Betances v. Fischer
Betances v. Fischer
Opinion of the Court
OPINION AND ORDER
I. INTRODUCTION
Beginning in 1998, New York mandated that certain violent felonies be punished by a determinate prison sentence followed by a mandatory parole term known as post-release supervision (“PRS”).
On June 9, 2006, the Second Circuit held in Earley v. Murray that the administrative imposition of PRS by DOCS violates the federal constitutional right to due process.
Over four years later, no trial has yet been held. During' these intervening years, defendants have argued (unsuccessfully) for qualified immunity three times— twice before this Court and once before the Second Circuit.
On September 25, 2015, plaintiffs filed a letter with this Court requesting leave to seek an Order- “,‘certif[ying Defendants’ qualified] immunity appeal as ‘frivolous,’ thus, enabling this Court ‘to retain juris
II. BACKGROUND
A. Administrative Imposition of PRS
In 1998, the New York Legislature enacted Penal Law Section 70.45, which mandated PRS terms for individuals convicted of violent felonies.
On June 9, 2006, the Second Circuit held in Earley that the administrative imposition of PRS by DOCS violates a prisoner’s federal constitutional right to due process and that a sentence is “never anything other than” the sentence imposed by the judge at the sentencing hearing and recorded in the order of commitment.
Defendant Anthony Annucci served as DOCS’s counsel until October 1, 2007, when he became Executive Deputy Commissioner and counsel.
On July 20, 2006, Annucci sent an email to John Amodeo, counsel to the New York State Office of Court Administration (“OCA”).
Defendant Brian Fischer was the Commissioner of DOCS, and then Commissioner of DOCCS, from January 1, 2007 until April 2013.
Defendant Terrence Tracy was the chief counsel for DOP from December 1996 through March 2011.
C. Resentencing Efforts
In early 2007, DOCS — at Annucci’s order as authorized by Fischer — began to
In April 2008, the New York Court of Appeals decided Garner v. New York State Department of Correctional Services,
III. PROCEDURAL HISTORY
A. Defendants’ Motion to Dismiss and First Interlocutory Appeal (
Plaintiffs brought this case in May 2011. On November 15, 2011, defendants moved to dismiss the Complaint on the grounds that because-plaintiffs’ constitutional rights were not “clearly established” at the time that those rights were .allegedly violated, state officials were entitled to qualified immunity for their actions. On February 10, 2012, this Court held that defendants were not entitled to qualified immunity.
On June 4, 2013, the Second Circuit affirmed this Court’s denial of qualified immunity for “substantially the same reasons stated in [its] reversal of the grant of ...' immunity in Vincent [u Yelich ],” a case presenting “parallel” claims.
On October 31,2014, plaintiffs moved for class certification, which this Court granted on January 28, 2015. On May 8, 2015, defendants moved for summary judgment, asserting (for the third time) that they are entitled to qualified immunity, among other arguments. On August 6, 2015, this Court again rejected' defendants’ qualified immunity claims, holding that: “[biased on th[e] evidence, defendants have failed to show that they made reasonable efforts to comply with Earley,” and that the record demonstrated that defendants had “actively opposed cpmpliance” with Earley.
IV. LEGAL STANDARD
“[A]n order rejecting the defense of qualified immunity at either the dismissal stage or. the summary judgment stage is ... subject to [interlocutory] appeal.”
As a general rule, “the filing of a notice of appeal ... ‘divests the district court of its control over those aspects of the ease involved in the appeal.’ ”
This practice, sometimes referred to as “dual jurisdiction,” has been endorsed by all circuits that have considered it.
Although the Second Circuit has not specifically addressed dual jurisdiction over frivolous qualified immunity claims, district courts across this Circuit also have endorsed this approach.
V. APPLICABLE LAW
“Qualified immunity shields government officials from civil damages liability unless the official violated a statutory or constitutional right that was clearly established at the time of the challenged conduct.”
VI. DISCUSSION
Defendants’ most recent interlocutory appeal is their .fourth attempt at asserting qualified- immunity in as many years. During that time, this case has been unable to proceed to trial and claims affecting thousands of class members remain pending before this Court. In fact, defendants’ first interlocutory appeal on qualified immunity suspended the district court proceedings for' nearly two and a half years. Now, defendants seek to further delay this case on the same grounds. For the following reasons, dual jurisdiction is warranted between the district court and Court of Appeals — thereby allowing the litigation to proceed efficiently in the district court while the Court of Appeals re-reviews defendants’ previously-rejected qualified immunity assertions.
