Krohn v. New York City Police DepartmentKrohn v. New York City Police Department
Scott Samay, Esq., Kirkland & Ellis, New York, N.Y. for Plaintiff-Appellee-Cross-Appellant.
Before: FEINBERG, VAN GRAAFEILAND, F.I. PARKER,* Circuit Judges.
F.I. PARKER, Circuit Judge.
1 Defendants-appellants-cross-appellees, the New York City Police Department (“the City“) and Anthony DiPalma, appealed from that portion of the June 26, 2001 judgment of the United States District Court for the Southеrn District of New York (Gerard E. Lynch, Judge) that denied their motion for a new trial after a jury verdict on plaintiff Alli Katt‘s claim of a hostile work environment in violation of federal, state and city law. Defendants argued that the district court abused its discretion in admitting certain evidence and therefore a new trial was required. We affirmed the district court‘s decision denying a new trial in an earlier summary order filed on April 2, 2003. Krohn v. New York City Police Dep‘t, 2003 WL 1785897, 60 Fed. Appx. 357 (2d Cir.2003).
2 Katt1 cross-appeals, challenging that portion of the June 26, 2001 judgment that vacated the award of punitive damagеs against the City, and also the subsequent district court order denying Katt‘s motion for reconsideration of the decision to vacate the punitive damages award. In answer to Katt‘s cross-appeal, the City argues that we should certify the question of whether рunitive damages are available against the City under New York City Human Rights Law,
3 The earlier summary order affirmed the district court‘s denial of a new trial, and reserved decision on the plaintiffs’ cross-appeal and the defendants’ motion to certify. Becausе of an absence of New York case law regarding the question of whether punitive damages against a municipality are available under the NYCHRL, we certify the following question to the New York Court of Appeals: Can a person claiming gender-based employment discrimination recover punitive damages from the City of New York under section 8-502(a) of the New York City Human Rights Law,
4 In 1995, Alli Katt filed a complaint against the City and various city employees, alleging that, as a civilian employee of the New York City Poliсe Department, she had been subjected to sexual harassment and a sexually hostile work environment. Originally, Katt‘s then-pro se complaint named several defendants and included claims under a range of federal and state anti-discrimination and civil rights laws. However, by the time of the trial in 2000, she had retained counsel and only violations of
5 At trial, Katt presented evidence of extensive and pervasive sexual harassment and was awarded $400,000 in compensatory damages against both defendants, and $1,000,000 in punitive damages against the City alone. The City and DiPalma then moved for judgment as a matter of law, pursuant to
6 On July 12, 2001, Katt filed a timely motion for reconsideration of the decision to vacate the punitive damages award, pursuant to
7 As noted above, we have previously ruled upon the City‘s appeal and this opinion addresses Katt‘s cross-appeal, timely filed on August 28, 2001. The cross-appeal is from the district court‘s decision to set aside the punitive damages award, and from its denial of her motion for reconsideration. In June 2002, the City filed a motion, pursuant to this Court‘s Rule § 0.27, for an order to certify the question of whether the NYCHRL authorizes recovery of punitive damages from the City of New York for violations of that ordinance.
II. ANALYTICAL FRAMEWORK
A. Standard of Review
8 This court reviews questions of statutory interpretation de novo, United States v. Pettus, 303 F.3d 480, 483 (2d Cir.2002), but defers to state court interpretations of state and local laws. Yoon v. Fordham Univ. Faculty & Admin. Ret. Plan, 263 F.3d 196, 203 (2d Cir.2001) (“[I]t is well-established that thе controlling interpretation of state laws should normally be given by state rather than federal courts.“).
B. Certification Generally
9 “Where an `unsettled and significant question of state law ... will control the outcome of [the] case, ... we may certify that question to the New York Court of Appeals.” Baker v. Health Mgmt. Sys., 264 F.3d 144, 153 (2d Cir. 2001) (citing 2d Cir. R. § 0.27;
III. DISCUSSION
A. Damages Against a Municipality Under New York Law
11 When determining whether damages are available against a municipality, under New York law, “a statute in derogation of the sovereignty of a State must be strictly construed, [and] waiver of immunity by inference [is] disfavored.” Sharapata v. Town of Islip, 56 N.Y.2d 332, 336, 437 N.E.2d 1104, 1106, 452 N.Y.S.2d 347, 349 (1982). Thus, to determine whether punitive damages are available here, we must assess whether the NYCHRL has clearly derogated sovereign immunity and submitted the City to liability for punitive damages.
