Opinion ID: 6967951
Heading Depth: 2
Heading Rank: 1

Heading: Dismissal of Claims Against DOP Defendants

Text: We review de novo the district court’s Rule 12(b)(6) dismissal of the complaint against the DOP defendants. International Audiotext Network, Inc. v. American Tel. & Tel. Co., 62 F.3d 69, 71 (2d Cir.1995) (per curiam); Austern v. Chicago Bd. Options Exch., Inc., 898 F.2d 882, 885 (2d Cir.1990). In reviewing this dismissal, “we must assume — strictly for the purposes of appeal — that the facts alleged in the complaint are true.” Gant v. Wallingford Bd. of Educ., 69 F.3d 669, 670 (2d Cir.1995). Rule 12(b)(6) dismissal is proper “only where it appears beyond doubt that the plaintiff can prove no set of facts in support of the claim which would entitle him to relief.” Branham v. Meachum, 77 F.3d 626, 628 (2d Cir.1996) (internal quotations omitted). The district court ruled that the three DOP defendants, parole officers Wegman, Forman, and Almenas, were entitled to absolute immunity, and therefore dismissed the federal claims against those defendants. We agree with the district court’s conclusion that Wegman and Forman are absolutely immune from a suit for damages based upon their actions, which were prosecutorial in nature. However, we find that Almenas is entitled only to qualified immunity, and therefore vacate the dismissal of the action against him. Section 1983 creates a federal cause of action against any person who, under color of state law, deprives a citizen of any right, privilege, or immunity secured by the Constitution or laws of the United States. 2 State officials are entitled to some degree of immunity from § 1983 damages actions arising from their official acts. Most executive officials receive qualified immunity, whereby “government officials performing discretionary functions ... are shielded from liability ... insofar as their conduct does not violate clearly established statutory or constitutional rights of which a reasonable person would have known.” Harlow v. Fitzgerald, 457 U.S. 800, 818, 102 S.Ct. 2727, 2738, 73 L.Ed.2d 396 (1982); see also Anderson v. Creighton, 483 U.S. 635, 638, 107 S.Ct. 3034, 3038, 97 L.Ed.2d 523 (1987). A limited number of officials are entitled to absolute immunity from § 1983 damages liability for their official acts. However, because absolute immunity “detracts from section 1983’s broadly remedial purpose,” Spear v. Town of W. Hartford, 954 F.2d 63, 66 (2d Cir.1992), “[t]he presumption is that qualified rather than absolute immunity is sufficient to protect government officials in the exercise of their duties.” Burns v. Reed, 500 U.S. 478, 486, 111 S.Ct. 1934, 1939, 114 L.Ed.2d 547 (1991). Absolute immunity is proper only in those rare circumstances where the official is able to demonstrate that the application of absolute immunity to the circumstances presented is required by public policy. See Cleavinger v. Saxner, 474 U.S. 193, 201, 106 S.Ct. 496, 500-01, 88 L.Ed.2d 507 (1985); Butz v. Economou, 438 U.S. 478, 506, 98 S.Ct. 2894, 2910-11, 57 L.Ed.2d 895 (1978); Stewart v. Lattanzi, 832 F.2d 12, 13 (2d Cir.1987) (per curiam); Barrett v. United States, 798 F.2d 565, 571 (2d Cir.1986). Courts take a functional approach when determining whether an official receives qualified or absolute immunity; the level of immunity “flows not from rank or title or location within the Government, but from the nature of the [official’s] responsibilities.” Cleaving-er, 474 U.S. at 201, 106 S.Ct. at 501 (internal quotations and citations omitted). Absolute immunity for judicial acts is well established. See, e.g., id. at 199-200, 106 S.Ct. at 499-500; Stump v. Sparkman, 435 U.S. 349, 98 S.Ct. 1099, 55 L.Ed.2d 331 (1978); Pierson v. Ray, 386 U.S. 547, 553-54, 87 S.Ct. 1213, 1217-18, 18 L.Ed.2d 288 (1967); see also Butz, 438 U.S. at 513-14, 98 S.Ct. at 2914-15 (administrative law judges are absolutely immune for adjudicatory acts); Stewart,' 832 F.2d at 13 (“If the official acts adjudieatively, the official probably has absolute immunity.”). State officials are also immune for acts that are prosecutorial in nature. See Imbler v. Pachtman, 424 U.S. 409, 427-30, 96 S.Ct. 984, 993-95, 47 L.Ed.2d 128 (1976); see also Butz, 438 U.S. at 515, 98 S.Ct. at 2915 (“agency officials performing certain functions analogous to those of a prosecutor should be able to claim absolute immunity with respect to such acts”); Spear, 954 F.2d at 66. The DOP defendants all claim that then-actions were prosecutorial and/or adjudicatory in nature, thereby triggering absolute immunity. On the other hand, Scotto alleges that the actions of the parole officers were investigatory or administrative in nature and thus were entitled only to qualified immunity. To resolve this question, we must examine the role played by each DOP defendant to determine whether he or she performed a function for which absolute immunity is required. See Stewart, 832 F.2d at 13. While generally this is a factual inquiry, in the present case the functions performed by each DOP defendant are essentially undisputed; no further factual development is necessary.

