McRedmond v. WilsonMcRedmond v. Wilson
- Reporters:
- ,
- Before:
- Mansfield, Oakes, Van Graafeiland
Margery Evans Reifler, Asst. Atty. Gen., New York City (Louis J. Lefkowitz, Atty. Gen. of the State of New York, Samuel A. Hirshowitz, First Asst. Atty. Gen., New York City, of counsel), for defendants-appellees.
Before MANSFIELD, OAKES and VAN GRAAFEILAND, Circuit Judges.
This appeal concerns the interplay of the doctrines of abstention and exhaustion of state remedies in the context of a
Plaintiffs-appellants are children who have been adjudicated as Persons in Need of Supervision (PINS) by the New York State Family Court. This group encompasses males younger than 16 and females younger than 18 who, while guilty of no criminal offense, are found to be truant from school or who are incorrigible, ungovernable, habitually disobedient, or beyond the control of their lawful guardian.
The United States District Court, Southern District of New York, considered a variety of motions relating to the litigation, including plaintiffs’ request for class-action certification and for preliminary injunctive relief, and defendants’ motion to dismiss the complaint pursuant to Rule 12(b), F.R.Civ.P. While noting that the “allegations contained in the complaint (are) . . .
DISCUSSION
Abstention
It is a pillar of federal jurisdiction that one having a bona fide claim is normally entitled as a matter of right to have the claim adjudicated by a federal tribunal and that this right may not be defeated by relegating the matter to the state court or by requiring the plaintiff to exhaust state remedies. McNeese v. Board of Education for Com. Unit School District 187, 373 U.S. 668, 83 S.Ct. 1433, 10 L.Ed.2d 622 (1963); Zwickler v. Koоta, 389 U.S. 241, 88 S.Ct. 391, 19 L.Ed.2d 444 (1967). The federal courts have the duty “to guard, enforce, and protect every right granted or secured by the Constitution of the United States . . .“, Robb v. Connolly, 111 U.S. 624, 637, 4 S.Ct. 544, 551, 28 L.Ed. 542 (1884). This duty was summarized years ago by the late Judge Alfred P. Murrah in a statement that has been repeatedly quoted with approval by the Supreme Court:
“We yet like to believe that wherever the Federal courts sit, human rights under the Federal Constitution are always a proper subject for adjudication, and that we have not the right to decline the exercise of that jurisdiction simply because the rights asserted mаy be adjudicated in some other forum.”
Stapleton v. Mitchell, 60 F.Supp. 51, 55 (D.Kan.1945), quoted by Supreme Court in Zwickler v. Koota, supra, 389 U.S. at 248, 88 S.Ct. 391, and McNeese v. Board of Education, supra, 373 U.S. at 674 n. 6, 83 S.Ct. 1433. This jurisdictional precept has been repeatedly recognized as carrying special force in civil rights actions under § 1983 since Congress, in adopting that statute and its jurisdictional counterpart,
“It is no answer that the State has a law which if enforced would give relief. The federal remedy is supplementary to the state remedy, and the latter need not be first sought and refused before the federal one is invoked. Hence the fact that Illinois by its constitution and laws outlaws unreasonable searches and seizures is no barrier to the present suit in the federal court.” Monroe v. Pape, 365 U.S. 167, 183, 81 S.Ct. 473, 482, 5 L.Ed.2d 492 (1960).
