Greenberg v. Veteran Notice of Motion for Supplement Record
Public Court Documents
June 8, 1989
Cite this item
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Brief Collection, LDF Court Filings. Greenberg v. Veteran Notice of Motion for Supplement Record, 1989. a8f76558-b49a-ee11-be36-6045bdeb8873. LDF Archives, Thurgood Marshall Institute. https://ldfrecollection.org/archives/archives-search/archives-item/a606e70e-4a04-49d5-822f-6378d04f738c/greenberg-v-veteran-notice-of-motion-for-supplement-record. Accessed December 07, 2025.
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10/82 United States Court of Appeals
FOR THE SECOND CIRCUIT
« 1 P A G E I
Second C ircu it Rule 2 "(a i governing
use o f this form is reprim ed on reverse of
Page 2 Note requiremen! that supporting
a ffidav its he attached
In re Greenberg and Mulligan,
Plaintiffs-Appellees,
v.
Veteran and Tolchin,
Defendant-Appellants
Use short title
_________89-7476________
D t x i e i \ um ber
NOTICE OF MOTION
slate type o f motion
for Supplement record
MOTION BY: (Name and tel. no. o f taw firm and o f attorney
in charge o f case)
Paul Agresta, Town Attorney
Town of Greenburgh
P.O. Box 205
Elmsford, New York 10523
914-993-1546Has consent of opposing counsel:
A. been sought? X Yes □ No
B. been obtained? X Yes Z j No
Has service been effected? X Yes ' ; No
Is oral argument desired? L_2 Yes X No
(Substantive motions only)
Requested return date: June 6 , 19 8 9
(See Second Circuit Rule 27(b))
Has argument date of appeal been set:
A. by scheduling order? X Yes Z No
B. by firm date of argument notice? □ Yes X No
C. If Yes, enter date: W e e k O f A u g .__ 1 4 ____________
Judge or agency whose order is being appealed.
7
OPPOSING COUNSEL: (Name and tel. no. o f law firm and
o f attorney in charge o f case)
Jonathan Lovett
Lovett & Gould
180 East Post Road
White Plains, New York 10601
914-428-8401
EMERGENCY MOTIONS, M OTIONS FOR STAYS &
INJUNCTIONS PENDING APPEAL
Has request for relief been made below? Z Yes X No
(See F .R .A .P Rule 8)
Would expedited appeal eliminate need
for this motion?
If No, explain why not: Appellant this uncontested motion promptly because filingapproaching.
Wilrthe parties agree to maintain the
status quo until the motion is heard?
Inapplicable.
□ Yes X No
seeks to hawdecideddate is
□ Yes No
Judge Goettel (S.D.N.Y.)______________________________________________________
Brief statement of the relief requested:
Appellants seek to supplement record to add complaint in related case
relied on by court below. Opposing counsel consents to relief sought.
Complete Page 2 of This Form
By: (Signature o f attorney)
Signed name must be printed beneath
Paul Agresta______
Kindly leave this space blank
Appellant or Petitioner:
Z Plaintiff XX Defendant
Appellee or Respondent:
_ Plaintiff Z Defendant
Date
June , 1989
----- ORDER ----
Appearing for: (Name o f party)
Anthony Veteran,
Susan Tolchin
IT IS HEREBY ORDERED that the motion
be and it hereby is granted denied
Date C ircu ii Judge
PAG! 2
Previous requesis for similar relict and disposit ion: Appellants sought the Same relief in a
motion dated May 17, 1989, filed with this Court. The Clerk s office
rejected that motion by letter dated May 24, 1989 because it was
included with a motion to consolidate this appeal with a forthcoming
mandamus petition.
Statement of the issuc(s) presented b> this motion: Should record on appeal be supplemented to
include complaint in a related case relied on by the court below.
