Johnson v. STATE DEPT. OF CORRECTIONAL SERVICESJohnson v. STATE DEPT. OF CORRECTIONAL SERVICES
Lyndon S. JOHNSON; Larry Rivenburg; Morris A. Darling; Leonard Davidow; and David Bowhall, Plaintiffs,
v.
NEW YORK STATE DEPARTMENT OF CORRECTIONAL SERVICES; New York State Division of Criminal Justice Services; The State of New York; Brian Fischer, in his official capacity as Commissioner of the New York State Department of Correctional Services; Denise O'Donnell, in her official capacity as Commissioner of the New York State Division of Criminal Justice Services; and David Paterson, in his official capacity as Governor of the State of New York, Defendants.
United States District Court, N.D. New York.
*180 Sheehan Greene Carraway, Golderman & Jacques, LLP, Lawrence H. Schaefer, Esq., of сounsel, Albany, NY, for Plaintiffs.
Office of the Attorney General-Albany Office, Roger W. Kinsey, Esq., of Counsel, Albany, NY, for Defendants.
MEMORANDUM-DECISION and ORDER
DAVID N. HURD, District Judge.
I. INTRODUCTION
Plaintiffs Lyndon S. Johnson, Larry Rivenburg, Morris A. Darling, Leonard Davidow, and David Bowhall ("plaintiffs") sue defendants New York State Department of Correctional Services ("DOCS"), New York State Division of Criminal Justice Services ("DCJS"), the State of New York, DOCS Commissioner Brian Fischer, DCJS Commissioner Denise O'Donnell, and New York State Governor David Paterson for declarative and injunctive relief under the Law Enforcement Officers Safety Act of 2004 ("LEOSA"),
II. BACKGROUND
Each of the plaintiffs are retired corrections officers with over twenty-five years of experience working for DOCS. On July 22, 2004, Congress enacted LEOSA. The statute provides in pertinent part:
Notwithstanding any other provision of the law of any State or any political subdivision thereof, an individual who is a qualified retired law enforcement officer and who is carrying the identification required by subsection (d) may carry a concealed firearm that has been shipped or transported in interstate or foreign commerce . . . .
(1) a photogrаphic identification issued by the agency from which the individual retired from service as a law enforcement officer that indicates that the individual has, not less recently than one year before the date the individual is carrying the concealed firearm, been tested or otherwise found by the agency to meet the standards established by the agency for training and qualification for active law enforcement officers to carry a firearm of the same type as the concealed firearm; or
(2)(A) a photographic identification issued by the agency from which the individual retired from service as a law enforcement officer; and (B) a certification issued by the state in which the individual resides that indicates that the individual has, not less recently than one year before the date the individual is carrying the concealed firearm, been tested or otherwise found by the State to meet the standards established by the State for training and qualification for active law enforcement officers to сarry a firearm of the same type as the concealed firearm.
Prior to filing their lawsuit, plaintiffs made several written requests to DOCS and DCJS for the identification described in subsection (d). In their requests, plaintiffs explained that they satisfy all of LEOSA's requirements for carrying a concealed firearm across state lines except for the state-issued photographic identification and/or certification. In response, both DOCS and DCJS stated their refusal to administer firearm training or certification for retired law еnforcement officers.
Plaintiffs' lawsuit for declaratory and injunctive relief followed. In their amended complaint, plaintiffs seek an order declaring: (1) that LEOSA preempts state law; (2) that the defendants must certify retired law enforcement officers who have met New York's standards to carry a firearm of the same type as the concealed firearm; and (3) that the defendants must issue the appropriate photographic identification and/or certification described in subsection (d) of the statute. Finally, defendants also seek injunctive relief ordering the defendants to take necessary action to permit retired law enforcement officers to qualify to carry concealed firearms as provided under LEOSA.
III. DISCUSSION
Defendants do not specify whether their motion to dismiss is filed under Federal *182 Rule of Civil Procedure 12(b)(1) or 12(b)(6). Instead, they more generally assert that their motion is filed pursuant to
Defendants move to dismiss plaintiffs' complaint on four separate grounds. First, they contend they are not the proper parties to plaintiffs' lawsuit. Second, they argue that LEOSA does not create a private cause of action for the relief sought. Third, defendants assert that Congress, by enacting LEOSA, may not constitutionally require state officials to help implement a firearm certification program for retired law enforcement officers. Fourth, defendants contend that LEOSA does not preemрt the states' authority to issue the identification described in subsection (d).
