Conn. Office of Prot. & Adv. For Persons v. Kirk, 3:02CV766(DJS).

• Decision Date: 16 February 2005
• Docket Number: No. 3:02CV766(DJS).,3:02CV766(DJS).
• Citation: 354 F.Supp.2d 196
• Court: U.S. District Court — District of Connecticut
• Parties: The State of CONNECTICUT OFFICE OF PROTECTION AND ADVOCACY FOR PERSONS WITH DISABILITIES, Plaintiff, v. Thomas A. KIRK, in his official capacity as Commissioner of the State Department of Mental Health and Addiction Services; Susan Graham, in her official capacity as the superintendent of Cedarcrest Hospital of the State Department of Mental Health and Addiction Services; Garrell Mullaney, in his official capacity as the Chief Executive Officer of the Connecticut Valley Hospital of the State Department of Mental Health and Addiction Services; and Kenneth Marcus, in his official capacity as Medical Director of the State Department of Mental Health and Addiction Services; Defendants.

354 F.Supp.2d 196

The State of CONNECTICUT OFFICE OF PROTECTION AND ADVOCACY FOR PERSONS WITH DISABILITIES, Plaintiff, v. Thomas A. KIRK, in his official capacity as Commissioner of the State Department of Mental Health and Addiction Services; Susan Graham, in her official capacity as the superintendent of Cedarcrest Hospital of the State Department of Mental Health and Addiction Services; Garrell Mullaney, in his official capacity as the Chief Executive Officer of the Connecticut Valley Hospital of the State Department of Mental Health and Addiction Services; and Kenneth Marcus, in his official capacity as Medical Director of the State Department of Mental Health and Addiction Services; Defendants.

No. 3:02CV766(DJS).

United States District Court, D. Connecticut.

February 16, 2005.

Nancy B. Alisberg, Paulette G. Annon, Hartford, CT, for Plaintiff.

Thomas J. Ring, Rosemary Miller McGovern, Attorney General's Office, Hartford, CT, for Defendants.

Jennifer A. Osowiecki, Eileen R. Becker, Pepe & Hazard, Hartford, CT, for Amicus.

MEMORANDUM OF DECISION

SQUATRITO, District Judge.

On May 3, 2002, plaintiff the State of Connecticut Office of Protection and Advocacy for Persons with Disabilities ("OPA") brought this action pursuant to 42 U.S.C. § 1983 and the Protection and Advocacy for Individuals with Mental Illness Act of 1986, 42 U.S.C. §§ 10801-10827 ("PAMII"), seeking injunctive and declaratory relief against Thomas Kirk, Susan Graham, Garrell Mullaney, and Kenneth Marcus in their respective official capacities as employees of the State of Connecticut Department of Mental Health and Addiction Services ("Department"). Plaintiff, citing the PAMII, petitions this court for an order requiring defendants to disclose certain records relating to the deaths of two former residents of facilities within the Department's control. Now pending are plaintiff's (dkt.# 22) and defendants' (dkt.# 25) motions for summary judgment pursuant to Rule 56 of the Federal Rules of Civil Procedure. For the reasons stated herein, plaintiff's motion (dkt.# 22) is GRANTED and defendants' motion (dkt.# 25) is DENIED.

I. FACTS

The parties do not dispute any fact material to the pertinent legal issues that are dispositive of the parties' claims. The following is a brief recitation of the necessary facts as set forth in the parties' Local Rule 56 statements.

Plaintiff is an agency created by the State of Connecticut pursuant to a federal mandate. As such, plaintiff investigates suspected incidents of abuse and neglect and pursues legal remedies on behalf of individuals with mental illnesses living under the care or control of the State of Connecticut. Commensurate with its duty to investigate, plaintiff seeks records generated and maintained by defendants concerning or related to the deaths of two former residents of defendants' facilities. On January 21, 2000, Ms. Rose Marie Cinami, who was a 54-year old resident of Cedarcrest Hospital, choked while eating her breakfast and died. On April 3, 2002, Mr. James Bell, who was a resident of the Whiting Forensic Division of the Connecticut Valley Hospital, died while being physically restrained.

There is no dispute that plaintiff is authorized to investigate these incidents. Mr. Angelo Cinami, the administrator of Ms. Cinami's estate, executed a release to allow plaintiff access to records pertaining Ms. Cinami. See 42 U.S.C. § 10805(a)(4)(A) (authorizing a P & A to have access to records of an individual whose representative has provided consent to do so). Plaintiff was notified of the incident involving Mr. Bell by way of Section 46a-153 of the Connecticut General Statutes, which requires the commissioner of the responsible agency to notify plaintiff when a serious injury occurs due to the use of physical restraints. See 42 U.S.C. § 10805(a)(1)(A) (authorizing a P & A to investigate and have access to records of an individual when there has been a report to the P & A).

Further, there is no dispute that defendants are the custodians of the records plaintiff seeks. In response to plaintiff's requests, defendants have produced all records pertaining to the aforementioned deceased individuals, except so-called "peer review records." Defendants state that the documents withheld from plaintiff

reflect the proceedings of a peer review, i.e., the sequence of events or the course of action undertaken by a committee of Cedarcrest Hospital [and Connecticut Valley Hospital] established pursuant to written bylaws engaged in the evaluation by health care professionals of the quality and efficiency of services ordered or performed by other health care professionals.