Brief statement of the facts {with page references to the moving papers): Def endantS-Appe 1 lantS removed
this case from state court under provisions conferring jurisdiction in
certain civil rights actions and in federal question cases. The court
below held that civil rights jurisdiction was lacking, and that it^should
abstain from exercising federal question jurisdiction. Having decided
to abstain, the court remanded. (Agresta Affidavit 1111 8-10)
Summarv of the argument (with page references to the moving papers):This case was one of two related cases below. The court below relied
on the complaint in the related case for background facts and referred
to it in its decision. (Agresta Affidavit 1111 7, 12) Thus, that
complaint should be readily available to this Court on this appeal.
Opposing counsel has consented to the relief sought.
Because there is no opposition, and because joint appendix and
Appellants brief are due June 19, 1989, Appellants apply for a
June 6, 1989 return date.
UNITED STATES COURT OF APPEALS
FOR THE SECOND CIRCUIT
______________________________________________ _
In the Matter of the Application
of MYLES GREENBERG and FRANCES M. :
MULLIGAN,
Plaintiffs-Appellees,
Docket No. 89-7476
AFFIDAVIT
-against-
ANTHONY F. VETERAN and
SUSAN TOLCHIN,
Defendants-Appellants.
__________________________________________ _
STATE OF NEW YORK )) ss. :
COUNTY OF WESTCHESTER )
PAUL AGRESTA, being sworn, states:
1. I am Town Attorney for the Town of Greenburgh,
counsel for Defendants-Appellants Anthony F. Veteran (the
"Town Supervisor") and Susan Tolchin. ^ I submit this
affidavit in support of the Town Supervisor's motion to
supplement the record on this appeal to include the complaint
in a related action, Jones v. Deutsch, 88 Civ. 7738 (GLG)
(S.D.N.Y.), which was also before the Court below, and which
the Court below considered in connection with the order
Susan Tolchin, the Town Clerk, is a nominal party, whose
interests are aligned with those of the Town Supervisor.
For simplicity's sake, I will refer only to the Town
Supervisor.
2
appealed from. Opposing counsel has consented to the relief
sought. For this reason — and because the dates for filing
the record (June 12) and the joint appendix and Appellants'
brief (June 19) are rapidly approaching — I respectfully ask
that the Court hear this motion on a shorter time schedule
than would ordinarily be followed.
2. This appeal arises from an order of the United
States District Court for the Southern District of New York,
which remanded a removed proceeding to the New York State
Supreme Court. (Annexed Exhibit 1) Part of the order below
held that there was no basis for removal, and it is appeal-
able as of right under a statutory provision applicable only
to the remand of civil rights actions. See 28 U.S.C. §§
1443 and 1447(d).
Summary of the Case
3. The District Court aptly captured the essence
of the controversy underlying the litigation:
This case, at its core, is unmistakably a product
of the "NIMBY Syndrome" — i.e., that syndrome_
triggered by proposals to locate prisons, public^
housing, waste facilities, and other such community
additions usually perceived by the targeted commu
nity as undesirable, the abiding characteristic of
which is to ensure that the proposed facility be
placed somewhere if it must but "Not In My Back
Yard." The public project at issue here is the
proposed construction of emergency housing for the
homeless. (Exhibit 1, pp. 2-3; emphasis in origi
nal)
3
4. Announced in early 1988, the proposed shelter
is part of a County of Westchester/Town of Greenburgh effort
to house homeless families with children — overwhelmingly
members of racial minorities. Community resistance developed
immediately; it includes an effort to assume control of the
development site by incorporating a new village, pursuant to
the New York Village Law. As a leading proponent of the new
village has said; "We'll go ahead with secession and take a
nice piece of taxable property with us." (Annexed Exhibit 2,
1 23)
5. Before the secession could proceed, however,
state law required the Town Supervisor to consider the
petition to incorporate. After studying the proposed village
map and holding a hearing, the Town Supervisor concluded that
"[i]n the entire 30 years during which I have held elective
office I have never seen such a blatant and calculated
attempt to discriminate" on grounds of race. (Annexed
Exhibit 3, p. 2) Thus, finding a racially discriminatory
impact, as well as several other state law deficiencies in
the petition to incorporate, the Town Supervisor rejected the
attempt to secede.
