this opinion.
FOR THE COURT: Catherine O’Hagan Wolfe, Clerk
Notes
[*] The Honorable Richard C. Wesley of the United States Court of Appeals for the
Second Circuit was originally assigned as a member of the panel, but recused himself prior to
oral argument and did not participate in the appeal. The appeal is being determined by the
remaining members of the panel, who are in agreement.
See
2d Cir. R. § 0.14(b);
Murray v.
National Broad. Co.
,
[**] The Clerk of the Court is directed to amend the caption as above.
[1] The January 11, 1999 parole panel did discuss, without further inquiry, certain facts related to his escape, such as his disciplinary record and the fact that Victory married his current wife “twenty-one years ago, [in] 1978” and had “one daughter who is now eighteen.” App’x at 941, 943.
[2] We do not opine on whether absolute immunity would bar claims against the individual
who assigned Graber to the panel, as the State Defendants have not asserted that defense on
behalf of White or Hayden.
See Rodriguez v. Weprin
,