Amenas is not entitled to absolute immunity. Parole officers are entitled to absolute immunity when they perform judicial functions. Thus, a parole board official is absolutely immune from liability for damages when he “decidefsj to grant, deny, or revoke parole,” because this task is functionally compai’able to that of a judge. Sellars v. Procunier, 641 F.2d 1295, 1303 (9th Cir.1981). Accord, Wilson v. Kelkhojf, 86 F.3d 1438, 1443-44 (7th Cir.1996); Anton v. Getty, 78 F.3d 393, 396 (8th Cir.1996); Miss v. Uppah, 972 F.2d 300, 303 (10th Cir.1992); Knoll v. Webster, 838 F.2d 450, 451 (10th Cir.1988) (per curiam); Evans v. Dillahunty, 711 F.2d 828, 831 (8th Cir.1983); United States ex rel. Powell v. Irving, 684 F.2d 494, 496-97 (7th Cir.1982); David v. Rodriguez, No. 88 CIV. 2115(JFK), 1989 WL 105804, at  (S.D.N.Y. Sept. 5, 1989); Smiley v. Davis, No. 87 CIV. 6047(MGC), 1988 WL 78306, at - (S.D.N.Y. July 14, 1988); Anderson v. New York State Div. of Parole, 546 F.Supp. 816, 825 (S.D.N.Y.1982). However, Amenas did not make an adjudicative decision to revoke Scotto’s parole. According to the complaint, Amenas only recommended to Weg-man that a warrant be issued for Scotto’s arrest. Therefore, Amenas is not entitled to immunity on this ground. See Russ, 972 F.2d at 303 (granting absolute immunity to parole board members for quasi-judicial act of revoking parole, but denying immunity to parole officer who recommended revocation). Nor were Amenas’s actions “integrally related to the judicial process.” Dorman v. Higgins, 821 F.2d 133, 136 (2d Cir.1987); see also Cleavinger, 474 U.S. at 200, 106 S.Ct. at 500; Wilson, 86 F.3d at 1444 (absolute immunity proper for “activities that are inexorably connected with the execution of parole revocation procedures and are analogous to judicial action”), (internal quotation marks omitted). In Dorman, we granted absolute immunity from damages suits to federal probation officers for their preparation of presentence reports (“PSRs”) because “in preparing presentence reports, a federal probation officer acts as an arm of the court____” 821 F.2d at 137. Accord, Tripati v. INS, 784 F.2d 345, 348 (10th Cir.1986)(per curiam); Spaulding v. Nielsen, 599 F.2d 728, 729 (5th Cir.1979)(per curiam); see also, Hili v. Sciarrotta, 140 F.3d 210, 213 (2d Cir.1998) (New York state probation officers absolutely immune for preparing and furnishing presentence reports); Anton, 78 F.3d at 396 (state parole officers receive absolute immunity for preparing equivalent ofPSR). However, “[t]he more distant a function is from the judicial process, the less likely absolute immunity will attach.” Snell v. Tunnell, 920 F.2d 673, 687 (10th Cir.1990). In Galvan v. Garmon, 710 F.2d 214, 215-16 (5th Cir.l983)(per curiam), the Court of Appeals for the Fifth Circuit declined to extend absolute immunity to a state probation officer who mistakenly caused the arrest and incarceration of a probationer. Distinguishing its opinion in Spaulding, 599 F.2d at 729, where the court granted federal probation officers immunity for the preparation of PSRs, the court explained that the probation officer in Galvan “acted at her own initiative,” rather than at the initiative of the court as in Spaulding, “and at a different phase of the criminal process less intimately associated with the judiciary.” Galvan, 710 F.2d at 215. See also Ray v. Pickett, 734 F.2d 370, 372-73 (8th Cir.1984) (probation officers not absolutely immune for filing probation violation reports; in filing a probation report, “[t]he probation officer is not acting as closely with the court as in the presentence report process”); Snell, 920 F.2d at 692 n. 18 (“In contrast to the preparation of [PSRs], other decisions ... by a ... parole officer warrant only qualified ... immunity because such decisions are further removed from the judicial process and are not initiated by courts.”). As in Galvan and Ray, Almenas’s actions in preparing Scotto’s parole violation report and in recommending that an arrest warrant issue were not performed under judicial direction and occurred before the initiation of parole revocation proceedings. Therefore, we conclude that Almenas has not performed judicial functions entitling him to absolute immunity. Parole officers also receive absolute immunity for their actions in initiating parole revocation proceedings and in presenting the case for revocation to