6. Appellees thereupon filed this proceeding in
the Westchester County Supreme Court, pursuant to Article 78
of the New York Civil Practice Law and Rules. The Article 78
petitioners seek to overturn the Town Supervisor's decision,
4
alleging, among other claims, that the New York Village Law
does not authorize rejecting an incorporation effort on
grounds of invidious discrimination.
Proceedings in the District Court
7. On November 1, 1988, an alliance of community
blacks, homeless persons with families, the White
Plains/Greenburgh branch of the National Association for the
Advancement of Colored People, Inc. and the National Coali
tion for the Homeless filed suit in the Southern District of
New York against proponents of the secession, and the Town
Supervisor. That action, Jones v. Deutsch, 88 Civ. 7738
(GLG) (Exhibit 2), alleges civil rights conspiracy claims
arising under 42 U.S.C. § 1985(3). It also seeks a declara
tory judgment affirming the Town Supervisor's right and
obligation to reject the incorporation petition. Upon its
filing, the case was assigned to Judge Goettel.
The Filina and Removal of this Case
8. A few weeks after Jones was filed, the Town
Supervisor rendered his decision. (Exhibit 3) This state
court Article 78 proceeding followed, and the Town Supervisor
filed a petition removing it to the Southern District of New
5
York. Upon removal, the Article 78 proceeding was assigned
2 /to Judge Goettel as a case related to Jones.— '
9. As authority for removal, the Town Supervisor
relied in part on the "refusal clause" of 28 U.S.C.
§ 1443(2), a provision applicable to civil rights actions.
In pertinent part, the statute provides that:
Any of the following civil actions . . . may be
removed by the defendant to the district court of
the United States for the district and division
embracing the place wherein it is pending:
* * *
(2) For any act under color of authority derived
from any law providing for equal rights, or for
refusing to do any act on the ground that it would
be inconsistent with such law.
The Town Supervisor also invoked federal question removal
jurisdiction under 28 U.S.C. § 1441(b), based on an Article
78 proceeding claim that he had violated the secessionists'
First Amendment rights. Section 1441(b), in relevant part,
provides that:
Any civil action of which the district courts have
original jurisdiction founded on a claim or right
arising under the Constitution, treaties or laws of
2/ Besides the Town Clerk of Greenburgh, hundreds of
opponents of secession are also named respondents in the
Article 78 proceeding. Some of these respondents
(including the plaintiffs in Jones) joined the removal
petition below. Although not formal parties on these
appellate proceedings, these additional removing parties
are aligned in interest with the Town Supervisor.
6
the United States shall be removable without regard
to the citizenship or residence of the parties.
The Remand Decision Below
10. The Article 78 petitioners did not seek to
remand. However, the District Court sua sponte directed the
parties to address whether removal was appropriate and
whether the Court should abstain under the doctrine of
Railroad Commission of Texas v. Pullman Co., 312 U.S. 496
(1941). After oral presentations and written submissions,
the Court below issued its decision. (Exhibit 1) Remanding
the case, in summary, the Court below: (a) rejected removal
under the refusal clause of § 1443(2); and (b) as to federal
3/question removal, invoked the Burford abstention doctrine.
11. The Town Supervisor has filed a notice of
appeal from that part of the District Court's order rejecting
removal under the refusal clause of § 1443(2). That appeal
is authorized by 28 U.S.C. § 1447(d), which provides that a
remand order in a case which "was removed pursuant to section
1443 of this title shall be reviewable by appeal or other
wise." The Town Supervisor also intends to file ^ petition
for a writ of mandamus to review that part of the order below
3/ See Burford v. Sun Oil Co., 319 U.S. 315 (1943) .
7
abstaining on Burford grounds. See Corcoran v. Ardra Ins.
Co.. 842 F .2d 31 (2d Cir. 1988).