A. Defendants’ Renewed Qualified Immunity Claims Are Frivolous
In Vincent, the Second Circuit held that because Earley clearly established that administrative imposition of PRS violated federal due process guarantees, the district court in that case had erred in ruling that Annucci was entitled to qualified immunity.
we think it clear that DOCS, which (a) unconstitutionally imposed PRS, (b) was custodian of- the record in which PRS was imposed and from which PRS was required to be excised (in the absence of appropriate resentencing), and (c) resumed custody of persons who violated the unconstitutionally imposed conditions and were penalized for those violations by reimprisonment, had an obligation to at least attempt to cease its administrative and custodial operations that had been held to violate federal law.62
1. Defendants’ Refusal to Comply with Earley Was Not Objectively Reasonable
After Vincent, this Court undertook a rigorous analysis on summary judgment of whether defendants had, in fact, made objectively reasonable efforts to comply with Earley.
[t]here is no dispute about the actions taken by defendants. Soon after Earley •was decided, Annucci sent an email to OCA summarizing Earley’s holding and recommending that a notification be sent to judges so that, going forward, defendants would be properly sentenced to terms including PRS. Beyond this, no defendant took any action to comply with Earley.... After. Earley had declared the practice unconstitutional, DOCS continued to administratively impose PRS. Annucci- instructed DOCS to inform .inmates who, in light of Earley, questioned their PRS terms, that DOCS officials would not follow Earley’s holding. Defendants acknowledge this, but insist that they did take reasonable actions to comply. They assert that they “attempted to refer PRS challenges to sentencing courts,” but this contention profoundly misrepresents defendants’ actions. In reality, when affected individuals sought relief from enforcement of administrative PRS, DOCS and DOP opposed the petitions and took the position that PRS was automatic. They also asserted — but only as an argument in the alternative — that if administrative PRS could not be enforced, the petitions should still be denied and the cases referred to the petitioners’ original sentencing courts so that PRS could be retroactively imposed. . Thus defendants’ purported attempt to resentence*305 affected individuals was only in response to those individuals seeking relief from administrative PRS, and only as a last resort — they made no affirmative efforts.
Finally, DOCS created a database to identify affected individuals, and kept that database updated, but did not take any steps to have any of those individuals resentenced, or to expunge the administratively-imposed PRS terms from their sentences. DOP did not begin to identify affected individuals until almost two years after Earley was decided. DOCS and DÓP did not take affirmative steps to resentence any individuals until May 2008.67
A number of these findings were, confirmed during the .oral argument on this motion. In particular, defendants conceded that their “first line” position was that “Earley was wrongly decided”
Article 78 or state habeas corpus proceedings [brought by individuals] seeking release from the burdens of [PRS,] DOCS and [DOP] attempted in those cases to, one, argue what they believed they could argue, which was along with the DAs and with many of the.courts, that PRS was automatic. They also alternatively argued ... that these individuals should be referred by the courts ... to their sentencing Courts for resen-tencing.'...69 ”■
Defendants also conceded that, after Ear-ley, “DOCS did continue the policy” of administratively imposing PRS.
Defendants’ instant appeal is perhaps unlike most qualified immunity appeals in that Vincent offers specific guidance as to what would render defendants’ post-Aar-' ley conduct objectively reasonable, and the undisputed record in this case shows that defendants failed to meet these post-Aar-ley obligations. In light of defendaiits’ explicit refusal to comply with Earley, their renewed interlocutory appeal is patently frivolous and should not delay this litigation any further.
2. Defendants’ Qualified Immunity Appeal Presents No Legal Questions
Relatedly, defendants’ appeal is frivolous given that their renewed qualified immunity claims do not present any legal questions for appellate review. The operative complaints in Vincent and this case allege no efforts by defendants to comply with Earley. Accepting these allegations as true on appeal from a motion to dismiss, the Second Circuit held in Vincent that Earley clearly established that administratively-imposed PRS violated due process and denied qualified immunity because “the present record [in.- Vincent ] d[id] not
Thus, after Vincent, the only remaining qualified immunity question in this case was whether defendants could produce evidence that they had taken objectively reasonable steps — i.e., “prompt action” — to comply with Earley. Accordingly, the undisputed summary judgment record demonstrates not only that defendants failed to take any such “prompt action” but also that they ignored and actively opposed Earley. This record forecloses defendants’ qualified immunity defense. Because Vincent found it unreasonable for defendants not to undertake any post-Nar-ley compliance efforts, defendants’ recalcitrant response to Earley could not have been an objectively reasonable effort at complying with that ruling.
