Patricia McREDMOND et al., by their attorney and next
friend, Charles Schinitsky, on behalf of
themselves and all others similarly
situated, Plaintiffs-Appellants,
v.
Malcolm WILSON, Individually and as Governor of the State of
New York, et al., Defendants-Appellees.
No. 314, Docket 75-7389.
United States Court of Appeals,
Second Circuit.
Argued Dec. 15, 1975.
Decided Feb. 2, 1976.
Gene B. Mechanic, Brooklyn, N. Y. (Charles Schinitsky, Michael J. Dale, The Legal Aid Society, Brooklyn, N. Y., of counsel), for plaintiffs-appellants.
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.
MANSFIELD, Circuit Judge:
This appeal concerns the interplay of the doctrines of abstention and exhaustion of state remedies in the context of a 42 U.S.C. § 1983 civil rights action in which a variety of constitutional and statutory issues are raised. The Southern District of New York, Lee P. Gagliardi, Judge, decided that abstention from exercise of jurisdiction was warranted. We disagree, concluding that the case does not present the narrowly limited circumstances permitting invocation of the doctrine which was established by the Supreme Court in Railroad Commission v. Pullman Co.,
Plaintiffs-appellants are children who have beеn 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. N.Y.Fam.Ct. Act § 712(b). Appellants do not challenge per se the legitimacy of the Family Court's adjudication of them as PINS. However, seeking relief under the Civil Rights Act, 42 U.S.C. § 1983, and its jurisdictional counterpart, 28 U.S.C. § 1343, they raise several constitutional challеnges to the state's policy, after adjudicating persons as PINS and committing them to state authorities, that has resulted in placing approximately 450 of them, including some of the named plaintiffs, in four rural training schools located so far from their home and communities that visits by family members and friends are rendered difficult and costly. As acknowledged at oral argument, the core of their contention is that these schools do not comply with the developing requirements of a constitutionally guaranteed "right to treatment" for those involuntarily confined in state institutions or facilities. See, e. g., O'Connor v. Donaldson,
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) . . .of a sufficiently serious nature as to warrant reasonably prompt consideration by an appropriate court," Judge Gagliardi ruled that the federal court properly should abstain from consideration of the case. Citing two recent New York Court of Appeals cases, In re Lavette,
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,
"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 may be adjudicated in some other forum."
Stapleton v. Mitchell,
"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,
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.,
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,
"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 . . . ."
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 decision might render a federal adjudication unnecessary. For instance, in Wisconsin v. Constantineau,
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 statutory 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 § 255 of the Fаmily Court Act, which assures PINS of such "care, protection and assistance as will best enhance their welfare." This statute has twice been construed by the New York Court of Appeals as entitling PINS as a matter of "due process" to adequate treatment. See Lavette M. v. Corporation Counsel of the City of New York,
Appellees, however, emphasize that the state courts might construe the state-developed right to treatment so broadly as to obviate the necessity for resort to the federal forum. Therefore, they argue relying heavily upon our decision in Reid v. Board of Education,
"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 : a 'tentative decision' by the district court on the State law claims which might be replaced by an authoritative state adjudication.
Thus the resolution in pending state litigation of the uncertainty in the stаte 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 federal 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. Mediсal 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,
Appellees strongly argue that the right to treatment under state law is not necessarily congruent with that under federal law since the state courts might well decide to expand protection beyond the minimum requirements of the federal Constitution. But, of course, this same conjecture is possible in any case where dual remedies are available. For example, in Constantineau, the Wisconsin courts might have construed their state due process guarantee as broadly or more broadly than the federal Fourteenth Amendment, see
Finally, appellees urge that the balance tips in favor of abstention since federal court consideration 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 nоt 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,
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,
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 their families and friends represents cruel and unusual punishment. We disagree. Such placement does not raise the spectre of barbarous or inhumane punishment of the type held to be proscribed by the Eighth Amendment, such as that encountered in Morales v. Turman, supra,
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 Protection Clause rise to the level of constitutional substantiality. A rational basis for distinguishing between PINS and neglected children is readily aрparent. 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 N.Y. Family Court Act § 712(b); Matter of David W.,
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,
Reversed in part, affirmed in part and remanded.
VAN GRAAFEILAND, Circuit Judge (dissenting):
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, --- U.S. ----,
Notes
With due respect for our esteemed colleague's dissent we, unlike Judge Van Graafeiland's doting grandfather, neither gain satisfaction nor escape responsibility by adherence to our constitutional heritage, which obligates us to vindicate federal rights. We simply comply with clear cut Supreme Court rulings prohibiting us from refusing to enforce those rights merely because the grievance "involves duties created by State statute." Indeed most civil rights cases in which federal intervention has been mandated grow out of the statutes of one or more of our 50 states. Once forced to exercise jurisdiction, the federal judge has frequently found himself burdened with the seemingly endless task of administering the penal, educational or similar activities under review in ordеr to secure recognition of constitutional rights. See, e. g., Rhem v. Malcolm,
Article XI, Section 1 of the New York Constitution reads: "The legislature shall provide for the maintenance and support of a system of free common schools, wherein all the children of this state may be educated." The statutory provision in question was even more explicit: "The board of education of each city . . . (is) to furnish suitable education facilities for handicaрped children by means of home-teaching, transportation to school or by special classes. . . . Where there are ten or more handicapped children who can be grouped homogeneously in the same classroom for instructional purposes such board shall establish such special classes as may be necessary to provide instruction adapted to the mental attainments and physical conditions of such children." N.Y.Educ.Law, § 4404, subd. 2. See
Plaintiffs acknowledge that their challenge to placement in training schools grounded on the right to treatment does not necessitate three-judge review since, rather than seeking the invalidation of the state PINS statute, they hope to preserve PINS placement while superimposing a requirement that adequate treatment be afforded once the child is placed in confinement