The Relief Sought On This Motion:
Supplementing the Record to Include the Jones Complaint
12. The relief sought is in the nature of house
keeping. We ask leave to supplement the record to the extent
of including the complaint in Jones v. Deutsch, 88 Civ. 7738
(GLG) (Exhibit 2). That complaint was before the District
Court since the two matters here are related. The Court
below referred to Jones in its remand decision (Exhibit 1,
pp. 4-5, 6 & fn. 3, 29 & fn. 11), and plainly relied in part
on the allegations in that case for background facts that
appear in its decision. In these circumstances, that same
pleading should be before this Court, conveniently available,
on the Town Supervisor's appeal.
13. To reiterate, opposing counsel does not object
to our application, and the record must be filed by June 12,
1989. Our appeal papers also are due by June 19, 1989.
Accordingly, I respectfully request that our motion be
promptly heard by the Court, and granted.
Paul Agresta
Sworn to before me this
____ day of June 1989.
Notary Public
Exhibit 1
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
In the Matter of the Application :
of MYLES GREENBERG and FRANCES M.
MULLIGAN, :
Petitioners, : 89 Civ. 0591 (GLG)
-against- : O P I N I O N
ANTHONY F. VETERAN, et al., :
Respondents. :
A P P E A R A N C E S :
Counsel for Petitioners:
LOVETT & GOULD
180 East Post Road *
White Plains, New York 10601
By: Jonathan Lovett, Esq.
Of Counsel
Counsel for Respondents Anthony F. Veteran and
Susan Tolchin:
PAUL AGRESTA, ESQ.
Town Attorney
Town of Greenburgh
P.O. Box 205
Elmsford, New York 10523
Counsel for Respondents Keren Developments, Inc.
and Robert Martin Company:
CUDDY & FEDER
90 Maple Avenue
White Plains, New York 10601
By: Ruth E. Roth, Esq.
Of Counsel
Counsel for Respondent Ruth E. Roth (Pro Se):
RUTH E. ROTH, ESQ.
90 Maple Avenue
White Plains, New York 10601
Counsel for Respondents Anita Jordan, April Jordan,
Latoya Jordan, Anna Ramos, Lizette Ramos,
Vanessa Ramos, Gabriel Ramos, Thomas Myers,
Lisa Myers, Thomas Myers, Jr., Linda Myers\
Shawn Myers, and National Coalition for the Homeless:
-and-
Local Counsel for Respondents Yvonne Jones, Odell A.
Jones, Melvin Dixon, Geri Bacon, Mary
Williams, James Hodges and National
Association for the Advancement of
Colored People, Inc.
White Plains/Greenburgh Branch:
PAUL, WEISS, RIFKIND, WHARTON & GARRISON
1285 Avenue of the Americas
New York, New York 10019
By: Jay L. Himes, Esq.
Cameron Clark, Esq.
Melinda S. Levine, Esq.
William N. Ger=»on, Esq.
Of Counsel * *
Counsel for Respondents Yvonne Jones, Odell A. Jones,
Melvin Dixon, Geri Bacon, Mary Williams/
James Hodges and National Association for
the Advancement of Colored People, Inc.
White Plains/Greenburgh Branch:
GROVER G. HANKINS, ESQ.
NAACP, Inc.
4805 Mount Hope Drive
Baltimore, Maryland 21215-3297
By: Robert M. Hayes, Esq.
Virginia G. Shubert, Esq.
COALITION FOR THE HOMELESS
105 East 22nd Street
New York, New York 10010
Julius L. Chambers, Esq.
John Charles Boger, Esq.
Sherrilyn Ifill, Esq.
99 Hudson Street
New York, New York 10013
Andrew M. Cuomo, Esq.
12 East 33rd Street - 6th Floor
New York, New York 10016
Of Counsel
G O E T T E L , D.J.:
Federalism is a concept whose vitality is perceived by some
to be rather fluid. There are those, for example, who believe it
worthy only of lip service and that, as a general proposition, if
a matter may be brought in a court it may be brought in federal
court. To that thinking, the retort is quite simple: "federal
courts are courts of limited jurisdiction."1 Still others, while
cognizant of the notion's existence, perceive its recognition as
"seasonal" in nature, going in and out of style with the
philosophical predilections of a given administration and the
quantity and temperament of its judicial appointments. As to that
point of view, we note only that the document serving as
federalism's source is entitled to greater deference than the whims
* •
of current majoritaxian thinking.