3. Defendants’ Remaining Arguments Are Unavailing
To justify their response to Earley, defendants argue that they were blocked— practically and authoritatively — from referring individuals to courts for resentenc-ing or excising unconstitutionally-imposed PRS sentences themselves. Defendants’ reasoning, however, misconstrues their obligations after Earley and does not render their chosen strategy — that of ignoring and opposing Earley — objectively reasonable.
First, although defendants admit that they did not attempt to refer individuals to the courts for resentencing, they assert that “[i]t was objectively reasonable for DOCS and [DOP], in the face of judges and district attorneys who [weren’t] ... entertaining] resentencing, to have not made ... referrals to the sentencing courts to get ... people resentenced.”
Second, defendants argue that they were unable to release individuals from unconstitutionally-imposed PRS until Gamer and Sparber clarified their authority to do so in 2008.
Third, defendants claim that “even if they felt they could excise [PRS],”
, B. The Interests of Justice and Judicial Economy Favor Dual Jurisdiction
Furthermore, as the court, recognized in Apostol, divesting the district court of jurisdiction pending a frivolous qualified immunity appeal “protects the interests of the defendants claiming qualified immunity, .;'. [but] may injure1 the legitimate interests of other litigants and the judicial system.”
The delays in this case have caused substantial hardship to plaintiffs (and, needless to say, have been caused by defendants’ relentless efforts to prevail on qualified immunity). For over four years, thousands of class members have waited for their due process claims to be adjudicated — additional postponements will only exacerbate these harms.
A critical factor weighing in favor of dual jurisdiction, however, is the uniquely minimal burden that would be placed on defendants from allowing this case to proceed to trial while the Second Circuit considers the qualified immunity appeal. Because of the advanced procedural’ posture of this case, the only triable issue is that of damages against Annucci, Fischer, and Tracy. As a result, the trial will be relatively succinct and defendants will, if necessary, be entitled to an immediate appeal from that final judgment. In the event that the Second Circuit finds for defendants ón their interlocutory appeal, not only would that decision resolve the qualified immunity issue but it also would overturn any final judgment that had been entered against defendants. Absent dual jurisdiction, defendants’ frivolous interlocutory appeal would derail this case yet again. In contrast, allowing this Court to retain jurisdiction pending the appeal will enable efficient resolution at the trial court and appellate levels — an approach that promotes judicial economy as well as the interests of justice in a case where both have been in short supply.
VII. CONCLUSION
For the foregoing, reasons, plaintiffs’ motion for an Order certifying defendants’ interlocutory appeal as frivolous and retaining this Court’s jurisdiction pending the appeal is GRANTED.
SO ORDERED.
. See 451 F.3d 71, 75-76 (2d Cir. 2006).
. Defendants also sought, and were denied, rehearing and rehearing en banc by the Second Circuit and certiorari by the Supreme Court on the issue of qualified immuniiy.
. Also in that Opinion, I dismissed plaintiffs’ claims against all other defendants.
. Because there has been no final judgment in - this case, defendants’ instant interlocutory appeal is limited to the sole issue of qualified immunity.
. 9/25/15 Letter from Plaintiffs to the Court at 1 (alterations in original) (quoting Behrens v. Pelletier, 516 U.S. 299, 310, 116 S.Ct. 834, 133 L.Ed.2d 773 (1996) (further citations omitted)).
. These facts are identical to those recited in this Court's August 6, 2015 summary judgment Opinion and Order. As noted in that Opinion, defendants repeatedly asserted, in response to plaintiffs' 56.1 Statement, six blanket objections, including that the representation is not material, does not accurately reflect the record, and mischaracterizes deposition testimony — objections which were, in the main, utterly frivolous and bordered on bad faith. As such, for any facts relied on in this Opinion taken from plaintiffs’ 56.1 Statement to which defendants objected, the objection is overruled.
