Joel A. v. Giuliani

218 F.3d 132, 2000 WL 942918
CourtCourt of Appeals for the Second Circuit
DecidedJuly 10, 2000
DocketDocket No. 99-7218
StatusPublished
Cited by106 cases

This text of 218 F.3d 132 (Joel A. v. Giuliani) is published on Counsel Stack Legal Research, covering Court of Appeals for the Second Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Joel A. v. Giuliani, 218 F.3d 132, 2000 WL 942918 (2d Cir. 2000).

Opinion

JOHN M. WALKER, JR., Circuit Judge:

Intervenor-Plaintiffs-Appellants Joel A., Michael D., Eric R., David S., Maxx R., and Ray D. (the “Joel A. objectors” or “the appellants”) appeal from an order and [136]*136judgment of the United States District Court for the Southern District of New York (Robert J. Ward, District Judge) that approved a class action settlement between the class action plaintiff children and officials of New York City and New York State. The plaintiff class, consisting of children either in the custody of the New York City Administration for Children’s Services (“NYCACS” or “ACS”) or at risk of neglect or abuse and whose status is or should be known to NYCACS (collectively, “the plaintiffs”), alleged that they were deprived of appropriate city and state services and sought to hold accountable New York City Mayor Rudolph Giuliani, the Administrator of the Human Resources Administration and Commissioner of the Department of Social Services, Marva Livingston Hammons, the NYCACS Commissioner, Nicholas Scoppetta, as well as George E. Pataki, Governor of New York, and Brian Wing, Acting Commissioner of the Department of Social Services of the State of New York (collectively, “the defendants”). The appellants, a class represented by Joel A., unsuccessfully objected to a settlement between the plaintiffs and defendants on the ground that it imposes overbroad restrictions on the class members’ right of access to the courts for a specified period in exchange for illusory relief, and therefore that the district court abused its discretion in approving the settlement. Because we find that the district court did not abuse its discretion, we affirm the decision below.

BACKGROUND

The detailed allegations of the named plaintiffs, eleven children who claim they were deprived of the services of the New York City child welfare system to their extreme detriment, are fully set forth in the district court’s opinion, Marisol A ex rel. Forbes v. Giuliani, 929 F.Supp. 662, 669-72 (S.D.N.Y.1996) (“Marisol I”), and it is unnecessary to describe them further here. It will suffice to say that in December 1995, the plaintiffs, acting through their adult next friends, sought declaratory and injunctive relief against the defendants claiming injuries caused by systemic failures of the City’s child welfare system. The complaint charged that the defendants, in operating that system, had violated an array of federal and state laws, including the First, Ninth and Fourteenth Amendments to the United States Constitution, the Adoption Assistance and Child Welfare Act of 1980, 42 U.S.C. §§ 620-628, 670-679a, and the Child Abuse Prevention and Treatment Act, 42 U.S.C. §§ 5101-5106a, among others. See Marisol I, 929 F.Supp. at 672.

On June 18, 1996, the district court granted class certification under Fed. R.Civ.P. 23(b)(2) to a broad class of plaintiffs subject to the purview of the New York City Child Welfare Administration, currently known as ACS. The district court defined the class as “[a]ll children who are or will be in the custody of [ACS], and those children who, while not in the custody of ACS, are or will be at risk of neglect or abuse and whose status is known or should be known to ACS.” Marisol I, 929 F.Supp. at 693. We affirmed the certification, but directed the district court to break the class into various subclasses, and to identify for each subclass (1) the discrete legal claims at issue, (2) the named plaintiffs aggrieved under each such discrete claim, and (3) the subclasses represented by each named plaintiff. Marisol A. ex rel. Forbes v. Giuliani, 126 F.3d 372, 379 (2d Cir.1997) (per curiam) (“Marisol II”).

On remand, the district court certified three subclasses: (1) children whom the defendants know or should know have been abused or neglected/maltreated by virtue of a report of abuse or neglect/maltreatment; (2) children in families in which there is an open indicated report of abuse or neglect; and (3) children in the custody of ACS. Marisol A. v. Giuliani, No. 95 Civ. 10533(RJW), 1998 WL 199927, at *5 (S.D.N.Y. Apr.23, 1998) (“Marisol III”). In May 1998, the district court granted [137]*137intervention to three additional named plaintiffs and identified the subclasses they represented and the legal claims they asserted. Marisol A. v. Giuliani, No. 95 Civ. 10533(RJW), 1998 WL 265123, at *2-4 (S.D.N.Y. May 22, 1998) (“Marisol IV”). Although this process provided an opportunity for any objector to challenge the subclass designation, the Joel A. objectors, appellants here, did not challenge the adequacy of the class representatives nor appeal from the certification of the subclasses. There is no dispute that the Joel A. objectors are members of the third subclass of Marisol plaintiffs: children in the custody of ACS.

I. The Settlement Agreements

After more than two years of intensive discovery and on the eve of trial in July 1998, the parties informed the district court that they were engaged in settlement negotiations. The trial date was postponed and the parties conducted negotiations for over four months. On December 2, 1998, two settlement agreements signed by the appropriate parties were filed with the district court: the City Settlement Agreement and the State Settlement Agreement.

The City Settlement Agreement establishes an Advisory Panel of four experts in the child welfare field selected and approved by plaintiffs and the City defendants. The Advisory Panel is to study various areas of ACS’ operations, including permanency, placement and evaluation, and monitoring of private agencies, with the full cooperation of ACS, which agrees to provide the Panel with full access to information, documents, and personnel. The Advisory Panel is required to report on each of the enumerated areas and to determine whether ACS is making good faith efforts toward reform in those areas; if the Panel finds a lack of good faith, plaintiffs can seek judicial relief, using the Panel’s findings as prima facie evidence that ACS is not acting in good faith. Notably, the City Agreement also contains limitations on the filing of class action lawsuits through December 15, 2000, the date the Agreement expires.

The State Settlement Agreement establishes a regional office of the New York State Office of Children and Family Services (“OCFS”) in New York City to monitor and supervise child welfare services within the City, and provides for improvements to the State Central Register, the child abuse and neglect hotline. OCFS is also required to file fatality reports and undertake one or more case record reviews of ACS records in various areas, such as child protective services and cases of children in placement, to determine if ACS is complying with applicable laws and reasonable case work practice. The State Settlement Agreement also contains limitations on filing class action suits until December 31, 2000, the date the Agreement expires.

II. The Joel A. Objectors

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218 F.3d 132, 2000 WL 942918, Counsel Stack Legal Research, https://law.counselstack.com/opinion/joel-a-v-giuliani-ca2-2000.