There are those, however, who share our view that federalism
is a neutral constant of federal jurisprudence, the necessary
product of our dualist system. The proceeding before us is rife
with federalist implications, and it is our recognition of and
respect for those concerns which shapes and guides our handling of
the matter.
New York has provided an avenue for judicial review of state
and municipal administrative action under N.Y. Civ. Prac. L. & R.
("NYCPLR") §§ 7801-06 (McKinney 1981 & Supp. 1989), the so-called
Article 78 proceeding. Judicial review under these provisions
1 Owen Equip. & Erection Co. v. Kroger. 437 U.S. 365, 374
(1978) .
1
generally is limited to determining whether the official's actions
constituted an abuse of discretion, were unsupported by sufficient
evidence, or were contrary to existing law. id. at § 7803.
Although an Article 78 proceeding cannot be initiated in federal
court, Chicaqo,— Rock Island & Pacific R.R. Co. v. Stude. 34 6 U.S.
574, 581 (1954) , it is contended that such a proceeding nonetheless
may be removed here so long as a federal question is asserted in
the Article 78 petition — apparently no matter how tangential or
attenuated or if the respondents allegedly were acting pursuant
to federal law protecting equal rights — even if that law
parallels similar state law mandating like action.
As will become clear, we harbor certain reservations as to
this interest in "federalizing'; Article 78 proceedings generally
and this proceeding in particular. Fortunately, at least in this
case a solution presents itself. Animated chiefly by due respect
for the principles of comity and federalism that serve as the
essential bedrock for healthy federal-state relations, we find that
abstention is proper in this case and, consequently, we remand the
matter sua sponte to the court from whence it originated and
belongs (in our view) — the New York Supreme Court for the County
of Westchester. I.
I. BACKGROUND
This case, at its core, is unmistakably a product of the
NIMBY Syndrome" i.e., that syndrome triggered by proposals to
locate prisons, public housing, waste facilities, and other such
2
community additions usually perceived by the targeted community as
undesirable, the abiding characteristic of which is to ensure that
the proposed facility be placed somewhere if it must but "Not In
My BackYard." The public project at issue here is the proposed
construction of emergency housing for the homeless.
In January of last year, the Town of Greenburgh, in
conjunction with the County of Westchester, proposed to build
emergency or "transitional" housing to accommodate 108 homeless
families on land owned by the County in the Town. The proposed
developer is West H.E.L.P., Inc. ("West HELP"), a not-for-profit
corporation formed for the express purpose of constructing housing
for the homeless of Westchester County. It is generally
acknowledged that the vast majority of homeless people who would* «
gualify for residence in the West HELP project are minorities,
specifically blacks.
In response to that announcement, a number of Greenburgh
residents living in the area immediately surrounding or adjacent
to the proposed site formed the Coalition of United Peoples, Inc.
("COUP"). COUP'S purpose, de facto or otherwise, is to coordinate
opposition to the West HELP project and, most importantly, to
ensure that the project is not constructed in COUP'S backyard. As
part of those efforts, COUP began a drive under N.Y. Village Law
§§ 2-200 to 2-258 (McKinney 1973 & Supp. 1989) (the "Village Law")
to incorporate an area encompassing the proposed West HELP project
as a separate village to be denominated the Village of Mayfair
3
Knollwood.2 On September 14, 1988, pursuant to section 2-202 of
the Village Law, COUP presented an incorporation petition to
Greenburgh Town Supervisor Tony Veteran, whose responsibility it
is in the first instance to determine whether the petition complies
with the requirements of the Village Law. In accord with section
2-204 of the Village Law, a public hearing on the matter was
conducted on November 1 at which oral testimony was received. Town
Supervisor Veteran then adjourned conclusion of the hearing until
November 21 for the sole purpose of entertaining written comments
on the petition.