hearing officers, because such acts are prosecutorial in nature. See Ray, 734 F.2d at 374; David, 1989 WL 105804, at ; Smiley, 1988 WL 78306, at ; Miller v. Garrett, 695 F.Supp. 740, 745 (S.D.N.Y.1988); Johnson v. Kelsh, 664 F.Supp. 162, 166 (S.D.N.Y.1987); Anderson v. New York State Div. of Parole, 546 F.Supp. at 825; see also Spear, 954 F.2d at 66 (discussing rationale for prosecutorial immunity); Schloss v. Bouse, 876 F.2d 287, 289 (2d Cir.1989) (same). Almenas did not present the case to the hearing officer, so his entitlement to absolute immunity depends on whether he initiated the prosecution by making the discretionary decision to bring charges against Scotto and thereby begin the revocation process. Cf. Butz, 438 U.S. at 515, 98 S.Ct. at 2915 (“[a]n agency official, like a prosecutor, may have broad discretion in deciding whether a proceeding should be brought and what sanctions should be sought” and “should be able to claim absolute immunity with respect to such acts”). In this case, Almenas did not have the discretionary authority to initiate parole revocation proceedings against Scotto. Under New York state regulations, if a parole officer believes that a parolee under his supervision has violated a condition of his parole, “such parole officer shall report such fact to a member of the board or a designated officer.” N.Y. Comp.Codes R. & Regs. tit. 9, § 8004.2(a) (emphasis added). Upon receipt of such a report, “[t]he member or designated officer may issue a warrant ... provided that the designated officer issuing the warrant shall not also be the officer recommending issuance of the warrant.” Id. at § 8004.2(b) (emphasis added). Once a warrant is issued, a preliminary hearing is held and the adjudicatory process begins. See id. at § 8004.3. Consistent with these regulations, Almenas submitted a parole violation report to Wegman, who decided to issue the warrant. Faced with a similar scenario, the Court of Appeals for the Eighth Circuit held that a federal probation officer is not entitled to absolute immunity for filing a probation report. Ray, 734 F.2d at 374. As in New York, a federal probation officer submits a report to the Parole Commission when he suspects a parolee has violated his parole. The Parole Commission then makes a' discretionary judgment as to whether to initiate revocation proceedings. Under these circumstances, the court found that the parole officer had not “initiated” a prosecution in a manner justifying absolute immunity. We cannot conclude that the probation officer, in filing a parole violation report, exercises the same degree of discretion as a prosecutor in initiating a criminal prosecution. ... We believe that the probation officer’s function in this context is more akin to a police officer in deciding whether there is probable cause for an arrest than it is to that of a prosecutor in deciding whether to initiate a prosecution. Id. The Court of Appeals for the Seventh Circuit has reached the same conclusion. See Wilson, 86 F.3d at 1445-46 (Illinois parole officer’s decision to file a report “does not have a prosecutorial or judicial analog and, consequently, does not fall within the ambit of absolute immunity”). Although district courts in this circuit have differed on this question, compare Smiley, 1988 WL 78306, at  (New York parole officer’s role in filing a report “is not sufficiently analogous to the role of a prosecutor in initiating criminal proceedings to warrant absolute immunity”) with Conner v. Alston, 701 F.Supp. 376, 378 (E.D.N.Y.1988) (parole officers absolutely immune for recommending issuance of parole warrant), we agree with the analysis in Wilson and Ray. Alme-nas’s role was investigatory, not prosecutorial. Upon deciding that Scotto had probably violated his parole, Almenas was required to recommend that a warrant issue. . Senior parole officer Wegman thereafter made the discretionary decision to issue the. warrant and initiate the parole revocation “prosecution.” Almenas’s role was similar to that of a police officer applying for an arrest warrant, a function for which qualified immunity is sufficient. We decline to extend : absolute immunity more than is strictly necessary to safeguard the independent exercise of the prosecutorial function. For the foregoing reasons, we believe that Almenas is not entitled to absolute immunity for the actions alleged in Scotto’s complaint.
