Lucas v. Scully

521 N.E.2d 1070, 71 N.Y.2d 399, 526 N.Y.S.2d 927, 1988 N.Y. LEXIS 92
CourtNew York Court of Appeals
DecidedFebruary 11, 1988
StatusPublished
Cited by44 cases

This text of 521 N.E.2d 1070 (Lucas v. Scully) is published on Counsel Stack Legal Research, covering New York Court of Appeals primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Lucas v. Scully, 521 N.E.2d 1070, 71 N.Y.2d 399, 526 N.Y.S.2d 927, 1988 N.Y. LEXIS 92 (N.Y. 1988).

Opinion

OPINION OF THE COURT

Alexander, J.

This appeal involves a challenge to the constitutionality of certain regulations of the Department of Correctional Services governing inmate correspondence. The regulations — requiring that certain correspondence be submitted for mailing unsealed and subject to inspection, and that no material be included in an outgoing envelope if not specifically intended for the addressee — are said to impermissibly infringe upon the inmates’ freedom of expression.

Petitioner is an inmate at Green Haven Correctional Facility. On September 17, 1985, he submitted for mailing a sealed letter addressed to Time Life Books. The letter was returned to him by the prison correspondence department with a handwritten notation "Do not seal”. On November 8, 1985, petitioner submitted a letter addressed to Ms. Sheela Wood, and attached to the letter a disbursement form requesting that $1.50 be withdrawn from his inmate account and be made payable to Ms. Wood. This sum represented the fee charged by Ms. Wood for forwarding a letter to a person she had located who was interested in initiating pen pal correspondence. Petitioner did not seal the letter to Ms. Wood, but enclosed in her envelope a sealed letter intended for the potential correspondent. The envelope, its contents and attached form were returned to petitioner with a note indicating that the use of such a service was prohibited. In December 1985, in response to an advertisement in the classified section of a newspaper, petitioner submitted a sealed letter addressed to a post-office box number in care of the Middletown Times Herald Record. This letter also was returned with a note stating that it could not be sealed.

Petitioner contested the rejection of his letters through the appropriate grievance procedure. With respect to the first letter — addressed to Time Life Books — the administrative ba[403]*403sis advanced for rejection by respondent, Department of Correctional Services, was that it violated 7 NYCRR 720.3 (e) (4), which provided, at the time, that all mail addressed to a business entity must be submitted unsealed and is subject to inspection.1 Respondent’s ultimate reason for rejecting the second letter — addressed to Ms. Wood — was that it violated 7 NYCRR 720.3 (b) (17), which states: "An inmate shall not include any written material in outgoing mail not specifically intended for the addressee identified on the exterior of the envelope * * * This practice, sometimes known as 'kiting’, may be the basis for disciplinary action.”2 Finally, the third letter — addressed to a post-office box in care of the Middle-town Times Herald Record — was rejected on administrative review because it was addressed to a box number located in the classified department of a newspaper, and therefore was regarded as business mail required to be submitted unsealed.3

Petitioner instituted an article 78 proceeding challenging the constitutionality of the two regulations relied upon by respondent in rejecting the attempted correspondence. The thrust of petitioner’s claim is that the regulations impinge upon his First Amendment rights under the Federal and State Constitutions in that they chill speech by subjecting business mail to inspection, and foreclose all speech to certain individu[404]*404als by effectively frustrating an inmate’s ability to respond to "personals” advertisements appearing in newspapers or magazines, or to engage the services of those who organize the establishment of pen pal correspondence.

Supreme Court dismissed the petition, finding any intrusion on the speech of inmates to be minimal and, in any event, justified by respondent’s legitimate interests in security, order and rehabilitation. After converting the proceeding to an action for declaratory judgment, the Appellate Division affirmed, holding that petitioner had "failed to establish that he has a 1st Amendment right to engage in business correspondence” (125 AD2d, at 572), that the regulations at issue are not content restrictions, and that petitioner’s First Amendment rights were therefore not implicated. That court concluded that the regulations were rational and furthered legitimate government objectives. We conclude, however, that the challenged regulations do implicate First Amendment interests, but that under the appropriate standard of review, the regulations do not unconstitutionally abridge petitioner’s right to freedom of expression. The order of the Appellate Division should therefore be modified accordingly.

Initially, we reaffirm the settled principle that while incarceration results in the withdrawal or limitation of many rights, inmates retain those rights guaranteed by the First Amendment, and may exercise them to the extent it would not be inconsistent with their status as prisoners and with the legitimate restrictions imposed by confinement (Turner v Safley, 482 US —, 107 S Ct 2254; Pell v Procunier, 417 US 817; Matter of Doe v Coughlin, 71 NY2d 48; Matter of Rivera v Smith, 63 NY2d 501). The conclusion of the Appellate Division that the regulations at issue do not implicate any First Amendment interests appears to be predicated upon the assumption that all speech addressed to a business entity is of a business or commercial nature not entitled to the benefit of First Amendment protection. It may no longer be disputed, however, that commercial speech — although not vested with full First Amendment stature — is entitled to a certain degree of protection (see, Central Hudson Gas & Elec. v Public Serv. Commn., 447 US 557, 561-562; Virginia Pharmacy Bd. v Virginia Consumer Council, 425 US 748; Matter of von Wiegen, 63 NY2d 163, 170). More importantly, however, it is evident that not all letters addressed to a business enterprise necessarily contain only commercial speech. It is quite possible, as petitioner argues, that an inmate might write to a business [405]*405entity concerning issues of a substantially political nature such as discrimination or environmental policies. Such speech unquestionably would be protected under the First Amendment (see, Buckley v Valeo, 424 US 1, 14; Roth v United States, 354 US 476, 484). A regulation requiring business mail to be submitted unsealed and subject to inspection, although not content-based (see, e.g., Wolff v McDonnell, 418 US 539, 576 [freedom from censorship not equivalent to freedom from inspection]), nonetheless may sufficiently chill free and open expression so as to implicate First Amendment concerns (see, Procunier v Martinez, 416 US 396, 423 [Marshall, J., concurring] [inmate’s free and open expression restrained by knowledge that every word may be read by jailors]). Although content-neutral, respondent’s prohibition on "kiting” restricts the manner of speech and therefore also implicates First Amendment interests (see, Heffron v International Socy. for Krishna Consciousness, 452 US 640; Consolidated Edison Co. v Public Serv. Commn., 447 US 530, 535; see generally, 3 Rotunda, Nowak and Young, Constitutional Law, Substance and Procedure § 20.47 [time, place, manner restraints]).

The standard for assessing the validity of prison regulations that infringe on inmates’ constitutional rights has been articulated by the Supreme Court as follows: "when a prison regulation impinges on inmates’ constitutional rights, the regulation is valid if it is reasonably related to legitimate penological interests” (Turner v Safley, 482 US —, 107 S Ct 2254, 2261,

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Bluebook (online)
521 N.E.2d 1070, 71 N.Y.2d 399, 526 N.Y.S.2d 927, 1988 N.Y. LEXIS 92, Counsel Stack Legal Research, https://law.counselstack.com/opinion/lucas-v-scully-ny-1988.