The judge-made doctrine of abstention represents a narrow exception to the foregoing principle, which was forged by the Supreme Court in Railroad Commission v. Pullman Co., 312 U.S. 496, 61 S.Ct. 643, 85 L.Ed. 971 (1941). There the Court held that in special circumstances, where resolution of a federal constitutional issue is controlled by the interpretation of an unclear or complex state statute that is susceptible to a construction which would avoid or modify the necessity of a constitutional adjudication, the federal court should defer to the state court‘s interpretation of its own statute. See, in accord, Kusper v. Pontikes, 414 U.S. 51, 54, 94 S.Ct. 303, 38 L.Ed.2d 260 (1973); Lake Carriers’ Assn. v. MacMullan, 406 U.S. 498, 92 S.Ct. 1749, 32 L.Ed.2d 257 (1972); Propper v. Clark, 337 U.S. 472, 492, 69 S.Ct. 1333, 93 L.Ed. 1480 (1949); Harman v. Forssenius, 380 U.S. 528, 534, 85 S.Ct. 1177, 14 L.Ed.2d 50 (1965); Zwickler v. Koota, supra, 389 U.S. at 248, 88 S.Ct. 391. In such rare cases the avoidance of fеderal-state friction, the recognition that regardless of a federal court‘s construction, the state‘s highest court is the final expositor of that state‘s law, and the possibility that the federal question may be avoided, outweigh the duplication of effort and added expense and delay heaped upon the plaintiff by shuttling him between state and federal courts. See England v. Louisiana State Board of Medical Examiners, 375 U.S. 411, 418, 84 S.Ct. 461, 11 L.Ed.2d 440 (1964). The federal court‘s hand is merely stayed temporarily, however, and, if the state court‘s interpretation of the state statute should fail to avoid the federal constitutional question, the plaintiff is then entitled to have the latter adjudicated by federal court, to which he may return as the forum selected by him in the first place. England v. Louisiana State Board of Medical Examiners, supra.
In general, the three essential conditions for invocation of the doctrine of abstention are that the state statute be unclear or the issue of state law be uncertain, Harman v. Forssenius, supra, 380 U.S. at 534, 85 S.Ct. 1177, that resolution of the federal issue depend upon the interpretation to be given to the state law, Wright v. McMann, 387 F.2d 519, 525 (2d Cir. 1967), аnd that the state law be susceptible of an interpretation that would avoid or modify the federal constitutional issue. In such circumstances abstention will be upheld. As we recently recognized in Reid v. Board of Education of City of New York, 453 F.2d 238 (2d Cir. 1971), although these conditions precedent do appear to be strict on their face, they offer some room for play in the joints. The extent of permissible flexibility, however, can be discovered only by a comparison of the questions of state statutory interpretation which previously have been held to mandate or to preclude abstention. Typical of cases where abstention has been mandated is the Supreme Court‘s decision in Lake Carriers’ Assn. v. MacMullan, supra, where the plaintiffs’ federal suit attacked Michigan‘s Watercraft Pollution Control Act of 1970 as violative of the Supremacy Clause (because it conflicted with the federal Water Quality Improvement Act) as well as of the Due Process and Equal Protection Clauses. The court upheld abstention on the ground that the Michigan statute contained ambiguities which were susceptible of an interpretation that would meet in part or in whole the requirements of federal law. Similarly in Reetz v. Bozanich, 397 U.S. 82, 90 S.Ct. 788, 25 L.Ed.2d 68 (1970), the Court held that abstention was required to permit Alaska‘s courts to resolve an apparent conflict between the provisions of state statutes governing the issuance of salmon net gear licenses and the terms of the state‘s constitution which reserved certain waters “to the people for common use” and which had “never been interpreted by an Alaska court,” 397 U.S. at 86, 90 S.Ct. at 790. And in Askew v. Hargrave, 401 U.S. 476, 91 S.Ct. 856, 28 L.Ed.2d 196 (1971), which involved an attack on a Florida public education financing statute (known as the “Millage Rollback Law“) on the ground that it violated the Equal Protection Clause by distributing the taxing authority solely according to a county‘s wealth, the Court held that abstention was mandated to enable the state courts, in litigation already pending, to resolve conflicts between the state statute and provisions of the state‘s Constitution, since the Millage Rollback Law
“was only one aspect of a comprehensive legislative program for reorganizing educational financing throughout the State to more nearly equalize educational opportunities for all the school children of the State. . . . the manner in which the program operates may be critical in the decision of the equal protection claim . . . .” 401 U.S. at 479, 91 S.Ct. at 858.
