MEMORANDUM AND ORDER
INTRODUCTION
Plaintiffs Annette Cortigiano (“Cortigiano”), Randall Reede (“Reede”) and Alfred Roberts (“Roberts”) (collectively, “plaintiffs”), filed this putative class action lawsuit against Oceanview Manor Home for Adults (“Oceanview”), an adult care facility, and its operator and administrator, Joseph Rosenfeld (“Rosenfeld”) (collectively, “defendants”), to eliminate discrimination on the basis of their disability. Plaintiffs assert claims under the Rehabilitation Act of 1973, 29 U.S.C. § 794 et seq. (the “Rehabilitation Act”), the Americans with Disabilities Act of 1990, 42 U.S.C. § 12101 et seq. (the “ADA”), the New York Social Services Law, N.Y. Soc. Serv. § 131-o, the New York State Human Rights Law, N.Y. Exec. Law § 290 et seq., the Administrative Code of the City of New York, N.Y.C. Admin. Code § 8-101 et seq., and common law claims for breach of contract and breach of fiduciary duty. Pending before the Court are plaintiffs’ motions to amend the complaint, to amend the caption, and for class certification. For the reasons set forth below, plaintiffs’ motions are granted.
BACKGROUND
Unless otherwise specified, the following facts are drawn from the complaint. Ocean-view, located in Brooklyn, New York, is a for-profit adult home, providing long-term residential care to the elderly. (Id. UU 13-14). At the time the complaint was filed in September, 2004, Oceanview had approximately 175 residents, many of whom suffer from mental illnesses. (Id. U16). Oceanview is licensed by the New York State Department of Health (“DOH”) and is therefore subject to New York State law and regulations. (Id. U15). Rosenfeld holds a certificate to operate Oceanview pursuant to New York law. (Id. U19). The admission agreement which Oceanview requires residents to sign states as follows: “The parties to this agreement understand that this facility is a Residential Care facility providing lodging, room, board, housekeeping, supervision, and personal care services to the resident in accordance with the New York State Social Services Law and the Regulations of the New York State Department of Health.” (Id. U22).
Plaintiffs are mentally disabled residents of Oceanview. (Compl.UU 10-12). They are recipients of Supplemental Security Income (“SSI”) and pay Oceanview a fixed rate determined by the State of New York, in exchange for room, board, housekeeping, personal care, supervision and social services. (Id. U3). One or more of the plaintiffs receives Social Security Disability Insurance (“SSDI”) as a result of their employment history. (Id. U27). Because SSI recipients receive little or no economic assistance above that paid to the adult home in which they live, the New York State legislature established a mandatory Personal Needs Allowance (“PNA”) from a state supplement which is paid to individuals, like plaintiffs, to allow them to purchase personal items that they otherwise would be unable to afford, including clothing, toiletries, newspapers and snacks. (Id. UU 4, 32). For example, in 2004, SSI recipients living in an adult home received an allowance of $127 per month for their personal needs, and individuals who were also SSDI recipients, received an additional $20 per month for a total monthly allowance of $147. (Id. U 31). That money is sent monthly to the beneficiary or a payee designated by the beneficiary. (Id. U 34).
Because plaintiffs do not have their own bank accounts and have no money other than the governmental assistance they receive, they negotiate their monthly checks to Oceanview and maintain accounts with the home consisting of their monthly PNA. (CompLU 35). Oceanview has a very restrictive window in which plaintiffs are permitted
Cortigiano moved to the home in April, 2003, and until April 12, 2004, she received her PNA directly. (Compl.U 39). Even though Cortigiano received a monthly PNA in the amount of $147 during this time period, defendants told her she could only access $35 of it per week. (Id. U 45). In February, or March, 2004, defendants filed an application with the Social Security Administration to become her representative payee. (Id. U40). On or about March 29, 2004, they asked Cortigiano to sign a form designating Oceanview as her representative payee, but she refused. (Id. U41). The next day, defendants threatened to withhold her PNA if she did not sign the form. (Id. U 42). Under duress, Cortigiano signed the form. (Id.) However, she was still only allowed to withdraw $35 of her PNA per week. (Id. U 46)
Defendants routinely demanded to know what Cortigiano purchased with her PNA. (Id. U 47). Cortigiano repeatedly asked defendants for her full monthly PNA, for example, to allow her to pay her expenses in visiting her son in Staten Island, but they refused. (Id. UU 48-49). Moreover, defendants regularly checked whether she was attending a voluntary day treatment program, and if she was not, they would not remit her PNA. (Id. UU 53-56). Beginning in January, 2004, defendants put Cortigiano on a budget of $5 per day because of her failure to attend the voluntary program. (Id. U 50). As a result of her demands that defendants remit her PNA at the beginning of every month by direct deposit, defendants threatened to evict her. (Id. U 60).
