Viola v. U.S. Dep't of Justice
Viola v. U.S. Dep't of Justice
Opinion of the Court
In this Freedom of Information Act ("FOIA") lawsuit, pro se Plaintiff Anthony L. Viola seeks records relating to third parties from the Executive Office of the United States Attorney (EOUSA) and the FBI.
I. BACKGROUND
In 2011, an Ohio federal jury found Plaintiff guilty of conspiracy to commit mortgage fraud. United States of America v. Lesniak, et al., 8-cr-506 (N.D. Ohio), ECF Nos. 54, 245. Although he continues to assert his innocence and apparently was acquitted of what he describes as "identical charges" in state court, Compl. ¶¶ 10-11, Plaintiff remains incarcerated despite numerous unsuccessful challenges to his conviction. See e.g., Lesniak , 8-cr-506 (N.D. Ohio), ECF No. 541. Several of those challenges involved claims that his criminal proceedings were tainted by prosecutorial misconduct and ineffective assistance of counsel. After sentencing, Plaintiff filed numerous motions and appeals (including voluminous exhibits) raising these claims. United States District Court Judge Donald Nugent-who presided over Plaintiff's federal criminal trial and sentenced him-held at least two day-long evidentiary *324hearings on the motions and issued numerous decisions denying post-conviction relief. See id.
Plaintiff now theorizes that Judge Nugent turned a blind eye to the alleged misconduct and ineffective assistance of counsel in Plaintiff's case in order to protect himself from potential embarrassment and/or prosecution. Compl. ¶¶ 27-28. Viola supports this theory by pointing to proceedings in another Ohio federal criminal matter: United States v. Calabrese , in which the defendant was charged and convicted of conspiracy, bribery, extortion, and mail fraud after a three-year investigation into public corruption in Cuyahoga County, Ohio. 11-cr-437 (N.D. Ohio), ECF No. 104 pp. 1-2; ECF No. 119. Calabrese's case was randomly assigned to Judge Nugent, but the government successfully sought reassignment to Judge Sarah Lioi, who was handling other cases arising out of the same investigation. Id. , ECF No. 104. Calabrese twice sought to have the case reassigned, but argued that reassignment back to Judge Nugent was inappropriate because of his alleged connection to some of the individuals targeted during the investigation. Id.
Although she denied the motion to reassign, Judge Lioi found that there was no basis to disqualify Judge Nugent:
The predicate for defendant Calabrese's motion is the apparent fact that brief telephone calls involving Judge Nugent [and some of the individuals targeted and/or charged in the Cuyahoga County investigation] were a part of the materials turned over by the government in discovery. The calls do not reveal any wrong doing or criminal activity on the part of Judge Nugent, and there is an absence of any indication that Judge Nugent knew of or was a part of the charged conspiracy.
Id. , ECF No. 58 p. 3. Subsequently, Calabrese's attorney received, from an "unknown source ... a portion of an FBI Form 302
Plaintiff theorizes that the records and evidence from Calabrese's case could show that Judge Nugent had ulterior reasons for denying Plaintiff's post-trial motions. Compl. ¶¶ 27-28; Pls. Ex. H, Viola Aff. ¶ 8. This theory does not explain why the Sixth Circuit and the U.S. Supreme Court also denied Plaintiff's appeals, but Plaintiff nonetheless seeks, through FOIA, recordings and documents relating to Judge Nugent and the investigation.
*325Plaintiff also seeks records regarding Paul Tomko, an FBI "expert" and "informant," whom Plaintiff alleges reviewed key documents in Plaintiff's criminal case, Compl. ¶ 42, and who was later imprisoned for mortgage fraud. Compl. ¶ 43; id. at Ex. N.
II. LEGAL STANDARD
Summary judgment is appropriate where the record shows there is no genuine issue of material fact and the movant is entitled to judgment as a matter of law. Fed. R. Civ. P. 56(c) ; Celotex Corp. v. Catrett,
FOIA cases are "typically and appropriately ... decided on motions for summary judgment. Gold Anti-Trust Action Comm., Inc. v. Bd. of Governors of the Fed. Reserve Sys.,
In cases concerning the adequacy of an agency's search, "[t]he burden is on the agency to demonstrate that it made a good faith effort to conduct a search using methods which can be reasonably expected to produce the information requested." DiBacco v. U.S. Army ,
III. ANALYSIS
A. EOUSA
Plaintiff sent the following request for records to the EOUSA:
a) In 2012, the public became aware that U.S. District Judge Donald Nugent was recorded on wiretapped conversations with jailed political leaders James Dimora and Frank Russo.5 This request is for those conversations, both oral recordings and transcripts available.
b) Any documents that reference Judge Donald Nugent is [sic] being requested, including emails or notes from interviews with the Judge.
c) All documents concerning FBI informant Paul Tomko and all reports or documents provided by Mr. Tomko while he worked for the FBI and U.S. Attorney's Office in Cleveland.
