State, Department of Corrections v. Cowles
STATE of Alaska, DEPARTMENT OF CORRECTIONS, Petitioner, v. Ebony COWLES, Respondent
Attorneys
Venable Vermont, Jr., Assistant Attorney General, Anchorage, and Gregg D. Renkes, Attorney General, Juneau, for Petitioner., Charles W. Ray, Jr., Law Offices of Charles W. Ray, Jr., P.C., and Paul W. Whe-lan and Kevin Coluccio, Stritmatter Kessler Whelan Withey Coluccio, Seattle, Washington, for Respondent.
Full Opinion (html_with_citations)
OPINION
I. INTRODUCTION
A parolee murdered his former girlfriend and then shot himself. The issue before us is whether the State of Alaska may be held liable in tort for a crime committed by a parolee under its supervision. The State urges us to overrule our holding in Division of Corrections v. Neakok that the State owes a duty of care in supervising its parolees.
II. FACTS AND PROCEEDINGS
In September 1991 Calvin McGrew and four others were driving a jeep that caught fire near the home of Jacqueline and Donald Boschert on the Parks Highway.
McGrew pleaded no contest to robbery in the first degree and other charges. He received a presumptive seven-year sentence for the robbery charge.
When McGrew was released from prison, Patricia Beckner was assigned to serve as his parole officer. As required by Department of Corrections (DOC) policy, Beckner filled out a risk assessment form to determine McGrewâs supervision level.
DOC policy also required that a risk reassessment be completed every six months.
Between his release from prison in November 1996 and March 1998, McGrew appears to have complied with his parole conditions with the exception of a few missed appointments, positive urine tests for marijuana, and âno showsâ for urinalysis appointments. During this time McGrew lived with his girlfriend Shila Davis or her parents.
McGrew did not appear for urine testing in March 1998 and failed to report to Beckner in April and June 1998. Beckner learned from McGrow's employer that he had been fired for not showing up. On July 17, 1998, Beckner filed a parole violation report. A parole board member issued a parole arrest warrant four days later. When McGrew had not been arrested by November 1998, Beck-ner put his file in âabscondâ status.
McGrew was arrested on May 13,1999. A parole board member conducted a preliminary hearing on May 21,1999 to determine if he should remain in custody until his full board revocation hearing. At the hearing, McGrew admitted to five parole violations
On June 8, 1999, Davis filed a petition in the trial court requesting a protective order. She alleged that MeGrew had abused her and requested that he be barred from contacting her or coming to her home. On June 13, 1999, Davis called 911 alleging MeGrew had hit her. On July 23, 1999, Davis filed another petition for a protective order, and the district court granted an ex parte protective order. The next day, on July 24, 1999, MeGrew shot Davis and himself. One or both of their bodies fell on their three-month-old twins. One of the twins survived, but the other suffocated.
At the time of the murder, parole officer Beekner was unaware that Davis had filed domestic violence petitions against MeGrew or that the couple had separated. Beekner stated in her affidavit filed in the resulting tort case that while supervising MeGrew between his release after the preliminary hearing in May and the murder in July, she âattached a great deal of significance to what appeared to be a long-term stable relationship, and the recent arrival of twins.â Beekner further stated: âI felt that Calvinâs relationship with Shila, and his continued employment, were good indicators that he might succeed on parole and afterwards.â MeGrew had reported to Beekner as scheduled on May 24 and June 21. He did not tell Beekner about the domestic violence problems. But on his June 21 monthly report form he did note that he had had contact with the police, stating â[t]hey came to my house to arrest me.â In her affidavit, Beekner stated that she had âno current recollection of this entry or any discussion about it with Calvin, but [she] would have asked him about it and ... feel[s] sure that [she] did.â She stated that she believed that the visit from the police was related to âon-' going confusionâ between MeGrew and Darryl Poindexter
Ebony Cowles, the personal representative of the Estate of Shila Davis and guardian of the surviving child, filed suit against the State Department of Corrections and the Municipality of Anchorage. The complaint alleges that the State committed negligence by failing to implement and enforce an appropriate parole plan, to require appropriate post-release therapy, to enforce parole violations, to properly supervise MeGrew, and to revoke his parole.
