Fludd v. Goldberg

51 A.D.3d 153, 854 N.Y.S.2d 362
CourtAppellate Division of the Supreme Court of the State of New York
DecidedMarch 18, 2008
StatusPublished
Cited by5 cases

This text of 51 A.D.3d 153 (Fludd v. Goldberg) is published on Counsel Stack Legal Research, covering Appellate Division of the Supreme Court of the State of New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Fludd v. Goldberg, 51 A.D.3d 153, 854 N.Y.S.2d 362 (N.Y. Ct. App. 2008).

Opinions

OPINION OF THE COURT

Catterson, J.

The question raised by this CPLR article 78 proceeding is whether a trial court has “inherent power” to issue orders authorizing the Department of Correctional Services (hereinafter referred to as DOCS) to place an inmate in solitary confinement once the criminal proceeding has terminated by entry of judgment.

The criminal prosecution underlying this proceeding was commenced against petitioner Jo van Fludd in May 2005. The petitioner was charged with several counts of forgery on the grounds that he filed a series of false liens under article 1 of the Uniform Commercial Code. The petitioner filed the liens while he was incarcerated for a separate offense.1 The targets of the liens were New York County prosecutors and judges involved in the prosecution of the petitioner’s earlier offense.

On May 19, 2005, the petitioner was produced from state prison and arraigned on the false UCC-1 filings indictment. At the arraignment, the court issued an order prohibiting the petitioner from filing UCC-1 statements or any other specified Uniform Commercial Code forms, or civil litigation (except habeas corpus petitions) without leave of the court, and further limited his ability to make telephone calls, send letters, give materials to visitors, and obtain funds from his commissary account. The order also provided for the appointment of a Special Master to monitor the petitioner’s correspondence. The order, by its terms, was to remain in effect during the pendency of the criminal case. On January 20, 2006, the petitioner was convicted [155]*155of three counts of offering a false instrument for filing in the first degree (Penal Law § 175.35), three counts of falsifying business records in the first degree (Penal Law § 175.10), and one count of obstructing governmental administration in the second degree (Penal Law § 195.05).

After the petitioner’s conviction, and prior to sentencing, the People sought a subsequent order continuing the specific terms of his incarceration because it was “likely that the defendant [would] continue to engage in his criminal scheme” (emphasis added). On March 13, 2006, the respondent Justice granted the People’s request. Specifically, she announced that she would continue the substance and directives of the May 2005 pretrial order for the duration of the petitioner’s sentence.

The order did not include any provision for the petitioner’s placement in solitary confinement. It was not characterized as part of the petitioner’s sentence on his criminal convictions, nor did it provide petitioner with notice of the order, or an opportunity to be heard. Notably, the respondent Justice did not articulate any statutory authority for issuing such an order.

The next day, March 14, 2006, the petitioner was sentenced2 and placed in the custody of DOCS. Subsequently, while in custody, the petitioner continued his practice of filing false liens in violation of the March order. The petitioner also used another inmate’s name to mail letters. This is a prison disciplinary offense known as “kiting.” After a hearing officer at the prison sustained the charges against the petitioner for kiting the letters, he was placed in solitary confinement in the prison’s segregated housing unit.

Following an automatic administrative hearing held on September 11, 2006, DOCS was notified that regulations regarding placement of inmates in solitary confinement only allow for such placement where the inmate poses a threat or danger to the safety or security of the facility. DOCS then informed the respondent Justice that it could not effectively enforce the court’s March order unless it had a directive from the court to place the petitioner in solitary confinement, and it filed an application for a supplemental order providing it with such authorization.

On September 29, 2006, the respondent Justice granted the application. She issued the order ex parte without a hearing. [156]*156She stated, however, that it would be entered without prejudice to a defense motion for vacatur or modification. The order directed, inter alia, that:

“DOCS shall take such steps that it deems necessary, including placement of this defendant in restrictive housing, in order to limit his ability to have contact with other inmates through whom he may attempt to send out additional correspondence or whom he may convince to write to other persons on his behalf asking them to send out impermissible materials on his behalf.”

Citing her “inherent power” to issue such an order, the respondent Justice stated that “the restrictive confinement ordered herein is essential to that order [the March order] being carried out.” The order was modified by the court on December 5, 2006 to allow the petitioner to contact his attorney.

On December 11, 2006, the petitioner brought an order to show cause, seeking vacatur and modification of the March and September orders, on the grounds that the court exceeded the permissible scope of its jurisdiction and authority when it decided to retain control over petitioner’s case after pronouncing sentence. The motion was denied, and the instant article 78 proceeding ensued.

The petitioner argues that the respondent Justice lacks jurisdiction to issue orders after petitioner’s sentencing. He further argues that the respondent Justice did not have the authority to direct DOCS to enforce the March order and, in doing so, improperly relied on the court’s inherent power.

The Attorney General, appearing for the respondent Justice, argues that the March order was lawful and that she therefore had the inherent authority to do what is reasonably necessary to enforce its provisions by way of the September order. The Attorney General also maintains that DOCS had no plenary rule and that the situation she was presented with was best handled by an ad hoc court order.

For the reasons set forth below, we grant the petition.

As a threshold matter, it should be noted that the majority and dissent agree that the extraordinary remedy of prohibition is available under the circumstances of this case. Where a court acts or threatens to act either without jurisdiction or in excess of its authorized powers in a proceeding over which it has jurisdiction, the extraordinary remedy of prohibition lies. (Matter of Pirro v Angiolillo, 89 NY2d 351, 355 [1996].)

[157]*157The dissent also appears to agree that the respondent Justice exceeded the permissible scope of her jurisdiction and authority when she decided to retain control over the petitioner’s case after pronouncing sentence. Indeed, it is clear that the respondent Justice did not possess the requisite statutory authority to issue the September order which sought to dictate the conditions of the petitioner’s confinement. It is beyond cavil that a criminal action “terminates with the imposition of sentence or some other final disposition in a criminal court of the last accusatory instrument filed in the case.” (CPL 1.20 [16] [c].) The Criminal Procedure Law explicitly prohibits postjudgment interference by trial courts unless the court is specifically authorized by law to do so. (CPL 430.10.) Thus, absent a specific authorization by law, a trial court loses its authority to alter or dictate the terms of a defendant’s sentence or confinement once such sentence has commenced. (See Matter of Van Deusen v Zittell,

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Cite This Page — Counsel Stack

Bluebook (online)
51 A.D.3d 153, 854 N.Y.S.2d 362, Counsel Stack Legal Research, https://law.counselstack.com/opinion/fludd-v-goldberg-nyappdiv-2008.