(Dkt. # 26 ¶¶ 26 & 28). Plaintiff initiated this lawsuit for the purpose of obtaining an order from this court compelling defendants to produce these peer review records.

II. DISCUSSION

By way of an action pursuant to 42 U.S.C. § 1983, and citing the authority conferred upon it the Protection and Advocacy for Individuals with Mental Illness Act of 1986, 42 U.S.C. §§ 10801-10827 ("PAMII"), plaintiff seeks an order compelling defendants to disclose documents defendants have classified as peer review records. Defendants contend that the court should not award relief because the documents they have withheld are shielded from disclosure by state statute.

A. STANDARD

A motion for summary judgment may be granted "if the pleadings, depositions, answers to interrogatories, and admissions on file, together with the affidavits, if any, show that there is no genuine issue of material fact and that the moving party is entitled to judgment as a matter of law." Fed.R.Civ.P. 56(c). Summary judgment is appropriate if, after discovery, the nonmoving party "has failed to make a sufficient showing on an essential element of [its] case with respect to which [it] has the burden of proof." Celotex Corp. v. Catrett, 477 U.S. 317, 323, 106 S.Ct. 2548, 91 L.Ed.2d 265 (1986). "The burden is on the moving party `to demonstrate the absence of any material factual issue genuinely in dispute.'" American Int'l Group, Inc. v. London Am. Int'l Corp., 664 F.2d 348, 351 (2d Cir.1981) (quoting Heyman v. Commerce & Indus. Ins. Co., 524 F.2d 1317, 1319-20 (2d Cir.1975)). A dispute concerning a material fact is genuine "`if evidence is such that a reasonable jury could return a verdict for the nonmoving party.'" Aldrich v. Randolph Cent. Sch. Dist., 963 F.2d 520, 523 (2d Cir.1992) (quoting Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 248, 106 S.Ct. 2505, 91 L.Ed.2d 202 (1986)). The court must view all inferences and ambiguities in a light most favorable to the nonmoving party. See Bryant v. Maffucci, 923 F.2d 979, 982 (2d Cir.1991). "Only when reasonable minds could not differ as to the import of the evidence is summary judgment proper." Id.

B. DEFINITION OF "RECORDS"

The dispositive issue in this lawsuit is the reconciliation of the federal statute providing plaintiff the authority to gather records to investigate potential abuse or neglect and the state statute shielding peer review records from disclosure. Plaintiff derives its authority to act from the following federal statutory scheme. In response to the "inhumane and despicable conditions" discovered at a New York institution for persons with developmental disabilities, Congress enacted the Developmental Disabilities Assistance and Bill of Rights Act of 1975, 42 U.S.C. §§ 6041-6043 ("DDA"), to "protect the human civil rights of this vulnerable population." Iowa Prot. & Advocacy Servs., Inc. v. Gerard Treatment Programs, L.L.C., 152 F.Supp.2d 1150, 1157 (N.D.Iowa 2001) (describing the genesis of DDA). In order to receive federal funds under DDA, a state must have in effect a protection and advocacy system ("P & A"). 42 U.S.C. § 6042(a)(1).¹ Plaintiff is Connecticut's protection and advocacy system.

In 1986, Congress passed the Protection and Advocacy for Mentally Ill Individuals Act ("PAMII"), 42 U.S.C. §§ 10801-10827, as amended, after finding that individuals with mental illness are vulnerable to abuse, neglect, and serious injury, and that state systems for monitoring the rights of these individuals varied widely and were frequently inadequate. 42 U.S.C. § 10801(a). Furthermore, Congress found that

family members of individuals with mental illness play a crucial role in being advocates for the rights of individuals with mental illness where the individuals are minors, the individuals are legally competent and choose to involve the family members, and the individuals are legally incompetent and the legal guardians, conservators, or other legal representatives are members of the family.

Id.

PAMII was modeled after DDA, and was intended to "ensure that the rights of individuals with mental illness are protected, and to assist States to establish and operate a[P & A] for individuals with mental illness which will protect and advocate the rights of such individuals." 42 U.S.C. §§ 10801(b)(1) & 10801(b)(2)(A). PAMII specifically charges the state's P & A, which is an independent agency, with the duty to "investigate incidents of abuse and neglect of individuals with mental illness if the incidents are reported to the system or if there is probable cause to believe that the incidents occurred." 42 U.S.C. § 10801(b)(2)(B); see also 42 U.S.C. § 10805(a)(1). In addition, the state's P & A is authorized to, inter alia,"pursue administrative, legal and other appropriate remedies to ensure the protection of individuals with mental illness who are receiving care or treatment in the State." 42 U.S.C. § 10805(a)(1)(B).

In order to carry out these objectives, PAMII provides the state's P & A with the authority to have access to "all records of ... any individual," 42 U.S.C. § 10805(a)(4)(A)-(C), including

reports prepared by any staff of a facility rendering care and treatment or reports prepared by an agency charged with investigating reports of incidents of abuse, neglect, and injury occurring at such facility that...