The State moved for summary judgment. The State argued that our decision in Neak-ok should be overruled and therefore that the State owes no duty of care to victims of crimes committed by parolees. The State also argued that it was immune from suit and that it was entitled to judgment as a matter of law on the issue of causation. The superi- or court denied the motion for summary judgment. We accepted the Stateâs petition for review.
III. STANDARD OF REVIEW
âWe review denials of summary judgment motions de novo to determine
We overrule a prior decision of this court when âwe are âclearly convinced that the rule was originally erroneous or is no longer sound because of changed conditions, and that more good than harm would result from a departure from precedent.â â
IV. DISCUSSION
We addressed in Neakok
Although we usually determine whether a tort duty exists before reaching the question of discretionary function immunity,
A. Discretionary Function Immunity
Under the Alaska Tort Claims Act, the State is immune from suit for tort claims âbased upon the exercise or performance or the failure to exercise or perform a discretionary function or duty on the part of a state agency or an employee of the state, whether or not the discretion involved is abused.â
The State argues that discretionary function immunity bars all claims in this suit. Cowles responds that the State is not immune because parole supervision involves operational acts rather than planning decisions. We do not determine whether an entire class of decisions, such as those related to parole supervision, are entitled to immunity.
1. Decisions made by the parole board
Some allegations in Cowlesâs complaint appear to refer to actions or omissions on the part of the parole board. These include failure to impose appropriate parole conditions, to require appropriate post-release therapy,
Determining the appropriate parole conditions upon release and deciding whether or not to revoke an offenderâs parole or whether or not to release an offender pending a revocation hearing are all planning decisions. They require careful weighing of policy considerations, including public safety, the need to rehabilitate and reintegrate offenders, the allocation of resources available to treat and
In Neakok, our analysis of duty and immunity applied only to parole officers, not the parole board, because no reasonable jury could find the board at fault in that case.
2. Decisions made by the parole officer
Cowlesâs complaint also alleges that Beck-ner committed negligence by failing to enforce and report parole violations, to comply with the statutes, regulations, and guidelines governing the supervision of parolees, to act in response to McGrewâs dangerous behavior, and to seek to revoke his parole. The parties dispute whether Becknerâ acts were discretionary or operational. In asserting that the State is not entitled to immunity, Cowles focuses on three allegedly negligent omissions on the part of Beckner: (1) failure to report parole violations and seek revocation; (2) failure to follow DOC policies governing offender classification and supervision standards; and (3) failure to investigate potential parole violations and ensure McGrewâs compliance with the conditions of parole.
Cowles argues that Beckner was required by DOC policy to respond to McGrewâs parole violations, and therefore that her failure to recommend parole revocation was not immune. The State contends that a parole officerâs decision to report a parole violation or to pursue revocation is immune from suit because it requires judgment and discretion to determine âthe point at which counseling, ... warnings and other means to obtain compliance with conditions are unsuccessful.â The Stateâs characterization of the parole officerâs function is accurate with respect to the officerâs response to minor parole violations, but not serious violations. DOC Policy 902.14 mandates that an officer âshallâ file a petition to revoke parole if there is probable cause that the offender committed a âserious violationâ but is given discretion whether to initiate revocation action if the offender commits a âminor violation.â
A parole officer therefore has no discretion, and thus no immunity, in responding to felony behavior or other actions that jeopardize the property or the safety of another person; in such eases the officer is simply executing a pre-existing policy. However, the officer can exercise judgment in deciding whether to petition to revoke parole where a client commits a minor violation. The exercise of some discretion does not in itself confer immunity.
Cowlesâs complaint also alleges that Beckner failed to comply with the regulations and guidelines governing parole supervision. She argues on appeal that no immunity attaches to Beeknerâs failure to accurately complete the risk assessments for McGrew and to follow up on the statement on his monthly report form that the police had come to his house to arrest him. The day-to-day supervisory activities of a parole officer, such as filling out risk assessment scales and investigating the apparent commission of a serious violation are operational duties not entitled to immunity. DOC policies mandate that the officer use the risk assessment scales to assign a supervision level to each case, and set forth the extent and type of contact required to supervise offenders based on their risk classification.
However, seeking out possible parole violations of which the parole officer has no notice involves planning decisions that are entitled to discretionary function immunity. A parole officer must make policy judgments in deciding how to allocate time and resources among various clients.