B. Text of NYCHRL
12 Beginning, as we must, with the text of the statute, see Landreth Timber Co. v. Landreth, 471 U.S. 681, 685, 105 S.Ct. 2297, 85 L.Ed.2d 692 (1985), we find the wording inconclusive. NYCHRL‘s damages provision does include punitive damages:
13 Except as otherwise provided by law, any person claiming to be aggrieved by an unlawful discriminatory practice as defined in chapter one of this title or by an act оf discriminatory harassment or violence as set forth in chapter six of this title shall have a cause of action in any court of competent jurisdiction for damages, including punitive damages... with respect to such alleged unlawful discriminatory practice or act of discriminatory harassment or violence.
14
15 Under NYCHRL, it is an unlawful discriminatory practice “[f]or an employer or an employee or agent thereof” to discharge or discriminate “in competition or in terms, conditions or privileges of employment” against a person on the basis of, among other things, gender.
C. New York State Case Law
16 Although “we will not certify questions of law where sufficient precedents exist for us to make that determination,” McCarthy v. Olin Corp., 119 F.3d 148, 154 (2d Cir.1997), we find none here. The New York Court of Appeals has indicated that punitive damages could be assessed against a municipality if the requisite clear legislative intent was present in the governing statute. See Sharapata, 56 N.Y.2d at 336, 437 N.E.2d at 1106, 452 N.Y.S.2d at 349. However, that court has not yet found sufficient legislative intent in any law to override the presumption against a waiver of municipal immunity. See, e.g., Clark-Fitzpatrick, Inc. v. Long Island R.R. Co., 70 N.Y.2d 382, 388, 516 N.E.2d 190, 192-93, 521 N.Y.S.2d 653, 655-56 (1987); Sharapata, 56 N.Y.2d at 336, 437 N.E.2d at 1106, 452 N.Y.S.2d at 349.
17 Moreover, the state courts have indicated that the question now before us raises significant public policy concerns. Specifically, the New York Court of Appeals has written thаt “the twin justifications for punitive damages — punishment and deterrence — are hardly advanced when applied to a government unit,” Sharapata, 56 N.Y.2d at 338, 437 N.E.2d at 1107, 452 N.Y.S.2d at 350, and that such damages ultimately “punish only the innocent taxpayers of New York State.” Clark-Fitzpatrick, 70 N.Y.2d at 388, 516 N.E.2d at 192-93, 521 N.Y.S.2d at 655-56.
18 For the reasons detailed above, we believe that the New York Court of Appeals can best resolve the issues of state common law and policy that are implicated by this question. See, e.g., Riordan, 977 F.2d at 51; Home Ins. Co., 873 F.2d at 522.
IV. CONCLUSION
19 Because of the absence of authoritative state court interpretations of the NYCHRL оn the question of whether punitive damages are available against a municipality, the importance of the question and its policy implications to the state, the likelihood that the question will recur, and the fact that the answer will resolve this litigation, wе hereby respectfully certify the following question to the New York Court of Appeals: Can a person claiming gender-based employment discrimination recover punitive damages from the City of New York under section 8-502(a) of the New York City Human Rights Law,
20 The cеrtified question may be deemed expanded to cover any further pertinent question of New York law involved in this appeal that the Court of Appeals chooses to answer. This panel retains jurisdiction and will consider any issues that may remain on aрpeal once the New York Court of Appeals has either provided us with its guidance, or declined certification.
21 It is therefore ordered that the Clerk of this Court transmit to the Clerk of the Court of Appeals of the State of New York a Certificatе, as set forth below, together with a complete set of briefs, appendices, and record filed in this Court by the parties.
CERTIFICATE
22 The foregoing is hereby certified to the Court of Appeals of the State of New York, pursuant to 2d Cir. R. § 0.27 and