On the other hand where a state statute is unambiguous the court must perform its adjudicative duty and has no right to abstain merely because a state court
Applying these principles here, it is readily apparent that this case does not qualify as an appropriate vehicle for abstention. The primary issue raised in the district court is whether plaintiffs are entitled under the United States Constitution to a minimum level of treatment and, if so, whether that treatment is being denied by the State of New York. Resolution of that issue does not turn upon construction of any unclear state statute or stаtutory scheme controlling the extent of treatment to be accorded PINS, the interpretation of which might avoid or modify the federal constitutional issue. The relevant state statute is
Appellees, however, emphasize that the state courts might construe the state-developed right to treatment so broadly as to obviate the necessity for resort tо the federal forum. Therefore, they argue relying heavily upon our decision in Reid v. Board of Education, 453 F.2d 238 (2d Cir. 1971), the federal court should await a state decision. But this reliance upon Reid is misplaced. In Reid, plaintiffs on federal due
“we are not aware of any state court decision defining the obligations of the Board under section 4404 or Article XI of the New York constitution so that a federal court would be aided in disposing of the state claims under pendent jurisdiction. This is precisely the situation Justice Frankfurter warned against in Pullman: а ‘tentative decision’ by the district court on the State law claims which might be replaced by an authoritative state adjudication. 312 U.S. at 500, 61 S.Ct. 643.” (Footnote omitted) Reid v. Board of Education, 453 F.2d at 243.
Thus the resolution in pending state litigation of the uncertainty in the state law, which could control the federal constitutional claim, might well have avoided entirely the necessity of resolving the latter. In contrast, the issue of whether the treatment accorded to PINS is sufficient to meet due process requirements must be resolved in the present case, whether via the state or federal route. Further, in contrast to Reid, to abstain in this case would oblige plaintiffs to initiate a fresh proceeding in the state courts pursuant to a cursory state statutory mandate that does not require a clarifying interpretation but in effect necessitates a full-blown trial on the factual question of whether PINS are receiving treatment. In the interim, of course, plaintiffs’ grievances under federal law would remain in limbo.
Reid also differs from this case in another important respect. The Reid court twice noted that the state law claims are wholly “separate and distinct” from the fedеral constitutional claims, id. at 244, and consequently plaintiffs remained in a position to separate and preserve their federal claims for federal court review. See England v. Medical Examiners, supra. In contrast, it is clear in this case that the incipient right to treatment under state law is as a practical matter coterminous with the federal right. It is notable for example, that in demonstrating doctrinal support for its announced right to treatment, the New York Court of Appeals relied upon the two pathbreaking federal cases in this area and explicitly pointed to the Due Process Clause as the underlying constitutional provision. See In re Lavette, supra, 35 N.Y.2d at 142-43, 359 N.Y.S.2d at 24, 316 N.E.2d 314 citing Rouse v. Cameron, 125 U.S.App.D.C. 366, 373 F.2d 451 (1966), and Wyatt v. Stickney, 325 F.Supp. 781 (M.D.Ala.1971). While this suggests that the state courts might be willing to recognize the same treatment rights as plaintiffs claim under the federal Constitution, it is now settled that when state and federal laws overlap in this fashion, plaintiffs are not precluded from choosing the federal forum. See Askew v. Hargrave, supra, 401 U.S. at 478, 91 S.Ct. 856; Wisconsin v. Constantineau, 400 U.S. 433, 91 S.Ct. 507 (1971); Reid, supra, 453 F.2d at 244 (distinguishing Constantineau).
Finally, appellees urge that the balance tips in favor of abstention since federal court considеration would entail a severe intrusion into a sensitive area of state law. While its PINS institutions doubtless form an important aspect of the state‘s social policy, we do not find this argument compelling. In a society marked by increasing complexity, certainly the mere fact that a federal constitutional challenge is leveled against state institutional arrangements does not establish that the controversy is an unduly sensitive one beyond legitimate federal concern. See, e. g., Procunier v. Martinez, supra, 416 U.S. at 400-01, 94 S.Ct. 507 (Court does not abstain in case challenging practices in state penal institutions); McNeese v. Board of Education, supra, 373 U.S. at 674, 83 S.Ct. 1433 (schools).
