Doe v. Pataki

• Decision Date: 12 April 2006
• Docket Number: No. 96 Civ. 1657(DC).,96 Civ. 1657(DC).
• Citation: 427 F.Supp.2d 398
• Parties: John DOE, Richard Roe, and Samuel Poe, individually and on behalf of all other persons similarly situated, Plaintiffs, v. George PATAKI et al., Defendants.
• Court: U.S. District Court — Southern District of New York

427 F.Supp.2d 398

John DOE, Richard Roe, and Samuel Poe, individually and on behalf of all other persons similarly situated, Plaintiffs, v. George PATAKI et al., Defendants.

No. 96 Civ. 1657(DC).

United States District Court, S.D. New York.

April 12, 2006.

The Legal Aid Society, Criminal Defense Division, by Thomas M. O'Brien, Esq., New York, NY, for Plaintiffs.

Eliot Spitzer, Esq., Attorney General of the State of New York, by Louis H. Willenken, Esq., Assistant Attorney General, New York, NY, for Defendants.

OPINION

CHIN, District Judge.

This case was brought by plaintiffs more than a decade ago to challenge the constitutionality of the New York State Megan's Law, the Sex Offender Registration Act (the "Act"). After extensive litigation and settlement negotiations, the parties entered into a stipulation of settlement on June 2, 2004, which was "so ordered" by this Court on June 4, 2004 (the "Stipulation").

The Stipulation provided that sex offenders who were covered by the case and who were at risk levels 1 and 2 would be subject to registration for ten years from the date they first registered, which for most class members was shortly after the Act took effect in January 1996. Consequently, in January 2006, several thousand members of the class no longer would have been required under the Stipulation to register under the Act as convicted sex offenders.

In January 2006, however, as the ten-year period was about to expire for most class members, the New York State Legislature amended the Act to extend the registration period for level 1 offenders to twenty years and for level 2 offenders to life (the "Amendment"). Governor Pataki signed the Amendment into law on January 18, 2006. The Amendment took effect "immediately," and, as defendants have made clear, it was intended to apply even to individuals covered by the Stipulation, that is, the members of the class who agreed to the terms of the Stipulation in 2004. Instead of being required to register for only ten years, as provided in the Stipulation, level 1 class members will be required as a result of the Amendment to register for twenty years and level 2 class members for life.

Before the Court is plaintiffs' motion for an order enforcing the Stipulation and mandating compliance with its terms. Plaintiffs do not challenge and I do not question the State's authority to determine the appropriate duration of registration for convicted sex offenders who were not members of the class when the Stipulation was entered into by the parties and approved by the Court. Such a determination is a question best left to the legislature.

As to the members of the plaintiff class, however, who agreed to the terms of the Stipulation and thereby forfeited certain valuable rights, defendants are bound by the Stipulation, which was negotiated and agreed to by representatives of the Governor, the Attorney General, and the Division of Criminal Justice Services ("DCJS"). The Stipulation is a consent decree — it is both a contract between the parties and an enforceable judgment of this Court. Defendants' attempt now to apply the Amendment to individuals with whom they entered into an agreement less than two years ago violates the Stipulation.

In the simplest terms, a contract is a contract. The State cannot be permitted to unilaterally re-write the contract and ignore a judgment of the Court merely because the contract was with individuals convicted of serious crimes. Defendants knew the nature of plaintiffs' crimes when they entered into the Stipulation in 2004, and nothing has changed since then. Nor can defendants avoid their obligations under the Stipulation merely because they represent the State, for governmental bodies — no less than private citizens — have an obligation to honor contracts and consent decrees to which they are a party.

Plaintiffs' motion is granted and defendants will be enjoined from applying the Amendment to class members in a manner inconsistent with the terms of the Stipulation.

STATEMENT OF THE CASE

A. The Act

The substantive provisions of the Act and the factual background surrounding its passage are set forth in detail in my prior opinions, see Doe v. Pataki, 919 F.Supp. 691 (S.D.N.Y.1996) ("Pataki I"); Doe v. Pataki, 940 F.Supp. 603 (S.D.N.Y. 1996) ("Pataki II"); Doe v. Pataki, 3 F.Supp.2d 456 (S.D.N.Y.1998) ("Pataki III"), as well as in the Second Circuit's opinion affirming in part and reversing in part Pataki II. Doe v. Pataki, 120 F.3d 1263 (2d Cir.1997) ("Pataki IV").