ECF No. 23-2, Defs. Mot., Luczynski Decl. ¶ 4;
1. EOUSA's Search and Final Determination Letter
The EOUSA advised Plaintiff in writing that it would not release records regarding third parties Dimora and Russo.
• (b)(6): "personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy";
• (b)(7)(C): "records or information compiled for law enforcement purposes, but only to the extent that the production of such law enforcement records or information ... could reasonably be expected to constitute an unwarranted invasion of personal privacy."
See
EOUSA Attorney Advisor David Luczynski is the agency representative responsible for responding to FOIA requests. Luczynski Decl. ¶ 1. Luczynski declares that each U.S. Attorney's Office "maintains the case files for criminal matters prosecuted by that office."Id. ¶ 7. Since Plaintiff's request related to the Northern District of Ohio, the EOUSA
*327forwarded his request to that office, because "[t]here are no other records or systems or locations within the EOUSA in which ... files pertaining to plaintiff's request were maintained."
2. Plaintiff's Challenge to the Search
Plaintiff disputes Luczynski's declaration that responsive files were confined to the Ohio U.S. Attorney's Office. He contends that the "government's" search
the evidence that's obtained, that was brought back to the Task Force location. And when the inventory of the search, that basically detailed that there was [sic] various records, documentation taken for properties, and computers were seized from the various businesses, and I believe from the residence, and those were brought over to the Mortgage Fraud Task Force at that time.
Lesniak, et al. , 8-cr-506 (N.D. Ohio), ECF No. 400, March 22, 2011 Trial Tr. pp. 3498-99.
Plaintiff also points to a partially redacted FBI document as evidence that records were taken from the U.S. Attorney's office to the MFTF:
"FEDERAL BUREAU OF INVESTIGATION"
On April 6, 2010, at 3:35 pm, Special Agent _____ accepted a box of documents which were being held at the United States Attorneys' Office. The documents were originally provided by ____ to Special Agent ____ of Alcohol Tobacco and Firearms (ATF).
At 4:04 pm, SA ______________ delivered these documents to Cuyahoga County Mortgage Fraud Task Force, for scanning and to be turned over for evidence.
On March 16, 2010, these documents were brought to a meeting held at the United States Attorney's Office. Present at the meeting were SA_____ and ______ of the ATF, SA ___ and Assistant United States Attorney ___. The *328documents were placed in storage at the conclusion of this meeting.
The documents turned over to the [Mortgage Fraud Task Force] included_________________________.
Investigation on 04/06/2010 at Cleveland, Ohio.
File # 329E-CV-71645-179
This document contains neither recommendations nor conclusions of the FBI. It is the property of the FBI and is loaned to your agency: it and its contents are not to be distributed outside your agency.
Pls. Resp. p. 1 (citing Ex. C).
Plaintiff also maintains that MFTF records are missing or were mishandled. Pls. Resp. pp. 1-2, 4;
Plaintiff also submitted an affidavit from Pasela's father, who confirmed that the MFTF had used Pasela to obtain information about Plaintiff. Compl. at Ex. C, Pasela Aff. ¶¶ 5-6. Mr. Pasela also stated that his daughter indicated "things were being taken from the files and not returned," and that she appeared concerned that boxes of evidence relating to Plaintiff had been left in a hallway "which made them easily accessible to almost anyone."
