Evan WASHINGTON, Howard Pierson, IV and Secunda Crump, Plaintiffs-Appellants,
v.
COUNTY OF ROCKLAND, James F. Kralik, in his individual capacity, Defendants-Appellees,
Thomas Guthrie, in his individual capacity, Dennis Thorton, in his individual capacity, Kim Saucier, Det.,in his individual capacity, Nicholas Salfaro, in his individual capacity, and William J. Clark, Cpt.,in his individual capacity, Defendants.
No. 02-7929.
United States Court of Appeals, Second Circuit.
Argued: September 2, 2003.
Decided: June 25, 2004.
COPYRIGHT MATERIAL OMITTED COPYRIGHT MATERIAL OMITTED Stephen Bergstein, Thornton, Bergstein & Ullrich, LLP, Chester, NY, for plaintiffs-appellants.
Jeffrey S. Rovins, New York, NY, for defendants-appellees.
Before: SOTOMAYOR and WESLEY, Circuit Judges, and POLLACK,* District Judge.
SOTOMAYOR, Circuit Judge.
Plaintiffs-appellants Evan Washington, Howard Pierson IV and Secunda Crump (collectively, "plaintiffs"), African-American correction officers employed by the Rockland County Sheriff's Department ("RCSD" or "the Department") brought suit, pursuant to 42 U.S.C. §§ 1981 and 1983, against the County of Rockland ("the County") and Rockland County Sheriff James F. Kralik, in his individual capacity (collectively, "defendants").1 Plaintiffs claimed that defendants engaged in malicious prosecution by bringing meritless disciplinary charges against plaintiffs because of plaintiffs' race and in retaliation for plaintiffs' decision to speak out against defendants' allegedly discriminatory policies and practices. Plaintiffs further allege that defendants selectively maintained meritless disciplinary proceedings against them because of their race and prior opposition to defendants' allegedly discriminatory practices. The district court (Conner, J.) granted summary judgment in favor of defendants on all of plaintiffs' claims.
On appeal, we hold that: (1) plaintiffs' malicious prosecution claims fail because a § 1983 malicious prosecution claim may not be premised on a civil administrative proceeding of the type at issue here; (2) plaintiffs' discrimination claims accrued at the time the disciplinary charges were filed, and thus, plaintiffs' filing of the claims more than three years after they accrued rendered them untimely; and (3) although plaintiffs suffered an adverse employment action, their retaliation claim fails nonetheless because they did not demonstrate a causal connection between the adverse employment action and the protected speech.
BACKGROUND
In August 1996, RCSD initiated an investigation to determine whether corrections officers were distributing contraband materials to inmates in the Rockland County jail. Information obtained from inmate interviews suggested that Washington gave an inmate a cigarette, that Pierson gave food and beer to an inmate, and that Crump knew that cigarettes were stored in the jail. Because this information was obtained through uncorroborated inmate testimony, RCSD investigators declined to pursue criminal charges against the three officers and instead referred the matter to Joseph Suarez, Counsel to the Sheriff of Rockland County, to determine if internal administrative charges should be filed.
Although subordinates expressed reservations about the reliability of inmate testimony and suggested that the matter be addressed in an internal conference, Suarez ultimately recommended that Sheriff Kralik proceed with administrative disciplinary charges against plaintiffs.
On October 28, 1996, Washington was charged with Promoting Prison Contraband. On July 7, 1997 and August 26, 1997, respectively, Pierson and Crump also were charged with Promoting Prison Contraband.2 Plaintiffs were suspended without pay for thirty days, pursuant to N.Y. Civ. Serv. L. § 75(3). Pierson and Crump were given administrative hearings before a hearing officer, while the disciplinary charges against Washington were resolved in arbitration proceedings. Each plaintiff was found not guilty of Promoting Prison Contraband. The disciplinary charges against Crump and Washington, respectively, were dismissed on February 9, 1998 and July 21, 1998. Although the contraband charge against Pierson was dismissed on February 8, 1998, Pierson was found guilty on a separate charge of permitting two inmates to fight and was discharged by the Sheriff.