A. The Proper Parties to Plaintiffs' Lawsuit
Plaintiffs concede that DOCS, DCJS, and the State of New York are not proper parties. (See Pls.' Mem. of Law in Opp'n to Defs.' Mot. to Dismiss, Dkt. No. 21, 9); see also Pennhurst State Sch. & Hosp. v. Halderman,
Defendants contend that nonе of the individual state officers are proper parties because they have no involvement with New York's process for issuing firearm licenses. Under Ex parte Young, a state officer sued in his official capacity must be connected to the alleged violation of federal law.
However, plaintiffs do not allege that New York State's firearm licensing scheme is in violation of federal law. Rather, they assert that the defendants' failure to issue photographic identification and certifications violates LEOSA. Although subtle, this distinction is significant because defendants Fischer and O'Donnell are alleged to have decided on behalf of their respective agencies not to issue the requested identification and certifications for all retired law enforcement officers. *183 Additionally, defendants concede that individual state officers acting in their official capacity are the proper parties to suits for prospective injunctive relief that are based upon the alleged violation of a federal law. (See Defs.' Mem. of Law in Supp. of Mot. to Dismiss, Dkt. No. 20-1, 6.) For both of these reasons, the motion to dismiss defendants Fischer and O'Donnell will be denied.
With respect to defendant Paterson, his role as New York's Governor is insufficient by itself to name him as a defendant. As with dеfendants Fischer and O'Donnell, plaintiffs must plead facts showing that defendant Paterson had a connection with the alleged violation of federal law. See Maloney v. Cuomo,
B. The Right to a Private Cause of Action under LEOSA
Defendants argue that plaintiffs' complaint should be dismissed in its entirety because LEOSA does not establish a private cause of action. According to defendants, LEOSA merely bars the criminal prosecution of officers who qualify under the statute's requirements to carry concealed firearms across state lines.
Whether a private cause of action exists depends upon Congress's intent. See Alexander v. Sandoval,
The Second Circuit recently considered whether the Railway Labor Act ("RLA") established a private cause of action for individual employees who alleged the deprivation of their rights under the statute. Lindsay v. Ass'n of Prof'l Flight Attendants,
The Supreme Court identified four factors in Cort v. Ash for determining whether there is an implicit private remedy in a federal statute:
First, is the plaintiff one of the class for whose especial benefit the statute was enactedthat is, does the statute create a federal right in favor of the plaintiff? *184 Second, is there any indication of legislative intent, explicit or implicit, either to create such a remedy or to deny one? Third, is it consistent with the underlying purposes of the legislative scheme to imply such a remedy for the plaintiff? And finally, is the cause of action one traditionally relеgated to state law, in an area basically the concern of the States, so that it would be inappropriate to infer a cause of action based solely on federal law?
Cort,
Accordingly, the question of whether LEOSA creates a private cause of action warrants the samе two-part inquiry conducted in Lindsay: first, whether Congress, through the text or structure of the statute, expressly intended to establish a private cause of action for retired law enforcement officers; and second, whether application of the Cort factors demonstrates an implicit private remedy.
1. Text and Structure of LEOSA
Without clear statutory language establishing a private cause of action, courts "begin with the presumption that Congress did not intend one." Bellikoff v. Eaton Vance Corp.,
At a minimum, LEOSA provides a federal right for qualified retired law enforcement officers who possess the requisite identification to lawfully carry concealed firearms across state lines. See
2. Application of the Cort Factors
As discussed, the first factor considered under the Cort analysis is whether the plaintiffs are members of the class of persons for whom LEOSA was intended to benefit. Plaintiffs cite to the statute's legislative committee report in support of their position that retired law enforcement officers such as themselves were the intended beneficiaries of LEOSA. However, plaintiffs' argument ignores the statutory limitations on the class of persons Congress intended to benefit: "an individual *185 who is a qualified retired law enforcement officer and who is carrying the identification required by subsection (d) . . . ."
The second factor, i.e., whether there is any explicit or implicit indication of legislative intent to create a privаte cause of action, has been afforded greater emphasis in the wake of the Cort decision. See Health Care Plan, Inc. v. Aetna Life Ins. Co.,
In relation to the third factor in the Cort analysis, plaintiffs again rely on the lack of an enforcement mechanism. (See Pls.' Mem. of Law in Opp'n to Defs.' Mot. to *186 Dismiss, Dkt. No. 21, 13-14.) For the same reasons as with consideration of the second Cort factor, the creation of a federal remedy would be inconsistent with LEOSA's statutory scheme because Congress left the states with the authority to issue concealed firearm certifications. Therefore, this factor also weighs against the determination that Congress intended to establish a private cause of action.