. See N.Y. Penal Law § 70.45.
. See Plaintiffs’ Statement of Undisputed Material Facts Pursuant to Local Rule 56.1 (‘‘Pl.56.1") II11.
. See Defendants’ Statement of Undisputed Material Facts Pursuant to Rule 56.1 ("Def.56.1”) ¶ 26.
. See id. ¶ 28; PL 56.1 ¶ 14.
. See Pi. 56.1 ¶ 15.
. Earley, 451 F.3d at 76 & n. 1.
. Id. at 76.
. See id. (citing Bozza v. United States, 330 U.S. 160, 67 S.Ct. 645, 91 L.Ed. 818 (1947)).
. Id.
. See PI. 56.1 ¶ 2.
. See id. ¶¶ 1-2.
. See 7/20/06 Email from Annucci to John Amodeo, Ex. A to Declaration of Anthony J. Annucci ("Annucci Decl.”).
. Id.
. Id.
. See Annucci Decl. ¶ 13.
. See PI. 56.1 ¶1.
. See id. ¶ 27.
. See 3/6/15 Deposition of Brian Fischer, Ex. 4 to Declaration of Matthew D. Brinckerhoff ("Brinckerhoff Decl.”), at 23, 40-41, 61.
. See PI. 56.1 ¶ 3.
. See id. ¶ 29; 1/26/15 Deposition of Terrence Tracy, Ex. 6 to Brinckerhoff Deck, at 41.
. See PL 56.1 ¶¶ 31-32.
. See Tracy Dep. at 17.
. See PI. 56.1 ¶¶ 64-66; Def. 56.1 ¶ 58.
. See PL 56.1 ¶¶ 69-70; Def. 56.1 ¶¶ 60-62.
. See Pi. 56.1 ¶ 68; Annucci Decl. ¶ 24.
. See 10 N.Y.3d 358, 859 N.Y.S.2d 590, 889 N.E.2d 467 (2008).
. See 10 N,Y.3d 457, 859 N.Y.S.2d 582, 889 N.E.2d 459 (2008).
. See Def. 56.1 ¶¶ 74-75.
. See id. ¶ 76; PL 56.1 ¶¶ 75, 77.
. See Def. 56.1 ¶ 80.
. See Bentley v. Dennison, 852 F.Supp.2d 379 (S.D.N.Y. 2012).
. Betances v. Fischer, 519 Fed.Appx. 39, 41 (2d Cir. 2013), reh'g & reh’g en banc denied (2d Cir. 2014) (citing Vincent, 718 F.3d 157 (2d Cir. 2013)).
. See Annucci v. Vincent, — U.S. -, 135 S.Ct. 948, 190 L.Ed.2d 830 (2015).
. Betances v. Fischer, 144 F.Supp.3d 441, 451-53, No. 11 Civ. 3200, 2015 WL 4692441, at *6 (S.D.N.Y. Aug. 6, 2015) (citing Vincent, 718 F.3d at 177).
. Behrens, 516 U.S. at 307, 116 S.Ct. 834 (emphasis omitted).
. Terebesi v. Torreso, 764 F.3d 217, 229 (2d Cir. 2014) (quotation marks and citation omitted).
. Id. (citing Ortiz v. Jordan, 562 U.S. 180, 131 S.Ct. 884, 178 L.Ed.2d 703 (2011)).
. Id. (quotation marks and citation omitted).
. Jin Zhao v. State Univ. of New York, 613 Fed.Appx. 61, 62 (2d Cir. 2015) (quoting Griggs v. Provident Consumer Disc. Co., 459 U.S. 56, 58, 103 S.Ct. 400, 74 L.Ed.2d 225 (1982)).
. Behrens, 516 U.S. at 310, 116 S.Ct. 834.
. Id. at 310-11, 116 S.Ct. 834 (quoting Abney v. United States, 431 U.S. 651, 662 n. 8, 97 S.Ct. 2034, 52 L.Ed.2d 651 (1977)) (further citations omitted).