On September 18, 2000, plaintiffs filed this suit in the United States District Court for the Southern District of New York, alleging that: (1) RCSD's decision to file administrative disciplinary charges against them constituted malicious prosecution because of the evidentiary infirmities undermining the charges; (2) RCSD's decision to pursue administrative disciplinary charges against them was motivated by racial discrimination; and (3) in pursuing administrative disciplinary charges against plaintiffs, RCSD was retaliating against plaintiffs' exercise of their First Amendment rights in speaking out against RCSD's allegedly discriminatory policies and practices.
On July 22, 2002, the district court granted defendants' motion for summary judgment. See Washington v. County of Rockland,
Plaintiffs subsequently filed this timely appeal.
DISCUSSION
I. Standard of Review
We review the district court's grant of summary judgment de novo. See Lombard v. Booz-Allen & Hamilton, Inc.,
II. Malicious Prosecution Claims
The district court concluded that a malicious prosecution claim brought pursuant to 42 U.S.C. § 1983 may not be premised on an administrative disciplinary proceeding. Washington,
Although § 1983 provides plaintiffs with a federal cause of action, generally we borrow the elements of the underlying malicious prosecution from state law. Cook v. Sheldon,
The issues presented in Easton are similar to those in the instant case. In Easton, the plaintiff brought suit, pursuant to § 1983, claiming malicious prosecution in the context of a civil proceeding. We noted that "we have never determined whether a state law tort for civil as opposed to criminal malicious prosecution gives rise to a cause of action under § 1983." Id. We further recognized that "[a]lthough we ha[d] previously held that the state tort of malicious criminal prosecution gives rise to a cause of action under § 1983," criminal malicious prosecution generally implicated constitutional rights "not automatically implicated in a malicious [prosecution] civil suit." Id. While we did not foreclose the possibility that "civil prosecution [could] give rise to a cause of action under § 1983," we surmised that, absent official conduct that is conscience-shocking, "it normally will not." Id. at 1018.
Since Easton, the landscape of § 1983 malicious prosecution suits has changed. In Albright v. Oliver,
The following year, in Singer v. Fulton County Sheriff,
Despite Albright and Singer, plaintiffs maintain that they have alleged a viable malicious prosecution claim under § 1983. Specifically, plaintiffs argue that although the disciplinary charges against them were filed in an administrative context, they nonetheless implicate Fourth Amendment rights because plaintiffs could have been criminally prosecuted if found guilty in the administrative proceeding and because the stigma of the disciplinary charges would impede their future advancement within the RCSD. We disagree that these possibilities implicate the Fourth Amendment to such a degree as to permit a § 1983 claim based on a civil administrative proceeding of the type at issue here.
The factual circumstances of this case do not rise to the level of a constitutional violation sufficient to warrant redress under § 1983. Plaintiffs were charged in an administrative proceeding, and, critically, were never taken into custody, imprisoned, physically detained or seized within the traditional meaning of the Fourth Amendment. See United States v. Mendenhall,
As we have noted, our case law does not forbid a § 1983 malicious prosecution claim premised on a civil or administrative proceeding; however, because such claims must, under Albright and Singer, be premised on a violation of Fourth Amendment rights, it is unlikely that a civil proceeding of the kind at issue here would implicate constitutional rights in a manner that would warrant redress under § 1983. Because the circumstances of this case do not constitute a deprivation of liberty sufficient to constitute a violation of plaintiffs' Fourth Amendment rights, plaintiff's malicious prosecution claim fails.