B. Duty
The State contends that it owes no duty of care to the victims of crimes committed by parolees. It urges us to overrule our contrary holding in Neakok, arguing that the reasoning of our decision in Sandsness
In Sandsness, a juvenile offender committed murder not long after he had been released from custody.
The State points out that in Sandsness we relied on the Vermont Supreme Court in Sorge v. State
Nor are we âclearly convincedâ
At least one court has suggested that before liability can attach the parole officer must have a special relationship to the victim or victim class that creates a duty beyond that owed to the public as a whole.
The dissent in Neakok suggests that a duty should be imposed only where a parole officer receives notice of imminent peril, akin to our cases involving the duty of a police officer to respond to a known life-threatening situation.
The dissent suggests that liability for negligent supervision could lead the State to err on the side of continued detention to avoid liability.
Nothing in our case law or the cases in other jurisdictions convinces us that our duty analysis in Neakok is erroneous. We therefore decline to overrule our holding in Neak-ok that the State has an actionable duty of care in supervising parolees. Our case law has established factors, commonly referred to as the D.S.W. factors, to determine whether a duty of care exists.
We therefore affirm the trial courtâs ruling on the issue of duty: there is sufficient evidence to withstand summary judgment. "When viewed in the light most favorable to Cowles, the record suggests that Beckner knew of the relationship between Davis and McGrew and knew that the police had come to arrest McGrew. This evidence raises a genuine issue of material fact as to whether Beckner knew or reasonably should have known that McGrew posed a danger to Davis and her family and whether Beckner breached her duty.
C. Causation
The State argues that even if it breached a duty to Cowles and is not immune from liability for that breach it is nevertheless entitled to summary judgment because as a matter of law its actions did not cause Cowlesâs injuries. Cowles argues that the issue of causation is a question of fact for the jury-
We have held that ânegligent conduct may properly be found to be a âlegal causeâ of a plaintiffs injury if the negligent act was more likely than not a substantial factor in bringing about (the) injury.â
The State contends that the connection between its acts and the murder was too attenuated to establish causation, particularly since Beckner could not have revoked McGrowâs parole without the independent action of the parole board. Our decision requires the superior court to reexamine whether the State is entitled to discretionary function immunity for some of its allegedly negligent acts. That reexamination may affect the superior courtâs causation analysis, for Cowles may only rely on non-immune acts to establish causation. We therefore remand the case to the superior court for a ruling on causation in light of its discretionary function immunity rulings. Although Cowlesâs theory of liability requires an extended chain of causation, we cannot say that as a matter of law the Stateâs alleged negligence did not cause her injuries. Reasonable jurors could find that Beckner would have discovered the domestic violence complaints if she had supervised McGrew properly. They could further find that this information would have changed Becknerâs and the parole boardâs view of McGrew since, according to her affidavit, Beckner âattached a great deal of significanceâ to what she thought was a long-term stable relationship with Davis indicating he might succeed on parole. Reasonable jurors could find that once the domestic violence problem was known the parole board would likely have revoked McGrow's parole, thereby preventing the murder. Accordingly, material questions of fact preclude summary judgment for the State on the issue of causation.
V. CONCLUSION
Because the State is entitled to discretionary function immunity with respect to at least some of the allegations in the complaint, we VACATE the superior courtâs order denying the Stateâs motion for summary judgment. We REMAND for further proceedings consistent with this opinion.
BRYNER, Chief Justice, with whom CARPENETI, Justice, joins except with regard to the last paragraph, concurring.
MATTHEWS, Justice, dissenting in part.
. 721 P.2d 1121, 1125 (Alaska 1986).
. See id. at 1134. Our decision in Neakok addressed this question only in the context of whether a parole officer could be held liable for decisions regarding selection of parole conditions because we concluded that no reasonable jury could find the board at fault in that case. Id. at 1125 n. 4. Whether discretionary function immunity applies to decisions made by the parole board, such as the selection of parole conditions and failure to revoke parole, as well as
. Because this case comes to us from a denial of summary judgment, the statement of facts reflects the respondentâs version of the disputed facts. See Gordon v. Alaska Pacific Bancorporation, 753 P.2d 721, 722 n. 1 (Alaska 1988).