Reede has resided at Oceanview since December, 2002, and has at all times been his own payee. (Compl.UU 61-62). Defendants condition Reede’s receipt of his PNA on his taking a shower. (Id. U 63). They restrict his control over his PNA, for example, by denying him the ability to withdraw more than $5 per day from his account. (Id. UU 67). Reede is afraid to ask defendants for more money because he fears they will abuse him verbally. (Id. U 66).
Defendants withhold Roberts’ allowance when he does not attend a voluntary day treatment program. (Compl.UU 71-74). They ask Roberts if he has showered and threaten to withhold his allowance if he does not. (Id. U 76). In the winter, defendants refused to provide Roberts with his allowance which prevented him from purchasing a coat which he needed. (Id. U 77). When Roberts requires a personal item, such as clothing, defendants will go to the store to purchase it for him instead of allowing him to do so, thus depriving him of his right to choose what he buys with his PNA. (Id. U 78). In a letter dated February 10, 2004, Roberts, through his attorney, asked defendants to cease their practice of conditioning the receipt of his allowance on his attendance at a day treatment program. (Id. U 79). Defendants failed to respond meaningfully to his request. (Id.). They told Roberts that they would not change their policies even if he threatened or commenced litigation. (Id. U 80).
The facts giving rise to the claims of the plaintiffs who are sought to be added pursuant to the motion to amend the complaint are similar to those of the originally named plaintiffs. See Notice of Motion for leave to file an amended complaint Exh. A, attaching proposed amended complaint UU 13-14, 17-18, 37, 72-76, 78-79, 81, 85-91, 116, 119, 121, 125-27,129, 132.
DISCUSSION
I. Plaintiffs’ Motion to Amend the Complaint and the Caption
Pursuant to Fed.R.Civ.P. 15(a), plaintiffs seek leave to amend their complaint to add Anna Coughlin, Antonio Ilarrazza, Roger Rosen and Robert Wayne as additional named plaintiffs (the “Additional Named Defen
As an initial matter, the Court finds that Fed.R.Civ.P. 15(a) and 21 govern this motion. Fed.R.Civ.P. 20, relating to the permissive joinder-of parties, is relevant to the extent that the “court’s decision to permit joinder is based on whether the claims of the additional plaintiffs arose out of the same or separate acts or occurrences.” Ford v. Air Line Pilots Assoc. Int’l,
In general, a motion for leave to amend is addressed to the discretion of the district court. Foman v. Davis,
Rule 21 states that parties may be “added by order of the court on motion of any party.” Fed.R.Civ.P. 21. See also Sullivan v. West New York Residential, Inc.,
A. Undue Delay, Dilatory Motive, Bad Faith and Repeated Failure to Cure
In asserting that this motion is “untimely,” see Scott-Lavino Aff. 111(a), defendants appear to argue that plaintiffs have unnecessarily delayed bringing this motion or acted in bad faith. This contention is belied by the undisputed facts. Plaintiffs filed the complaint on September 21, 2004. After obtaining two extensions of time, defendants filed their answer on November 1, 2004. Plaintiffs served this motion on or about January 10, 2005, less than four months after they filed the complaint, and before discovery has commenced and a scheduling conference was ordered by the magistrate judge. This also suggests an absence of dilatory motive.
The evidence therefore reveals that plaintiffs acted in good faith in bringing this motion. They did not name the additional plaintiffs in the original complaint because when it was filed, their lawyers were unable to corroborate the allegations they now seek to assert on their behalf. (Declaration of Lycette Nelson executed on January 7, 2005 H 2). After plaintiffs’ counsel determined the factual and legal bases for their claims, she asked defendants’ counsel to consent to the
B. Undue Prejudice
A review of the complaint and the proposed amended complaint demonstrates that the facts giving rise to the claims of the Additional Named Plaintiffs are the same or virtually the same as those of the named plaintiffs. Therefore, the proposed amendment would not: (a) require defendants to expend significant additional resources to conduct discovery and prepare for trial, or (b) significantly delay resolution of this case. See generally Block v. First Blood Assoc.,
C. Futility
An amendment is futile only if plaintiffs cannot demonstrate “at least color-able grounds for relief.” Ryder Energy Distribution Corp. v. Merrill Lynch Commod. Inc.,
D. The Claims of the Additional Named Plaintiffs Arise Out of the Same Acts or Occurrences
Defendants assert that the claims of the Additional Named Plaintiffs “do not arise from the same transaction or occurrence.” (Scott-Lavino Aff. H10). The Court has examined the two out-of-jurisdiction cases cited by defendants — Webb v. Westinghouse Elec. Corp.,
Against this background, plaintiffs have sustained their burden for leave to amend the complaint to add the Additional Named Plaintiffs. See, e.g., Abrahamson v. Board of Educ. Of The Wappingers Central Sch. Dist.,
II. Plaintiffs’ Motion for Class Certification
Plaintiffs seek to certify a class consisting of “individuals who currently reside or will reside at Oceanview, who are mentally disabled, and who receive SSI.” (Compl.H 25).