We conclude, then, that the district court improperly abstained from consideration of plaintiffs’ constitutional contentions and remand accordingly.
Three-Judge Court
On January 8, 1975, plaintiffs amended their complaint to request the convening of a three-judge court to hear legal challenges to the placement of PINS in training schools as violative of the Eighth Amendment, the Equal Protection Clause, and rights of association and travel.3 Judge Gagliardi did not expressly rule on this request but abstained on all counts. Since a single district judge is not empowered to abstain on matters properly before a three-judge panel, Idlewild Liquor Corp. v. Epstein, supra; Steffel v. Thompson, 415 U.S. 452, 457 n. 7, 94 S.Ct. 1209, 39 L.Ed.2d 505 (1974); Abele v. Markle, 452 F.2d 1121, 1126 (2d Cir. 1971), the court‘s action must be taken to represent a sub silentio ruling that three judges need not convene to consider the constitutional claims in question. We agree. Based upon the record before us we conclude that plaintiffs’ relevant constitutional arguments are insubstantial and hence do not confer jurisdiction on a three-judge statutory tribunal. See Hagans v. Lavine, 415 U.S. 528, 537-38, 94 S.Ct. 1372, 39 L.Ed.2d 577 (1974).
Plaintiffs’ reliance on the Eighth Amendment in questioning the constitutionality of their placement is unpersuasive. They do not challenge the legitimacy of their adjudication as PINS or the state‘s authority to confine them in appropriate facilities. Rather they simply argue that their placement in a rural locale away from
Nor does appellants’ claim that, because neglected or abused children are not placed in training schools, the placement of PINS in such schools violates the Equal Protectiоn Clause rise to the level of constitutional substantiality. A rational basis for distinguishing between PINS and neglected children is readily apparent. The PINS child, while guilty of no criminal offense, nonetheless has been found beyond a reasonable doubt to have engaged in a pattern of misbehavior. See
Equally unsubstantial is plaintiffs’ effort to employ the rights of association and travel in challenging their confinement in rural communities. Some restriction of the freedom to associate with whomever one wishes or to move around at will is, of course, the very essence of placement in an institution, see Wolff v. McDonnell, 418 U.S. 539, 555-56, 94 S.Ct. 2963, 41 L.Ed.2d 935 (1974); Pell v. Procunier, 417 U.S. 817, 822-23, 94 S.Ct. 2800, 41 L.Ed.2d 495 (1974), and, as noted earlier, plaintiffs do not per se contest the appropriateness of special placement for PINS. Instead, the focus of their attack returns to the distant, rural character of the training schools. While state officials certainly may not without justification totally seal off inmates or detainees from those with whom they seek to have contact, Pell v. Procunier, supra, 417 U.S. at 824, 94 S.Ct. 2800. Procunier v. Martinez, supra, 416 U.S. at 412-13, 94 S.Ct. 1800. Rhem v. Malcolm, 527 F.2d 1041 (2d Cir. 1975); we do not read these constitutional guarantees as granting plaintiffs a license to select the geographic locale in which the state should build its treatment facilities. Plaintiffs on remand will not be powerless to raise their criticisms of rural placement insofar as it affects the issue of their treatment. But the bare statement that they are limited in travel or in association with their home communities does not rise to the status of a substantial constitutional violation requiring the convening of a three-judge court.
Reversed in part, affirmed in part and remanded.
A Federal judge rearranging a State‘s penal or educational system is like a man feeding candy to his grandchild. He derives a great deal of personal satisfaction from it and has no responsibility for the results. “Where, as here, the exercise of authority by state officials is attacked, federal courts must be constantly mindful of the ‘special delicacy of the adjustment to be preserved between federal equitable power and State administration of its own law.’ (Citations omitted).” Rizzo v. Goode, 423 U.S. 362, 378, 96 S.Ct. 598, 607, 46 L.Ed.2d 561 (1976). I see no pressing need for Federal interference in this case, which involves duties created by State statute; and I would affirm on the opinion below.