The fourth and final Cort factor asks whether plaintiffs' lawsuit concerns an arеa of law normally reserved for the states. As a preliminary matter, plaintiffs concede that "states have traditionally determined who may, and who may not, carry concealed weapons within their boundaries." Id. at 14. Nevertheless, they contend that Congress intended a private cause of action because LEOSA was enacted to supersede states' traditional province over concealed firearm licenses. Even if states' traditional control over the locus of plaintiffs' lаwsuit is ignored, plaintiffs' argument still rests upon the erroneous belief that LEOSA creates a federal requirement for state officers to issue the identification described in subsection (d) of the statute. Rather than commandeer state officials by requiring them to issue the requisite identification under federal law, Congress has left this authority with the states. Although LEOSA bars the criminal prosecution of qualified retired law enforcement officers who are in possession of the identification required under subsection (d), the statute is devoid of any intent, either explicit or implicit, to impinge upon the states' authority to issue the identification in question. Therefore, Congress did not intend to create a private cause of action under LEOSA.
C. Constitutionality of Plaintiffs' Requested Relief
Plaintiffs' complaint is equally deficient because the relief they seek would run afoul of the constitutional balance of power between the states and the federal government. If successful, plaintiffs' lawsuit would culminate in an order directing state officers to issue the identification required under subsеction (d) of LEOSA. Accordingly, the issue presented is not whether Congress may constitutionally legalize the possession of concealed firearms that have been shipped or transported across state lines. Instead, defendants raise the issue of whether state officers may be forced to help achieve a federal objective.
The Supreme Court's holding in Printz v. United States,
Plaintiffs argue that the holding in Printz is inapplicable here because LEOSA does not ask state officers to implement a federal scheme. Plaintiffs are correct to the extent that LEOSA makes use of states' pre-existing standards for allowing law enforcemеnt officers to carry firearms. See
Plaintiffs' argument as to the minimal burden placed upon the state officers is equally unpersuasive. Any weighing of the states' burden is irrelevant "where, as here, it is the whole object of the law to direct the functioning of the state executive, and hence to compromise the structural framework of dual sovereignty . . . ." Printz at 932,
D. Preemption of States' Authority to Issue the Identification
For many of the same reasons, LEOSA does not preempt states' authority to issue the identification described in subsection (d). As with the arguments already considered, the relevant issue for preemption is congressional intent. See Barnett Bank of Marion County, N.A. v. Nelson,
Although Congress explicitly intended LEOSA to apply "[n]otwithstanding any other provision of the law of any State[,]"
Ultimately, the holding in Printz makes any remaining issue of preemption irrelevant. Even if Congress implicitly intended to preempt states' authority to issue the identification described in subsection (d), such an exercise of Congress's legislative power, i.e., requiring state officers to certify retired law enforcement officers, would violate the Supreme Court's rule against commandeering state officers to implement a federal program. Likewise, although defendants' refusal to issue the requisite identification may constitute an irreconcilable conflict with LEOSA's objective, Printz renders Congress unable to legislatively require the defendants to certify that the plaintiffs have met New York's standards for carrying a firearm of the same type as the concealed firearm.
IV. CONCLUSION
Plaintiffs' frustration with defendant Fischer's and defendant O'Donnell's refusal to issue the identification required by LEOSA is understandable. Undisputably, LEOSA established a federal right for retired law enforcement officers to carry concealed firearms across state lines. Nevertheless, the complaint must be dismissed because Congress lacks the constitutional authority to enact a federal law under which state officers are required to take action in order to help implement the law's objective. Furthermore, and perhaps in recognition of the limitation placed upon its authority after the Supreme Court's holding in Printz, Congress did not intend to create an affirmative obligation for state officers to provide retired law enforcement officers with the identification described in subsection (d). For all of these reasons, plaintiffs do not have a right to a private cause оf action under LEOSA, and the relief they seek is constitutionally impermissible.
Accordingly, it is
ORDERED that
(1) Defendants' motion to dismiss is GRANTED;
(2) Plaintiffs' complaint is DISMISSED; and
(3) The clerk is directed to enter judgment accordingly.
IT IS SO ORDERED.
NOTES
Notes
[1] Plaintiffs, in effect, concede that Congress's intent to create a private cause of action, if any, must be implied from consideration of the factors developed in Cort. (See Pls.' Mem. of Law in Opp'n to Summ. J., Dkt. No. 21, 11.) Instead of arguing that the text and structure of LEOSA expressly creates a private cause of action, plaintiffs only contend that there is no statutory language "specifically denying or withholding a private cause of action." Id.