Also on November 1, and prior to any decision by Town
Supervisor Veteran on the merits of the petition, various citizens
of the Town of Greenburgh, a nujnber of homeless people living in♦ «
Westchester County," the National Association for the Advancement
of Colored People, and the National Coalition for the Homeless
joined forces as plaintiffs in a federal action in this court
against COUP, certain of its members, and Town Supervisor Veteran.
Jones v. Deutsch. No. 88 Civ. 7738 (GLG). The complaint alleges,
inter alia , a civil rights conspiracy amongst the named defendants
pursuant to 42 U.S.C. § 1985, the ostensible purpose of which is
to deprive plaintiffs of voting, housing, and emergency-shelter
Just how incorporation of the proposed village would
obstruct construction of housing for the homeless on what is
admittedly County-owned property is not entirely clear to us.
Presumably, COUP believes that leaders of the newly formed village
would be able to so bog down and delay approval of necessary zoning
and other permits that pursuit of the project would become
undesirable.
4
rights grounded in federal and state law. Plaintiffs also sought
a declaratory judgment directing that Town Supervisor Veteran
reject the allegedly discriminatory incorporation petition,
contending that such a result would be consistent with the proper
execution of his oath of office. The COUP defendants moved to
dismiss that action on various grounds (among them ripeness and
standing). The motion was adjourned sine die pending determination
of the instant matter, which had been removed to this court during
the interim.
Town Supervisor Veteran, apparently not in need of a federal
court order controlling his actions, issued a decision on December
1, 1988 rejecting COUP'S incorporation petition (the "December 1
Decision"). In a carefully worded opinion, six specific grounds* •
were enumerated as the bases for the decision:
(1) the proposed boundaries are not described with "common
certainty," as required by section 2-202 of the Village Law;
(2) the proposed boundaries, where ascertainable, evidence an
intent to discriminate and are gerrymandered to exclude black
residents, rendering the petition violative of "rights granted by
the federal and state constitutions";
(3) the petition was prepared for the invidious purpose of
"preventing the construction of transitional housing for homeless
families," rendering it violative of "rights granted by the federal
and state constitutions";
(4) substantial petition signatures were obtained under false
pretenses;
5
(5) substantial petition signatures are irregular; and
(6) numerous Town residents (particularly newer residents)
are not identified as would-be inhabitants of the proposed village,
as required by section 2—202 of the Village Law.
Under the express provision of section 2-210 of the Village
Law, review of a town supervisor's decision on an incorporation
petition may be had only through an Article 78 proceeding on
grounds that the decision "is illegal, based on insufficient
evidence, or contrary to the weight of evidence." Eleven days
after Town Supervisor Veteran issued his decision on the COUP
petition, two COUP members instituted an Article 78 proceeding in
New York Supreme Court challenging that decision. On January 30
of this year, the respondents in that proceeding filed a petition* * «
for removal in the Southern District of New York, designating the
matter as related to the pending Deutsch action.
Urging that the December 1 Decision be reversed and the
petition to incorporate the Village of Mayfair Knollwood be
sustained, the Article 78 petition sets forth five specific bases
allegedly supporting the relief requested:
(1) since section 2-206(3) of the Village Law requires that
testimony offered at a petition hearing "must be in writing" and
that the "burden of proof shall be on objectors," and since only
oral testimony was taken at the November 1 hearing, Veteran's 3
3 Principally as a result of that action, an̂ amended
complaint was filed in the Deutsch action which, inter alia, drops
defendant Veteran as a member of the alleged civil rights
conspiracy.
6
actions were contrary to the requirements of the Village Law and
thus illegal or, alternatively, his decision was not supported by
sufficient evidence?