III. Timeliness of Plaintiffs' Discrimination Claims
In their complaint, plaintiffs allege that defendants discriminated against them in violation of §§ 1981 and 1983, by selectively maintaining administrative disciplinary charges against them on the basis of their race. The district court dismissed these claims, holding that, for purposes of tolling the statute of limitations, plaintiffs' claims accrued "when they were charged with disciplinary violations." Washington,
On appeal, no party disputes that the applicable statute of limitations period is three years from the time the claim accrued. See Connolly v. McCall,
A. Continuing Violation Doctrine
Under Title VII's continuing violation doctrine, "if a plaintiff has experienced a continuous practice and policy of discrimination,... the commencement of the statute of limitations period may be delayed until the last discriminatory act in furtherance of it." Fitzgerald v. Henderson,
Conduct that has been characterized as a continuing violation is "composed of a series of separate acts that collectively constitute one unlawful employment practice." Nat'l R.R. Passenger Corp. v. Morgan,
B. Abstention and Roesch v. Otarola
Plaintiffs also assert that under Roesch v. Otarola,
Under Younger, federal courts, in the interest of comity, must abstain from enjoining pending state court criminal prosecutions and allow state courts to resolve pending matters within their jurisdiction. Younger abstention also has been extended beyond the ambit of state criminal prosecutions to state civil proceedings and administrative proceedings. See Trainor v. Hernandez,
We recognize that certain circumstances might militate in favor of abstaining from filing a federal suit until disposition of underlying state administrative proceedings. For example, if the claims raised in federal court would necessarily implicate factual issues pending in the underlying state administrative proceeding, pursuant to Younger and its progeny, the federal suit would be stayed pending disposition of the underlying state proceedings. Here, however, the claims raised in federal court are of a wholly different character from the charges raised in the administrative disciplinary proceedings. In the administrative disciplinary proceedings, the issue was whether plaintiffs distributed contraband items to prisoners. The discrimination claims raised in federal court concerned whether RCSD's decision to file the disciplinary charges against plaintiffs was based on discriminatory animus. Resolution of plaintiffs' federal claims therefore did not implicate issues raised in the administrative disciplinary proceedings. If, however, a state administrative proceeding permitted plaintiffs to assert an affirmative defense of discrimination in response to the filed disciplinary charges, then a stronger argument might be made for resolving the underlying state administrative charges — and the attendant affirmative defense of discrimination — before commencing a discrimination suit in federal court. Here, however, plaintiffs have not alleged any such circumstances that would counsel in favor of delaying the filing of their federal discrimination claims until the resolution of the administrative disciplinary charges.
For the same reasons, plaintiffs' reliance on Roesch,
Plaintiffs' reliance on Roesch is unpersuasive. In their discrimination claims, plaintiffs did not challenge the substance of the administrative disciplinary charges, as would be the case in a malicious prosecution claim. Instead, plaintiffs allege that in deciding to initiate and pursue disciplinary charges against plaintiffs, RCSD engaged in discriminatory conduct. Thus, the crux of plaintiffs' claims is disparate treatment — that white officers were not subjected to the same disciplinary process. The administrative disciplinary proceedings and the federal court claims therefore implicate and seek to resolve different legal issues. Accordingly, there was no need to refrain from filing the federal discrimination claims until the disposition of the administrative disciplinary proceedings.
As with all discrimination claims, plaintiffs' claims accrued when they knew or should have known of the discriminatory action. That is, the claim accrued when plaintiffs knew or had reason to know that defendants filed the charges. Accordingly, plaintiffs' §§ 1981 and 1983 discrimination claims accrued on October 28, 1996, July 7, 1997, and on August 26, 1997, when administrative disciplinary charges were filed against each individual plaintiff. When plaintiffs filed this suit on September 18, 2000, the three-year statute of limitations had elapsed, and their discrimination claims were therefore untimely.