3. Plaintiff Has Not Overcome the Presumption Accorded the EOUSA Declaration
The court finds that Plaintiff has not presented sufficient evidence to rebut the presumption of good faith accorded Luczynski's declaration regarding the search. First, Plaintiff's affidavits do not meet the standards imposed by Federal Rule of Civil Procedure 56 : "An affidavit or declaration used to support or oppose a [summary judgment] motion must be made on personal knowledge, set out facts that would be admissible in evidence, and show that the affiant or declarant is competent to testify on the matters stated." Fed. R. Civ. P. 56(c)(4). Plaintiff's affidavits regarding allegedly missing or mishandled evidence are not based on personal knowledge, but on what Pasela allegedly told her father and Plaintiff. See, e.g., Compl. at Ex. C, Pasela Aff. ¶¶ 3, 4, 8 ("She told us...," "She also mentioned"); Pls. Ex. H, *329Viola Aff. ¶¶ 4, 6 ("She also said ..."). Accordingly, the statements in the affidavits regarding MFTF evidence constitute inadmissible hearsay, not subject to an exception and are therefore inadequate to rebut the EOUSA declaration. See Earle v. United States Dep't of Justice ,
Plaintiff's "evidence" that the EOUSA did not search responsive records that had been "turned over" to the MFTF is likewise insufficient to overcome the agency's declaration. Luczynski explained that each U.S. Attorney's Office maintains its own criminal files, searchable using the LIONS system, and there were "no other records systems or locations within EOUSA in which ... files pertaining to [Viola's] request were maintained." Luczynski Decl. ¶ 7. Plaintiff presented no evidence that EOUSA failed to properly search its records. If, as Plaintiff asserts, the Northern District of Ohio office transferred records to the MFTF and did not retain copies in its LIONS system, EOUSA is correct that it is not required to search files that it does not maintain. See Dipietro v. Exec. Office for U.S. Attorneys ,
Finally, Plaintiff's allegations of prosecutorial misconduct are insufficient to establish bad faith on the part of EOUSA. See Harvey v. U.S. Dep't of Justice ,
B. FBI Search
Plaintiff sent the FBI similar requests:
1) In 2012, the public became aware that U.S. District Judge Donald Nugent was recorded on wiretapped conversations with currently jailed political leaders James Dimora and Frank Russo. This request is for those conversations, both oral recordings and transcripts available.
2) Any FBI 302 that references Judge Donald Nugent is [sic] being requested, including the agent's original notes from those interviews.
*3303) All FBI 302s-and the agent's original notes-from any and all interviews with "Paul Tomko" along with any reports by Mr. Tomko that were presented to the FBI or the U.S. Attorney's Office.
Hardy Decl. ¶ 6, Ex. A.
Like the EOUSA, the FBI advised Plaintiff that although he had requested information on third parties, he had not obtained permission from the third parties, nor had he produced proof of death or provided a public justification for disclosure that outweighed any privacy interests. "In the absence of such information," the FBI explained it could "neither confirm or deny the existence of any records responsive to [the] request."
Plaintiff responded to the FBI, arguing that public interest in the information outweighed any privacy concerns because: 1) the third parties were public officials; (2) the tapes purportedly established misconduct in his criminal case; and (3) the substance of the tapes might reveal that Judge Nugent had been involved in criminal activity and should be investigated. See Hardy Decl. at Ex. C. Plaintiff also challenged the agency's Glomar response, arguing that an online article he had previously submitted showed that tapes' existence had become public.
Rejecting his arguments, the FBI affirmed its Glomar response and advised Plaintiff of his right to appeal within sixty days. Hardy Decl. at Ex. D. Plaintiff administratively appealed "the denial of my FOIA request for tapes ... that captured the voice of a sitting federal Judge, Donald Nugent." Hardy Decl. at Ex. E. He also enclosed a copy of the FBI's denial letter, but did not mention Tomko or the Nugent Form 302s.
Several months later, Plaintiff filed this lawsuit seeking disclosure of the requested records on both Nugent and Tomko. The FBI filed a Motion for Summary Judgment, reiterating its Glomar response. ECF No. 15. In his opposition, Plaintiff argued that the agency's Glomar response was improper, citing to the Calabrese case as evidence that the existence of the tapes had become public. ECF No. 18.
After receiving Plaintiff's response, the FBI reviewed the Calabrese case and withdrew their motion for summary judgment. ECF No. 22; Second Hardy Decl. ¶¶ 6-12. The FBI then sent Plaintiff a second letter informing him that it would not disclose the requested records because: 1) they were located in an investigative file and therefore exempt from disclosure; 2) they contained information subject to privacy-based exemptions; and 3) the tape recordings and transcripts had been sealed by the Ohio federal court. Second Hardy Decl. ¶ 13;
Defendant subsequently filed a second summary judgment motion, including a Statement of Material Facts not in Dispute, to which it attached several declarations and accompanying exhibits. ECF No. 23. Plaintiff filed a response to that motion, *331along with two supplemental briefs and documents, ECF Nos. 25, 28, 30, but did not respond to Defendant's Statement of Material Facts and some of its arguments.