. See, e.g., Rivera-Torres v. Velez, 341 F.3d 86, 95-96 (1st Cir. 2003); Chuman v. Wright, 960 F.2d 104, 105 (9th Cir. 1992); Yates v. Cleveland, 941 F.2d 444, 448-49 (6th Cir. 1991); Stewart v. Donges, 915 F.2d 572, 576-77 (10th Cir. 1990); Apostol v. Gallion, 870 F.2d 1335, 1339-40 (7th Cir. 1989). Accord Mathis v. County of Lyon, No. 07 Civ. 628, 2014 WL 3611550 (D.Nev. July 21, 2014); Englar v. Davis, No. 04 Civ. 73957, 2011 WL 2784801 (E.D.Mich. July 15, 2011); Rigdon v. Georgia Bd. of Regents, 594 F.Supp.2d 1312, 1319 (S.D.Ga. 2008); Todd v. LaMarque, No. 03-3995, 2008 WL 205591 (N.D.Cal. Jan. 24, 2008); Wilson v. Maricopa Cnty., 484 F.Supp.2d 1015 (D.Ariz. 2006); Vladic v. Hamann, No. 00-6739, 2002 WL 31248544 (N.D.Ill. Oct. 4, 2002). Cf. Blinco v. Green Tree Servicing, LLC, 366 F.3d 1249, 1252 (11th Cir. 2004) (applying the dual jurisdiction rule to frivolous motions to compel arbitration) (citing Bradford-Scott Data Corp. v. Physician Computer Network, Inc., 128 F.3d 504, 506 (7th Cir. 1997)).
. 870 F.2d at 1338.
. Id.
. Id. at 1339.
. See, e.g., Bradley v. Jusino, No. 04 Civ. 8411, 2009 WL [40389], at *1-2 (S.D.N.Y. May 18, 2009); Plummer v. Quinn, No. 07 Civ. 6154, 2008 WL 383507, at *2 (S.D.N.Y. Feb. 12, 2008); Palmer v. Goss, No. 02 Civ. 5804, 2003 WL 22519454, at *1 (S.D.N.Y. Nov. 5, 2003); Bean v. City of Buffalo, 822 F.Supp. 1016, 1019 (W.D.N.Y. 1993).
. 234 F.R.D. 46, 51 (E.D.N.Y. 2006) (citing United States v. Claiborne, 727 F.2d 842, 850 (9th Cir. 1984)).
. Taylor v. Barkes, — U.S. -, 135 S.Ct. 2042, 192 L.Ed.2d 78 (2015) (quotation marks omitted).
. Anderson v. Recore, 317 F.3d 194, 197 (2d Cir. 2003) (quotation marks omitted). Accord Taravella v. Town of Wolcott, 599 F.3d 129, 134 (2d Cir. 2010) ("Even where the law is clearly established and the scope of an official’s permissible conduct is clearly defined, the qualified immunity defense also protects an official if it was objectively reasonable for him at the time of the challenged action to believe his acts were lawful.”) (quotation marks and citations omitted),
. Taravella, 599 F.3d at 135.
. See Vincent, 718 F.3d at 173-74.
. Id. at 170.
. Id. at 174.
. Id. at 177.
. Id. at 172.
. 9/30/15 Letter from Defendants to the Court at 2.
. Vincent, 718 F.3d at 177,
. See Betances, 144 F.Supp.3d at 451-53, 2015 WL 4692441, at *6.
. Id. (citations to plaintiffs’ and defendants’ Rule 56.1 Statements and other supporting documentation omitted) (emphasis in original).
. Transcript of October 8, 2015 Oral .Argument ("Tr.”) at 64:11 .(Assistant Attorney General (“AAG”) Michael Keane).
. Id. at 17:18 — 18:2 (emphasis added) (AAG ' Keane).
. Id. at 24:13-16 (AAG Keane). Defendants also suggest that their continued imposition of PRS after -Earley is of minimal importance because “yery few people, if any, were affected by that policy." Id. at 24:15-16 (AAG Keane). However, the relevant issue is • whether the policy was ah objectively reasonable effort at compliance — not' the number of individuals affected by that policy.
. Notably, defendants’ Civil Appeal Pre-Ar-gument Statement (Form C, Addendum A) for their similar (but earlier) qualified immunity appeal in Hassell v. Fischer, No. 15-2438 (2d Cir. Aug. 27, 2015) [Dkt. No. 30-2], includes no citation to Vincent, 718 F.3d 157, as existing authority. '
. Vincent, 718 F.3d at 173.