As a threshold matter, defendants argue that the Court lacks subject matter jurisdiction to decide plaintiffs’ motion for class certification. (Scott-Lavino Aff. ITU 30-32, 41-45). In support of their position, defendants argue that the Rehabilitation Act and ADA claims “fail as no discrimination has occurred due to plaintiffs’ disabilities” and these federal statutes “do not apply to facilities not receiving federal funding.” (Id.) Defendants’ arguments are unpersuasive because if they are correct, then plaintiffs’ claims fail as a matter of law, and can be disposed of on a pre-trial motion. Defendants had the option to file a dispositive motion under Fed.R.Civ.P. 12(b) to dismiss those claims in lieu of filing an answer, but did not avail themselves of this option. The complaint sets forth the elements for a claim under both the Rehabilitation Act and ADA, which confers subject matter jurisdiction on this Court. See 28 U.S.C. § 1331 (“The district courts shall have original jurisdiction of all civil actions arising under the Constitution, laws, or treaties of the United States”); see generally Williams-Velasquez v. Guardian Life Ins. Co.,
B. Class Certification Standards
Rule 23 of the Federal Rules of Civil Procedure governs class certification. Parker v. Time Warner Entertainment Co., L.P.,
The Supreme Court has held that the Court must undertake a “rigorous analysis” to determine whether Rule 23 requirements have been satisfied. See Gen. Tel. Co. of the Southwest v. Falcon,
When considering a motion for class certification, the Court accepts the allegations in the complaint as true and does not conduct “a preliminary inquiry into the merits” of the case. See Eisen v. Carlisle and Jacquelin,
“In determining the propriety of a class action, the question is not whether the plaintiff or plaintiffs have stated a cause of action or will prevail on the merits, but rather whether the requirements of Rule 23 are met.” Eisen,
C. Fed.R.Civ.P. 23(a)
1. Numerosity
To satisfy the numerosity requirement of Rule 23(a)(1), plaintiffs must show that joinder is “impracticable.” Robidoux v. Celani,
The Court further finds that joinder of all members of the class is impracticable, as many may be reluctant to serve as named plaintiffs in an action against the home where they live for fear of reprisals. In addition, the class members are, according to the complaint, mentally disabled, and thus they may
2. Commonality
The commonality element of Rule 23(a)(2), which requires the plaintiff to demonstrate that common issues of law or fact exist and affect all class members, is considered a “minimal burden for a party to shoulder.” Lewis Tree Service, Inc. v. Lucent Technologies Inc.,
Defendants argue that it is premature for the Court to certify a class action because plaintiffs “do not substantiate any of their claims of discrimination other than to make broad allegation^] of discrimination.” (Scott-Lavino Aff. H18). Defendants’ argument opposing class certification is, in essence, that plaintiffs will be unable to discover facts to support their claims substantively. As discussed above, however, that is not a reason to deny the motion.
The Court agrees with plaintiffs that there are both legal and factual issues common to the class. Plaintiffs are all mentally disabled residents at Oceanview who receive SSI, and are thus entitled to a PNA. They claim that rather than unconditionally distributing the PNA to them, defendants have conditioned plaintiffs’ receipt of the PNA on the mandatory performance of, among other things, certain activities which are otherwise voluntary. They also allege that defendants have deprived plaintiffs of control over their own PNA. Among the common legal questions affecting plaintiffs and the proposed class are the following: did defendants discriminate in violation of the Rehabilitation Act by withholding and/or conditioning the distribution of PNA’s to which plaintiffs are entitled from their SSI cheeks?; did defendants fail to provide plaintiffs with reasonable accommodations' for their disabilities at the home in violation of the ADA?; and did the defendants discriminate against plaintiffs in violation of the ADA by imposing improper terms and conditions on plaintiffs’ receipt of benefits and services because of their mental disabilities? (Pis. Mem. at 16-17). Significantly, defendants do not contest that some common questions of law or fact are raised by the allegations in the complaint. Accordingly, the commonality requirement is met.