The Act was passed on July 25, 1995, and became effective on January 21, 1996. See generally N.Y. Correction Law § 168 et seq. The New York State Legislature's stated purpose in passing the Act was to protect the public from sex offenders and to enhance the ability of law enforcement officers to identify, investigate, apprehend, and prosecute sex offenders. The Act requires individuals convicted of certain sex offenses to register with law enforcement officials, and it authorizes those officials, in some circumstances, to notify the public of the identity and whereabouts of registrants. Id. § 168-f et seq.

The Act established three levels of notification to law enforcement officials increasing with the risk of recidivism and danger to the public: offenders determined to present a low risk are designated level 1; offenders determined to present a moderate risk are designated level 2; and offenders determined to present a high risk are designated level 3. Id. § 168-1 (6).

B. This Lawsuit

On March 6, 1996, plaintiffs, sex offenders convicted before the Act went into effect, filed this action in this Court as a class action challenging the Act on ex post facto and due process grounds. Defendants agreed to be bound by the final decision in the case as to all members of the proposed class, and thus I did not need to decide the class certification request.

I granted plaintiffs' motions for an injunction and summary judgment on the grounds that the community notification provisions of the Act violated the ex post facto clause of the Constitution. Pataki 919 F.Supp. 691 (S.D.N.Y.1996); Pataki. II, 940 F.Supp. 603 (S.D.N.Y.1996). The Second Circuit reversed, rejecting plaintiffs' ex post facto challenge and holding that the Act was not punitive in nature. Pataki IV, 120 F.3d 1263 (2d Cir.1997). The Supreme Court denied plaintiffs' petition for a writ of certiorari, 522 U.S. 1122, 118 S.Ct. 1066, 140 L.Ed.2d 126 (1998), but later upheld a comparable statute, the Alaska Megan's Law, concluding that it was "nonpunitive" and that its retroactive application did not violate the ex post facto clause. Smith v. Doe, 538 U.S. 84, 105-06, 123 S.Ct. 1140, 155 L.Ed.2d 164 (2003).

As to plaintiffs' due process claims, in May 1998 I held that the Act did not comply with the requirements of due process and enjoined defendants from classifying class members at a risk level higher than level 1 unless they were reclassified by a court in accordance with procedures that provided due process of law. Pataki III, 3 F.Supp.2d at 479. Defendants filed a notice of appeal but later withdrew the appeal as the parties began settlement discussions. The discussions continued for months, as the proposed settlement required amendment of the Act to provide for certain due process protections (including, for example, the right to counsel). On August 2, 1999, a bill was proposed in the state senate to amend the Act to, inter alia, address the due process concerns raised by plaintiffs in this case. Governor Pataki signed the bill on September 2, 1999.¹

On November 22, 2000, the parties still had not finalized the settlement, and I issued an order dismissing the case without prejudice to reinstatement within sixty days if the parties were unable to execute a final settlement agreement. The parties did not execute a settlement agreement or request an extension of time within the sixty-day period. More than three years later, the parties finally completed their negotiations and returned to court to jointly request that I reinstate the action and "so order" their executed stipulation. On June 2, 2004, the parties submitted the Stipulation. On June 4, 2004, I issued an order reinstating the action in the interest of justice.² The same day, after carefully considering the Stipulation, I "so ordered" it.

C. The Stipulation

The Stipulation specifically incorporated this Court's rulings in Pataki III as to plaintiffs' due process rights, as detailed procedures were set forth to govern the process by which class members could have their risk levels reassessed. (See, e.g., Stip. pp. 2-3 & ¶¶ 1-2, 6, 8-9, 12-13). Class members who had been classified as level 1 remained a level 1. (Id. ¶ 1). Class members who had been classified as level 2 or 3 had a right to a redetermination of their risk level, pursuant to revised procedures that afforded due process. (Id. ¶ 2). Level 2 class members — and there were some 3,100 such individuals — could waive their right to a hearing and redetermination, thereby remaining at level 2. (O'Brien 1/23/06 Aff. ¶¶ 7, 12).

Paragraph 15 of the Stipulation is the key provision at issue on this motion. It provides:

If a plaintiff's risk level is determined to be a level 2, that plaintiff will be considered to be a level 2 offender as of March 11, 2002; therefore, the duration of the registration requirement will be 10 years from the date of his or her original registration. If a plaintiff's risk level is determined to be a level 3, that plaintiff will be considered a level 3 offender as of March 11, 2002, requiring lifetime registration with the possibility of relief from registration 13 years after the date of his or her original registration. If a plaintiff's risk level is reduced to a level 1, that plaintiff will be considered a level 1 offender as of March 11, 2002; therefore, the duration of the registration requirement will be ten years from the date of his or her original...