. Id.
. Tr. at 17:3-7 (AAG Keane).
. Defendants also contend that confusion amongst New York courts after Earley renders their opposition to Earley objectively reasonable. This argument, however, is an impermissible attempt at resurrecting the issue settled by the Second Circuit of when it became "clearly established” that administratively imposed PRS is unconstitutional: Vincent has already considered and rejected this same argument in holding that Earley clearly established that administrative imposition of PRS violates constitutional due process. See Vincent, 718 F.3d at 169-70 (explaining that “none of the state court decisions cited by defendants demonstrates any confusion about whether Earley [ ] prohibited DOCS from imposing PRS”); id. at 173-74. In doing so, Vincent explained that:
[a]s a general matter, [fjederal constitutional standards rather than state law define the requirements of procedural due process.... State court decisions that rejected Earley []’s holding could not disestablish the federal right to due process for the purposes of qualified immunity analysis.... [A] decision by a state court contrary to a holding of this court cannot unsettle or de-establish the clarity of federal law because we begin our inquiry by looking to binding precedent [and i]f the right is clearly established by decisional authority of the Supreme Court or this Circuit, our inquiry should come to an end. Because Earleyf's] explicit ruling that [DOCS] has no ... power to alter a sentence clearly established the right plaintiffs seek to vindicate, our inquiry ends there.
Id. at 169-70 (quotation marks and citations omitted) (emphasis in original). Furthermore, the qualified immunity inquiry does not include a subjective "good faith” component because the good faith "inquiry [would be] inherently factual and require[ ] resolution by jury[,] ... undermining] the very purpose of qualified immunity ... [of] dismissing] insubstantial claims against government officials before trial.” Jenkins v. City of New
. See, e.g., Vincent, 718 F.3d at 177.
. See PI. 56.1 ¶ 68; Annucci Decl. ¶ 24.
. Tr. at 17:22-23 (AAG Keane).
. See id. at 25:21-26:8 (AAG Keane).
. Earley, 451 F.3d at 76.
. 718 F.3dat 172.
. Id. at 165 (quoting Earley v. Annucci, No. 08 Civ. 669, 2011 WL 7112917, at *6 (N.D.N.Y. Dec. 28, 2011)).
. Tr. at 27:18-19 (AAG Keane).
. Id. at 27:24-25 (AAG Keane).
. See PL 56.1 ¶ 68; Annucci Decl. ¶ 24.
. Tr. at 68:4-5 (AAG Keane). Accord 2/27/15 Deposition of Richard De Simone, Ex. 5 to Brinckerhoff Dec!., at 30-32 (explaining that for sentences that seem inconsistent with the convicted offense, ‘‘[w]hen somebody comes, in with a commitment, we enter on our computer system what the commitment said.,.. [W]e would notify the DA, the judge and the defense attorney [when] the commitment appears to be impropér or the sentence appears to be improper”).
. 870F.2dat 1338.
Reference
- Full Case Name
- Paul BETANCES, Lloyd A, Barnes, Gabriel Velez a/k/a Gabriel Belize, individually and on behalf of all others similarly situated v. Brian FISCHER, in his capacity as Commissioner of the New York State Department of Correctional Services (DOCS), and in his individual capacity Anthony J. Annucci, in his capacity as Deputy Commissioner and Counsel for DOCS, and in his individual capacity Lucien J. LeClaire, Jr., former Acting Commissioner of DOCS, in his individual capacity Glenn S. Goord, former Commissioner of DOCS, in his individual capacity John/Jane Does 1-25 (DOCS Supervisory, Training, and Policy Personnel) Andrea W. Evans, in her capacity as Chair and Chief Executive Officer of the New York State Division of Parole (DOP), and in her individual capacity Mark Mantei, in his capacity as Executive Director of DOP, and in his individual capacity Terence Tracy, in his capacity as Chief Counsel for DOP, and in his individual capacity Robert J. Dennison, former Chair of DOP, in his individual capacity Anthony G. Ellis II, former Executive Director of DOP, in his individual capacity George B. Alexander, former Chair and Chief Executive Officer of DOP, in his individual capacity and John/Jane Does 26-50 (DOP Supervisory, Training, and Policy Personnel)
- Cited By
- 2 cases
- Status
- Published