3. Typicality
A named plaintiffs claim is “typical” pursuant to Rule 23(a)(3) where each class member’s claim arises from the same course of events and each class member makes similar legal arguments to prove the defendants’ liability. See Robinson v. Metro-North Commuter R.R. Co.,
In opposition, defendants argue that “plaintiffs[ ] have provided no support that current residents or future residents will be able to plead any cause of action against Oceanview.” (Scott-Lavino Aff. 1123). As noted above, however, the Court does not concern itself with the merits of plaintiffs’ claims at this stage, but is charged only with the task of determining whether plaintiffs satisfy the prerequisites to class certification under Rule 23. Moreover, the fact that one of the named plaintiffs no longer resides at Oceanview is not an impediment to class certification because each of the other named plaintiffs currently resides there.
4. Adequacy
To determine whether the named plaintiffs are adequate class representatives under Fed.R.Civ.P. 23(a)(4), the Court must determine whether “1) plaintiffs’ interests are antagonistic to the interest of other members of the class, and 2) plaintiffs’ attorneys are qualified, experienced and able to
5. Ascertainability
Although not derived from the plain language of Rule 23(a), courts have held that in order for a class to be certified, the named plaintiffs must demonstrate that there is an “identifiable class.” In re Methyl Tertiary Butyl Ether Products Liability Litig.,
D. Satisfaction of Fed.R.Civ.P. 23(b)
Having found that the plaintiffs satisfy Rule 23(a), the Court turns to the requirements set forth in Fed.R.Civ.P. 23(b). Plaintiffs seek certification of a class under subsection (b)(2) of that rule which provides that a party seeking to maintain a class action lawsuit must show that “the party opposing the class has acted or refused to act on grounds generally applicable to the class, thereby making appropriate final injunctive relief or corresponding declaratory relief with respect to the class as a whole.” Fed. R.Civ.P. 23(b)(2). The relief sought need not be solely equitable in nature: when both equitable and monetary relief are sought, the Court may still certify the class under subsection (b)(2) if it determines that certification is appropriate “in light of the relative importance of the remedies sought, given all of the facts and circumstances of the case.” Parker,
E. N.Y. C.P.L.R. § 901(b)
Defendants argue that plaintiffs’ motion should be denied because they seek relief under N.Y. Soc. Serv. Law § 131 — o(3), and pursuant to N.Y. C.P.L.R. § 901(b), a class action cannot be certified.
CONCLUSION
Plaintiffs’ motions to amend the complaint, amend the caption and for class certification are granted except that Annette Cortigiano shall not serve as a class representative. Plaintiffs are directed to file their amended complaint within five business days of their receipt of this Memorandum and Order. The class shall be composed of all individuals who currently reside or will reside at Ocean-view Manor Home for Adults, who are mentally disabled, and who receive Supplemental Security Income, and the claims for which the Court grants class certification are limited to the Rehabilitation Act and the ADA.
SO ORDERED.
Notes
. Plaintiffs also seek leave to change the caption to reflect the correct spelling of plaintiff Randall Reede's last name. In the complaint, Mr. Reede’s name was incorrectly spelled "Reade.” Defendants have not opposed this portion of plaintiffs' motion, and therefore it is granted on consent.
. "[U]nder the prevailing view in this Circuit, the Court may not consider on a class certification motion ... the contrary evidence offered by defendants.” DeMarco v. Lehman Bros., Inc.,
. Defendants refer to Cortigiano, who resided at Oceanview between April, 2003 and September, 2004. (Am.Compl.1112). Plaintiffs argue that Cortigiano still properly serves as a class representative even though she no longer resides at Oceanview based on the "relation back” doctrine. (Pis. Mem. at 19 n. 3). The Court disagrees. Under the "relation back” doctrine, where a named plaintiff's claim has become moot, class certification may be deemed to relate back to the filing of the complaint in order to avoid mooting the entire controversy. See Comer v. Cisneros,
. Defendants argue that a class action cannot be maintained where the plaintiffs seek relief that is "prohibitory.” (Scott-Lavino Aff. ¶¶28-29). The Court has examined the cases upon which defendants rely and find them inapposite, see Galvan v. Levine,
. Unlike in Parker, discovery is not needed to determine whether plaintiffs have met their burden under Fed.R.Civ.P. 23(b)(2), a point which defendants’ counsel all but conceded at oral argument.
. N.Y. C.P.L.R. § 901(b), which specifies the prerequisites for a class action suit under New York law, prohibits a class action "to recover a penalty or minimum measure of recoveiy created or imposed by statute” unless it "specifically authorizes the recovery thereof in a class action.”