1. Exhaustion of Administrative Remedies: Tomko
Although it is clear Plaintiff exhausted his administrative remedies with regard to his FBI request for records on Judge Nugent, it is unclear whether he exhausted his remedies with respect to his request for records about Tomko. On December 22, 2017, even though Plaintiff had requested records on both Judge Nugent and Tomko, the FBI's Glomar response stated: "Subject: Nugent, Donald." Hardy Decl. at Ex. B. Plaintiff's subsequent challenge to the Glomar response did not mention Tomko:
Re: FOIA Request No. 1340983: Federal Judge Donald Nugent....
Kindly note that my request for information and taped conversations between U.S. District Judge Donald Nugent and Frank Russo and James Dimora should be released because the public interest outweighs personal privacy interests ....
Hardy Decl. at Ex. C.
In response, the FBI sent its initial "final" determination letter (regarding "Subject: Nugent, Donald") advising Plaintiff of his administrative appeal rights.
Once Plaintiff brought this lawsuit and the FBI withdrew its Glomar response and withheld the records on other grounds, its response to Plaintiff again stated: "Subject: Nugent, Donald." Hardy Decl. at Ex. A. Plaintiff's appeal this time noted: "There is no 'ongoing investigation' in the matter of Paul Tomko or Judge Donald Nugent...." Pls. Resp. at Ex. I. May 1, 2017 letter. The FBI responded in a letter, referencing Plaintiff's "request for access to records concerning Donald Nugent," and advised Plaintiff that it was closing his file because it does not normally act on an appeal where the request has become the subject of litigation. Pls. Resp. at Ex. I, May 27, 2017 letter.
A few days later, the FBI filed its currently pending motion for summary judgment, in which it contends that Plaintiff failed to exhaust his administrative remedies with respect to Tomko. ECF No. 23. Plaintiff responded by filing "Exhibit I," as "confirmation that those documents were sought in all appeals in this case." Pls. Br. p. 4. The Exhibit contained a copy of the appeal letter naming Tomko, as well as the FBI's response.
Defendant filed its reply brief in support of the pending motion for summary judgment, *332but did not respond to Viola's exhaustion arguments or address the evidence he proffered. In the absence of any argument from Defendant regarding the significance-if any-of Plaintiff's administrative appeal of the FBI's second determination letter during litigation, as well as the significance of the second FOIA request and appeal, this court finds that Defendant has not shown that Plaintiff failed to exhaust his administrative remedies with regard to his request for documents relating to Tomko.
2. Withheld Records
Because of Privacy Act restrictions and because the requested documents include law enforcement files associated with ongoing litigation, the FBI withheld responsive records pursuant to FOIA Exemptions 6, 7(A), 7(C), 7(D) and 7(E). Second Hard Decl. ¶¶ 26, 28-29, 30, 32-33. It also withheld the tapes and transcripts pursuant to Exemption 3. Id. ¶ 26.
Under to Exemption 7, FOIA "does not apply" to "records or information compiled for law enforcement purposes" if they fall into one of six enumerated categories.
The records also contained the names and/or other identifying information of: 1) FBI agents and other FBI support personnel; 2) state and local government employees; and 3) third-parties who were of investigative interest, provided information to law enforcement agencies and/or were simply mentioned in the course of the investigation. Second Hardy Decl. ¶¶ 44-51. In light of this information, the FBI also refused to disclose the records pursuant to privacy related exemptions, which allow the agency to withhold:
"personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy" (Exemption 6); and
"records or information compiled for law enforcement purposes, but only to the extent that the production of such law enforcement records or information ... could reasonably be expected to constitute an unwarranted invasion of personal privacy" (Exemption 7(C) ).
The FBI also withheld responsive documents pursuant to Exemption 7(D) because they contained law enforcement records that "could reasonably be expected to disclose the identity of a confidential source." Second Hardy Decl. ¶¶ 52-56 (citing
Finally, the FBI withheld the recordings and transcripts of Judge Nugent for two reasons: First, under Exemption 3, which allows agencies to withhold records "specifically exempted from disclosure by statute ....," because the tape recordings and transcripts are protected pursuant to Title III of the Omnibus Crime Control and Safe Streets Act of 1968, 18 U.S.C. §§§ 2510 - 2520, concerning lawful interception and recording of electronic communications. Second Hardy Decl. ¶¶ 39-41. Second, because the recordings and transcripts were sealed pursuant to a court order, which was itself sealed.