The district court did not. consider, and the parties have not briefed, whether or not Almenas, as alleged by Scotto, violated clearly established constitutional norms of which an objectively reasonable person should have been aware. See Anderson, 483 U.S. at 640, 107 S.Ct. at 3039; Harlow, 457 U.S. at 818, 102 S.Ct. at 2738. Unless he did so, Almenas enjoys qualified immunity from § 1983 damages liability for his actions. On the present record, Almenas cannot establish his entitlement to qualified immunity as a matter of law. Scotto alleges that Almenas fabricated a parole violation and arrested him knowing he lacked probable cause to do so. Such conduct, if proved, would plainly violate Scotto’s clearly established right to be free from arrest in the absence of probable cause. See Ricciuti v. New York City Transit Auth., 124 F.3d 123, 128 (2d Cir.1997) (right not to be arrested without probable cause is clearly established); Oliveira v. Mayer, 23 F.3d 642, 648 (2d Cir.1994) (same). Moreover, it would be objectively unreasonable for Almenas to believe he had probable cause to arrest Scotto if Almenas himself fabricated the grounds for arrest. No “reasonably competent [] officers could disagree,” Ricciuti, 124 F.3d at 128; see also Golino v. City of New Haven, 950 F.2d 864, 870 (2d Cir.1991), that a parole officer can not properly rely on evidence he knows to be false. Therefore, Rule 12(b)(6) dismissal would not be appropriate on the basis of qualified immunity. On remand, further factual development, either at trial or at the summary judgment stage, will be necessary to determine whether qualified immunity is available to Almenas.
The district court properly dismissed the action against Wegman. First, Wegman is entitled to absolute immunity from civil damages liability for the actions about which Scotto complained. Wegman’s discretionary decision to sign the arrest warrant based upon Almenas’s recommendation initiated the parole revocation proceedings and was prosecutorial in -nature. See, e.g., Wilson, 86 F.3d at 1446 (parole officer entitled to absolute immunity for “deciding to' issue 'an arrest warrant based upon evidence gathered'by others,” but not for investigating charge and filing report); Smiley, 1988 WL 78306, at  (unlike New York parole officer who filed violation report, his supervisor’s issuance of warrant “was functionally equivalent to the duties of a prosecutor” and was entitled to absolute immunity). Therefore, Wegman is entitled to absolute immunity. Second, insofar ¿s Scotto premises liability on Wegman’s inadequate supervision of Almenas, the district court properly dismissed the action. Wegman cannot be subjected to § 1983 damages liability based on respondeat superior or on his failure to supervise Almenas adequately. See McKinnon v. Patterson, 568 F.2d 930, 934 (2d Cir.1977) (plaintiff must allege personal involvement of defendant in alleged constitutional deprivation); Smiley, 1988 WL 78306, at .
The district court also properly dismissed the claims against Forman. The only direct role Forman is alleged to have played was her threat to initiate proceedings to revoke Scotto’s parole unless he agreed to dismiss the state court action against Barbara Mei, O’Rorke, and Skadden Arps. In Schloss v. Bouse, 876 F.2d 287, 289 (2d Cir.1989), we held that a municipal prosecutor was absolutely immune for his decision to forgo prosecution of the plaintiff in exchange for the plaintiffs -promise to release certain claims against the municipality and its police officers. We concluded that since a prosecutor possesses absolute immunity for his decision to prosecute, “as a matter of logic, absolute immunity must also protect the prosecutor from damages suits based on his decision not to prosecute.” Id. at 290. Because the prosecutor’s threat to prosecute was “interdependent” with his demand for releases, we found that the prosecutor was entitled to absolute immunity for his conditional decision not to prosecute. Id. at 291. Unlike Almenas, but like Wegman, For-man had the authority to initiate or not to initiate parole revocation proceedings against Seotto. Therefore, Forman’s threat to initiate such proceedings, an act for which she is absolutely immune, was “interdependent” with her demand that Seotto dismiss the state court action. Id. Forman is thus entitled to absolute immunity.