Montane v. Evans

116 A.D.3d 197, 981 N.Y.S.2d 866
Appellate Division of the Supreme Court of the State of New York·Decided March 13, 2014·Published·Cited by 51 cases

Opinions

OPINION OF THE COURT

Peters, P.J.

Petitioner is currently serving a prison sentence of 3 to 9 years following his plea of guilty to conspiracy in the second degree in connection with his involvement in a major drug dealing operation. He appeared before the Board of Parole for the first time in April 2012, at which time the Board declined to release bim to parole supervision and ordered him held for an additional 24 months. Petitioner filed an administrative appeal and, when it was not decided within four months, he commenced this CPLR article 78 proceeding. Supreme Court granted the petition, finding that the Board improperly focused almost exclusively on the seriousness of petitioner’s crime and failed to properly consider other relevant factors. The court further concluded — relying on its prior decision in Matter of Morris v New York State Dept. of Corr. & Community Supervision (40 Misc 3d 226 [2013]) — that the Board had failed to promulgate “written rules” regarding risk and needs assessments as mandated by the 2011 amendment to Executive Law § 259-c (4) and that, in the absence thereof, the Board’s determination is “unlawful, arbitrary and capricious.” Accordingly, Supreme Court annulled the Board’s determination and directed that a new hearing be conducted. Respondent appeals.

Respondent contends that the 2011 amendment to Executive Law § 259-c (4) does not require the promulgation of formal rules and regulations regarding the procedures to be utilized in making parole release determinations, and that a written memorandum prepared and circulated to the members of the Board satisfied the requirements of the statute. Respondent further asserts that, on the merits, the Board’s decision denying parole should have been upheld, as it was issued in compliance with the statutory requirements of Executive Law § 259-i and was not irrational. We address these arguments in turn and, finding merit to each, we reverse.

Prior to the 2011 amendment, Executive Law § 259-c (4) required the Board to establish “written guidelines” to be used in making parole release decisions, and provided that such [200] guidelines “may consider the use of a risk and needs assessment instrument” to assist the Board (L 2011, ch 62, § 1, part C, § 1, subpart A, § 38-b). Respondent accordingly adopted 9 NYCRR 8001.3 (a), which included a grid setting forth guidelines to be used in determining the customary total time served before release. This Court concluded that such guidelines were “not meant to establish a rigid, numerical policy invariably applied across-the-board to all [inmates] without regard to individualized circumstances or mitigating factors” (Matter of Lue-Shing v Travis, 12 AD3d 802, 803 [2004], lv denied 4 NY3d 705 [2005] [internal quotation marks and citations omitted]). Accordingly, we concluded that the “written guidelines” did not constitute “rules” or “regulations,” and thus their validity was not dependent upon filing with the Secretary of State (id. at 803-804).

The 2011 amendment to Executive Law § 259-c (4) deleted the reference to “guidelines” and instead required the Board to establish “written procedures” to be used in making parole release decisions (see L 2011, ch 62, § 1, part C, § 1, subpart A, § 38-b). Such written procedures are intended to “assist” Board members “in determining which inmates may be released to parole supervision” (Executive Law § 259-c [4]). The amendment further specified that the procedures “shall incorporate risk and needs principles to measure the rehabilitation of persons appearing before the [B]card [and] the likelihood of success of such persons upon release,” and directed the development of an instrument capable of making a risk and needs assessment (Executive Law § 259-c [4], as amended by L 2011, ch 62, § 1, part C, § 1, subpart A, § 38-b; see Correction Law § 112 [4], as amended by L 2011, ch 62, § 1, part C, § 1, subpart A, § 19; Executive Law § 259-i [2]). Respondent issued a memorandum to Board members, dated October 5, 2011, specifically addressing the amendment to Executive Law § 259-c (4) and providing guidance concerning application of the statutory guidelines in light of the changes effectuated by the amendment.

Starting our analysis, as we must, with an examination of the language of the statute itself (see Commonwealth of the N. Mariana Is. v Canadian Imperial Bank of Commerce, 21 NY3d 55, 60 [2013]; Matter of Raynor v Landmark Chrysler, 18 NY3d 48, 56 [2011]), we find no indication that the amendment to Executive Law § 259-c (4) required the promulgation of formal rules and regulations. The plain language of the statute simply requires that the Board establish “written procedures” (Executive Law § 259-c [4]). Had the Legislature intended to require [201] that formal rules and regulations be promulgated, it could have explicitly said so, as it has in numerous other statutory provisions — including within neighboring provisions of the Executive Law addressing the Board’s authority and obligations (see Executive Law §§ 259-j [2] [“The chair() of the board of parole shall promulgate rules and regulations governing the issuance of discharges from community supervision”]; 259-k [2] [“The board shall make rules for the purpose of maintaining the confidentiality of records, information contained therein and information obtained in an official capacity by officers, employees or members of the board of parole”]; see e.g. Agriculture and Markets Law §§ 16-a, 63; Correction Law §§ 201, 203, 500-b, 803, 806; Education Law §§ 101-a, 112, 3602; Executive Law §§ 99, 146, 312, 314; Railroad Law § 97 [4]; Judiciary Law § 212 [21 [b]). The Legislature’s failure to do so here is a significant indication that it had no such intention to require that formal rules be promulgated (see Commonwealth of the N. Mariana Is. v Canadian Imperial Bank of Commerce, 21 NY3d at 60-61; People v Ortega, 69 NY2d 763, 765 [1987]; Matter of Hicks v New York State Div. of Hous. & Community Renewal, 75 AD3d 127, 132 [2010]; Matter of Batti v Town of Austerlitz, 71 AD3d 1260, 1262 [2010]; see also McKinney’s Cons Laws of NY, Book 1, Statutes §§ 74, 94).

Moreover, it is settled that

“ ‘only a fixed, general principle to be applied by an administrative agency without regard to other facts and circumstances relevant to the regulatory scheme of the statute it administers constitutes a rule or regulation’ that must be promulgated in conformance with article iy § 8 of the State Constitution and in substantial compliance with the State Administrative Procedure Act” (Matter of Medical Socy. of State of N.Y. v Serio, 100 NY2d 854, 868 [2003], quoting Matter of New York City Tr. Auth. v New York State Dept. of Labor, 88 NY2d 225, 229 [1996]; see Matter of Senior Care Servs., Inc. v New York State Dept. of Health, 46 AD3d 962, 964 [2007]).

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Montane v. Evans, 116 A.D.3d 197, 981 N.Y.S.2d 866 (N.Y. Ct. App. 2014).

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