. McGrew also received a consecutive sentence of three years, with two and one-half years suspended, for escape in the second degree, as well as suspended sentences for theft and criminal mischief. He was also ordered to serve three years of probation following his incarceration.
. DOC Policy 902.03 (1988). Because both parties cite the DOC Policy dated July 14, 1988, we assume that this policy reflects the provisions in force at all relevant times for this case.
. Id,
. Id.
. According to Beekner, Darryl Poindexter, who had recently been arrested, had at one time used McGrewâs identification card, causing the ongoing confusion about identity.
. State, Depât of Health & Soc. Servs. v. Sandsness, 72 P.3d 299, 301 (Alaska 2003).
. Id.
. Kiokun v. State, Depât of Pub. Safety, 74 P.3d 209, 212 (Alaska 2003).
. State v. Coon, 974 P.2d 386, 394 (Alaska 1999) (quoting State v. Fremgen, 914 P.2d 1244, 1245 (Alaska 1996)).
. Id. at 1124.
. See Guerrero v. Alaska Hous. Fin. Corp., 6 P.3d 250, 254 (Alaska 2000).
. Kiokun, 74 P.3d at 213 (proceeding directly to immunity because that analysis "illustrates the public policy issues that would also bear on a duty analysisâ).
. AS 09.50.250(1).
. Angnabooguk v. State, Depât of Natural Res., 26 P.3d 447, 453 (Alaska 2001) (quoting State, Depât of Transp. & Pub. Facilities v. Sanders, 944 P.2d 453, 456 (Alaska 1997)).
. Id.
. Id.
. Cf. Estate of Arrowwood v. State, 894 P.2d 642, 645-46 (Alaska 1995) (holding that officials' decision to keep road open could not be described as merely operational where "relevant statutory and
. Id.
. Kiokun, 74 P.3d at 215.
. See Angnabooguk, 26 P.3d at 455 (stating that "we have never held that an entire class of decisions ... are necessarily bound up with policy considerationsâ).
. Cf. id. (declining to decide whether each allegation in the complaint concerns planning or operational decisions and instructing superior court on remand to make a separate determination for each allegation following the principles announced by the court).
. The parole board generally imposes the conditions of parole, including special conditions such as therapy or treatment. AS 33.16.150. Parole officers may also impose special conditions of parole. It is unclear whether the complaint alleges that the parole officer as well as the parole board failed to impose appropriate parole conditions on MeGrew. Our conclusion that decisions regarding parole conditions are discretionaiy applies to decisions made by the parole officer as well as the parole board.
. The parole board determines whether to revoke an offenderâs parole. AS 33.16.220.
. 721 P.2d at 1137 (Matthews, J., dissenting).
. Cf. Kiokun, 74 P.3d at 216 (finding that state troopersâ decision whether to launch a search and rescue effort was immune because it was based on resource allocation and public policy considerations).
. Estate of Arrowwood v. State, 894 P.2d 642, 645 (Alaska 1995). Discretionary function immunity also ensures that courts "avoid the reexamination of decisions which lie outside the realm of their institutional competence." Id.
. 721 P.2dat 1134.
. See id. at 1125 n. 4.
. Sandsness, 72 P.3d at 308 (Matthews, J., dissenting).
. Cf. Coon, 974 P.2d at 394 (discussing the standard for overruling a prior decision of this court).
. DOC Policy 902.14 (1988).
. Id.
. Id. The administrative regulation regarding reporting of parole violations similarly provides that all felony behavior and any "serious misdemeanor behaviorâ indicating that the parolee is a danger to the public "must be reported to the board.â 22 AAC 20.350(a)-(b). The regulation further provides that if a parolee fails to report once, the parole officer "may notify the board," but the parole officer "shallâ notify the board if the parolee misses two consecutive reporting periods. 22 AAC 20.350(c). In the case of any other type of parole violation, "[r]eporting of the violation may be held in abeyance in the discretion of the parole officer.â 22 AAC 20.350(d).
. See Angnabooguk, 26 P.3d at 453.