Plaintiff did not respond to the FBI's exemption arguments, nor did he respond to its Statement of Facts. However, he asserts that the tapes were "widely" disseminated during discovery in the Cuyahoga County proceedings, were played in open court, and the government did not seek a protective order. Pls. Resp. pp. 2-3.
Construing Plaintiff's assertions as a challenge to the exemptions, the court finds his argument unavailing. Plaintiff has proffered no evidence that the recordings were played in court or were disclosed without a protective order. Indeed, the court takes judicial notice of the docket in the Calabrese case, which contains several motions and orders-some of which are sealed-involving protective orders. See United States v. Calabrese , 11-cr-437 (N.D. Ohio), ECF Nos. 31, 38, 46. Plaintiff's unsupported allegations are therefore insufficient to overcome Hardy's declaration that the tape recordings and transcripts are sealed pursuant to a court order.
In sum, Plaintiff has offered no arguments or evidence that the FBI violated FOIA in withholding the responsive records and the court will therefore grant Defendant's motion for summary judgment on this issue.
C. Appointment of Counsel
In his reply to Defendant's second motion to for summary judgment, Viola asks this court to appoint him counsel. See Pls. Resp. p. 5. A plaintiff in a civil case does not have an absolute constitutional or statutory right to court-appointed counsel. See Ray v. Robinson,
Moreover, even if he did quality for in forma pauperis status, a decision on whether to appoint counsel "must take into account, among other things, the nature and complexity of the action, the potential merit of the pro se party's claims, the demonstrated inability of the pro se party to retain counsel by other means, and the *334degree to which the interests of justice will be served by appointment of counsel." Plummer v. D.C. , No. CIV.A.07-1161 RMU,
IV. CONCLUSION
For the reasons set forth above, the court will GRANT Defendant's motion for summary judgment except with respect to the Tomko exhaustion issue.
The EOUSA and the FBI are components of the United States Justice Department ("DOJ").
FBI representative David M. Hardy submitted two declarations in support of the Defendants' summary judgment motion. The first declaration is located at ECF No. 23-2 pp. 62-72. The second is located at ECF No. 23-2 pp. 20-55. The court will refer to the Declarations as the Hardy Decl. and the Second Hardy Decl. respectively.
As a result of Plaintiff's numerous post-trial motions and appeals, the District Court declared him a "vexatious litigator" and enjoined him from further filings associated with his sentence, unless he obtained permission from the Sixth Circuit. Lesniak , 8-cr-506, ECF No. 541.
According to Hardy, a Form 302 (or FD-302) "Form for Reporting Information That May Become the Subject of Testimony" is "used to record the results of FBI interviews." Second Hardy Decl. ¶ 31.
James Dimora and Frank Russo are referenced in one of Viola's exhibits, a television station website article reporting on recorded conversations between the two men and Judge Nugent during the Cuyahoga County investigation. See Hardy Decl. ¶ 6, Ex. A.
There is no evidence in the record that Plaintiff objected to, or administratively appealed, the EOUSA's lack of response to his request for records regarding Nugent and Tomko. Moreover, the parties have not addressed the issue of administrative exhaustion as it relates to the EOUSA records.
Plaintiff did not separately address each agency's search, but the court interprets his arguments as relating to the EOUSA search because he challenges the EOUSA's assertion that all responsive records were located in the Northern District of Ohio office. See Pls. Resp. p 1. Out of an abundance of caution, however, the court will also address Plaintiff's arguments as they relate to the FBI search.
Although Viola does not indicate the source of this document, the government did not dispute its authenticity.
As discussed above, Plaintiff did not specifically challenge the sufficiency of the FBI's search, but instead challenged Luczynski's statement that all EOUSA responsive records were located in its Ohio office. See Pls. Resp. p. 1. Even if Plaintiff had challenged the FBI search, none of his arguments regarding the "missing" MFTF evidence would have been relevant to the FBI search for records on Judge Nugent because the FBI interviewed Judge Nugent during a separate investigation of Cuyahoga County corruption; there is no allegation that Nugent is tied to the MFTF investigation. However, the MFTF records would have been relevant to a search for records on Tomko.
Reference
- Full Case Name
- Anthony L. VIOLA v. UNITED STATES DEPARTMENT OF JUSTICE
- Cited By
- 5 cases
- Status
- Published