(2) since a town supervisor's authority under section 2-206
of the Village Law to review incorporation petitions allegedly is
strictly ministerial (i.e., limited to assessing the validity of
only those objections related to petition requirements set forth
by the statute), and because the statute does not provide for an
examination of or inquiry into the petitioners' intent, Veteran's
decision is illegal because it went beyond the scope of his
ministerial authority or, alternatively, his perceptions of
discriminatory intent are not supported by sufficient evidence;
(3) since under section 2-206 of the Village Law the sole* •
evidence Veteran purportedly was allowed to consider was that
adduced at the November 1 public hearing and reduced to writing,
his reliance on material received during the period he allowed for
further written comment between November 1 through 21 renders his
decision illegal or, alternatively, contrary to the weight of the
objecting evidence received at the November 1 hearing;
(4) since no objections allegedly were filed with respect to
the means by which petition signatures were gathered or as to the
sufficiency of the list of regular inhabitants, Veteran's decision
is illegal or is unsupported by sufficient evidence; and
(5) since the petitioners' opinions, motives, or intentions
are matters allegedly protected by the First Amendment of the
7
United States Constitution, Veteran's decision violates those
rights.4
Freely expressing our doubt as to the propriety of removal in
this case, a conference in chambers was scheduled to discuss, inter
alia. (i) whether, as a general proposition, Article 78 proceedings
may be removed to federal court, (ii) if so, whether removal in
this case is justified under either of the pertinent statutory
provisions invoked, to be discussed infra. and (iii) whether,
assuming the instant proceeding can be removed, principles of
abstention dictate that we stay our hand or dismiss in deference
to a state proceeding addressing some or all of the issues raised.
Memoranda and letters on these subjects were submitted to the
court prior and subsequent to tĥ e. scheduled conference. Generally,
all parties are of the belief that the Article 78 proceeding at bar
could be and properly was removed, and only counsel for the Article
78 petitioners expressed any concern as to possible abstention
implications. In sum, it is readily apparent that the parties are
content to be before this court and believe that this court is the
proper forum in which to address the Article 78 matter; no motion
to remand is contemplated. Notwithstanding this state of affairs,
but consistent with the primacy of this court's obligation to
protect its jurisdiction, the court has engaged in its own research
4 As discussed infra, we add only that it appears certain
of the questions bearing on the legality of the procedures employed
and whether Veteran exceeded the scope of his authority under the
Village Law are unsettled questions of New York law (indeed, from
what we are told by petitioners' counsel, certain of the state
questions may be matters of first impression).
8
on the matter. See Railway Co. v. Ramsey. 89 U.S. (22 Wall.) 322,
328 (1874) (noting court's authority to remand sua sponte if
jurisdiction is found lacking); Cutler v. Rae, 48 U.S. (7 How.)
729, 731 (1849) (holding consent of parties does not confer federal
jurisdiction; it remains "duty of this court to take notice of the
want of jurisdiction, without waiting for an objection from either
party"). Finding that, even if this proceeding properly was
removed, we should abstain pursuant to familiar jurisprudential
considerations, we now remand this proceeding sua sponte. See
Corcoran v. Ardra Ins. Co.. 842 F.2d 31, 36-37 (2d Cir. 1988)
(holding "that when the district court may properly abstain from
adjudicating a removed case, it has the power to remand the case
to state court"). * II.
II. DISCUSSION
The right to remove a state case to federal court is, of
course, a unique incident to our federalist system with no
antecedent at common law. Consequently, removal must be founded
upon one of the statutory bases provided by Congress. Gold-Washing
and Water Co. v. Keves. 96 U.S. 199, 201 (1877) . The instant
petition invokes two such statutory provisions. First, the Article
78 respondents contend that removal is warranted under the
infrequently utilized "refusal clause" of the civil rights removal
statute, 28 U.S.C. § 1443(2). Second, it is contended that the
assertion of the First Amendment challenge to the December 1
Decision presents a federal question and warrants removal under the
9
general federal removal statute, 28 U.S.C. § 1441(b). We
consider each of these provisions in turn.
a. 28 U.S.C. $ 1443(2 )
Respondents devote the lion's share of their argument to the
propriety of removal in this case under the refusal clause of the
civil rights removal statute. The refusal clause permits removal
in those cases where a person acting "under color of authority" is
"refusing to do any act on the ground that it would be inconsistent
with [federal law providing for equal rights]." Of the precedent
that exists construing this awkwardly worded statute, perhaps the
two leading decisions were rendered by two of this circuit's most
learned and respected jurists.^.