. She did, however, have notice that the police had come to MeGrewâs house to arrest him. We address below whether she had a duty to investigate based on this information. Cowles argues that DOC policy required Beckner to file a violation report and recommend full or partial revocation of parole because some of McGrew's violations involved positive tests for marijuana. As the State points out, DOC Policy 902.25 only requires a parole officer to recommend partial or full revocation in response to a positive test if the parolee also committed one or more serious violations or is deemed to be a high risk to the community. Use of marijuana is a class B misdemeanor and therefore does not qualify as a serious violation. AS 11.71.060; AS 11.71.190.
. DOC Policy 902.03.
. DOC Policy 902.14.
. See Neakok, 721 P.2d at 1134 (noting that parole officer's actions in supervising offenders are ministerial in nature).
. See, e.g., Acevedo by Acevedo v. Pima County Adult Probation Depât, 142 Ariz. 319, 690 P.2d 38, 41 (1984) (holding that probation officers who allowed defendant to have contact with minors in violation of court order could not assert sovereign immunity); A.L. v. Commonwealth, 402 Mass. 234, 521 N.E.2d 1017, 1024 (1988) ("A probation officer's duty to make reasonable efforts to ascertain whether a probationer has
. Cf. Adams v. City of Tenakee Springs, 963 P.2d 1047, 1051 (Alaska 1998) ("Decisions about how to allocate scarce resources are matters of policy immune from judicial review.â).
. Cf. Kiokun, 74 P.3d at 217 (holding that state troopersâ decision whether to undertake a search and rescue operation was immune because it involved balancing of "public safety objectives and the allocation of resourcesâ).
. 721 P.2d at 1137 (Matthews, J., dissenting).
. Id. at 300.
. Id.
. Id.
. Id. at 304 (quoting Sorge v. State, 171 Vt. 171, 762 A.2d 816, 821 (2000)).
. Id. at 301.
. 171 Vt. 171, 762 A.2d 816 (2000).
. Id. at 821.
. Coon, 974 P.2d at 394.
. Restatement (Third) of Torts § 41 cmt. f (Proposed Final Draft No. 1, 2005).
. See, e.g., Starkenburg v. State, 282 Mont. 1, 934 P.2d 1018, 1028 (1997); Faile v. South Carolina Dep't of Juvenile Justice, 350 S.C. 315, 566 S.E.2d 536 (2002); Hertog ex rel. S.A.H. v. City of Seattle, 138 Wash.2d 265, 979 P.2d 400, 409 (1999).
. A.L. v. Commonwealth, 402 Mass. 234, 521 N.E.2d 1017, 1021 (1998).
. Id.
. Id.; see also Sandsness, 72 P.3d at 305 (stating that foreseeability is "the most important single D.S.W. factorââ); D.S.W. v. Fairbanks North Star Borough Sch. Dist., 628 P.2d 554, 555 (Alaska 1981) (noting that foreseeability is a factor in determining whether to impose a duty of care).
.Id.
. 151 P.3d 373, 2006 WL 3692501, Op. No. 6081 (Alaska, December 15, 2006).
. 721 P.2d at 1138 (Matthews, J., dissenting) (citing City of Kotzebue v. McLean, 702 P.2d 1309 (Alaska 1985)).
. Restatement (Third) of Torts § 41 cmt. f (Proposed Final Draft No. 1, 2005).
. 972 P.2d 978, 986 (Alaska 1999).
. Dissent at 371.
. Cf. City of Kotzebue v. McLean, 702 P.2d 1309, 1315 (Alaska 1985) (reasoning that imposing duty on police officers to respond to imminent threats was consistent with officersâ training and created an incentive for officers to follow their own policies and procedures).
. See D.S.W., 628 P.2d 554.
. Waskey v. Municipality of Anchorage, 909 P.2d 342, 343-44 (Alaska 1996) (noting that it was ''unnecessary to resort to the D.S.W. approachâ where the court had previously "decided two cases more closely related to this caseâ). We did apply the D.S.W. factors in Sandsness. 72 P.3d at 305. But there we explicitly held that Neakok did not control, making applicable the D.S.W. framework. Id.
. Sharp v. Fairbanks N. Star Borough, 569 P.2d 178, 181 (Alaska 1977) (internal quotations omitted).
. Id. (quoting State v. Abbott, 498 P.2d 712, 727 (Alaska 1972)).