IV. First Amendment Retaliation Claim
Plaintiffs, who publicized their criticisms of RCSD's policies by filing discrimination complaints, also allege that defendants subjected them to administrative disciplinary proceedings in retaliation for filing the discrimination complaints. The district court granted RCSD's motion for summary judgment, finding that plaintiffs failed to state a prima facie case of First Amendment retaliation because they had not "alleged any adverse employment action sufficient to implicate their constitutional rights." Washington,
To state a prima facie case of retaliation under § 1983, a plaintiff must demonstrate that: (1) his or her speech was constitutionally protected; (2) he or she suffered an adverse employment action; and (3) a causal connection exists between the speech and the adverse employment action so that it can be said that the speech was a motivating factor in the determination. Morris v. Lindau,
The district court concluded that "[t]he maintenance of disciplinary charges and formal hearings against plaintiffs in the instant action does not constitute [an] adverse employment action." Washington,
In the context of a First Amendment retaliation claim, we have held that "[o]nly retaliatory conduct that would deter a similarly situated individual of ordinary firmness from exercising his or her constitutional rights constitutes an adverse action." Dawes v. Walker,
We nevertheless conclude that plaintiffs have failed to establish a prima facie case of First Amendment retaliation, as they have not established a causal connection between defendants' allegedly retaliatory conduct and plaintiffs' protected speech. To satisfy the causal connection requirement of the prima facie case, plaintiffs must show that their criticisms of RCSD were "a substantial motivating factor" in RCSD's decision to initiate administrative disciplinary charges against them. Deters v. Lafuente,
In an attempt to establish the requisite causal connection, plaintiffs maintain that RCSD initiated disciplinary charges against two Hispanic officers — Serrano and Torres — who had also been outspoken critics of the Department's policies. Plaintiffs allege that RCSD later dropped the charges against Serrano and Torres, presumably as a quid pro quo for Torres and Serrano dropping their discrimination complaints against the Department.
Absent more, plaintiffs' allegations are insufficient to establish the requisite causal connection between their own protected speech and the initiation of the administrative disciplinary charges. As a threshold matter, there is no record evidence beyond plaintiffs' bald assertions suggesting that either Torres or Serrano filed discrimination charges against the Department, or had otherwise been outspoken in their criticism of the Department's practices and policies. Nor is there any record evidence suggesting that either Torres or Serrano stopped his criticisms against the Department in exchange for having the administrative disciplinary proceedings dismissed. More importantly, plaintiffs' speculation regarding Torres and Serrano does little to establish a nexus between plaintiffs' protected speech and the Department's decision to file disciplinary charges. Absent some record evidence that RCSD and its officials possessed retaliatory animus toward them, plaintiffs cannot succeed in making out a First Amendment retaliation claim based on defendants' decision to file administrative disciplinary charges.
CONCLUSION
For the foregoing reasons, the judgment of the district court is AFFIRMED.
Notes:
Notes
The Honorable Milton L. Pollack of the United States District Court for the Southern District of New York, sitting by designation
In their complaint, plaintiffs also named the following persons as defendants: Undersheriff Thomas Guthrie, Detective Dennis Thornton, Detective Kim Saucier, Chief Nicholas Solfaro and Captain William J. Clark. Plaintiffs, however, are proceeding against only the County and Sheriff Kralik on appeal
The disciplinary proceedings were initiated under § 75 of the New York Civil Service Law (McKinney 2000)
Insofar as plaintiffs Crump and Pierson argue that under a continuing violation theory, the statute of limitations on their discrimination claims did not begin to run until July 1998, when the last of the disciplinary charges were dismissed, their contention is patently incorrect. If applicable, the continuing violation doctrine would implicate only those acts directly affecting plaintiffs. Here, administrative disciplinary charges were filed against each plaintiff individually and dismissed against each plaintiff individually at different times. Crump and Pierson were not affected by the July 1998 dismissal of charges because those charges did not pertain to them — they dismissed the charges pending against Washington. Because the charges were filed and dismissed against plaintiffs as individuals, we do not consider them collectively for purposes of the continuing violation doctrine