Certainly, the most complete analysis of the statute provided
to date in any circuit is then District Judge Newman's opinion in
Bridgeport Edu. Ass'n v. Zinner. 415 F. Supp. 715 (D. Conn. 1976),
which sets out the criteria to be employed in a refusal clause
analysis. Generally adopting what he termed Judge Newman's
"exhaustive and scholarly review of the subject," now Chief Judge
Brieant, sitting by designation and writing for the two-member
majority in White v. Wellington. 627 F.2d 582 (2d Cir. 1980),
succinctly summarized the relevant inquiry: the refusal clause
"may be invoked when the removing defendants [state or municipal
officials] make a colorable claim that they are being sued for not
acting 'pursuant to a state law which, though facially neutral,
would produce or perpetuate a racially discriminatory result as
10
applied.'" Id. at 586 (quoting Zinner. 415 F. Supp. at 722). The
statute is exceptional in that it allows the presence of a federal
defense to control the question of jurisdiction. Zinner. 415 F.
Supp. at 723 n. 7 (citing Louisville & Nashville R.R. v. Mottlev.
211 U.S. 149 (1908)).
Recognizing, we think, that the statute, if left open-ended,
could lead to the "federalization" of standard state cases
involving challenges to official state or municipal action, an
important limitation (consistent with the existing legislative
history) has been read into the law's meaning. To state a
"colorable claim" under the statute, the removal petition must
contain a good faith allegation that there exists a conflict
between the state law in issue and a federal law protecting equal* «
rights. As Chief Judge Brieant put it, the removal petition must
allege "a colorable claim of inconsistent state/federal
requirements." Wellington. 627 F.2d at 587. See also Armeno v.
Bridgeport Civil Serv. Comm'n. 446 F. Supp. 553, 557 (D. Conn.
1978) (Newman, J.) (noting refusal clause permits removal when
official "declined to observe state requirements that he believes
are inconsistent with the obligations imposed on him by a federal
law protecting equal rights"). The basis of the conflict
requirement seems self-evident: without a colorable federal-state
conflict, the need to remove to federal court to ensure the proper
vindication of superior federal mandates is not manifested. When
federal and state interests are compatible, the state court is
poised to assure that the defendant's parallel justification for
11
action under state law is given proper consideration. cf.
ington, 627 F.2d at 590 (Kaufman, J. , concurring) (state
officials will seek "extraordinary" option of removal under the
refusal clause and forego the familiar confines of a state forum
"because the federal issue they seek to litigate is so
substantial").
Indeed, Judge Meskill, dissenting in Wellington, characterized
the colorable conflict requirement as the "jurisdictional
touchstone" under the refusal clause. Wellington, 627 F.2d at 592.
The Wellington majority concurred with that assessment:
We agree fully with Judge Meskill's
description of the "jurisdictional touchstone"
as "a colorable conflict between state and
federal law" leading to the removing
defendant's refusal .to follow plaintiff's
interpretation of st&te law because of a good
faith belief that to do so would violate
federal law. That good faith belief is tested
objectively, in that the claim to that effect
of the removing defendant must be "colorable."
Id- at 586-87. Where the majority and dissent parted ways was on
what would constitute a "colorable conflict." In that case, the
defendants had phrased their removal petition in the alternative;
i.e., they contended that they had not violated the applicable
state statute or, if it were found that they had, then they actedl
as they did for to do otherwise would have been inconsistent with
the requirements of federal law protecting equal rights. Judge
Meskill felt that alternative allegations of this nature did not
justify removal under the exceptional provisions of the refusal
clause. Id. at 591. The majority, however, found "no reason why
12
a removal petition cannot contain inconsistent allegations in the
nature, here, of a traditional plea of confession and avoidance
without confession," so long as the petition contains "a colorable
claim of inconsistent state/federal requirements." id. at 587.
Put differently, the contrary nature of state law need not be a
matter definitively resolved, so long as the defendant
alternatively can assert in good faith a colorable claim of
conflict with federal law. Id^ at 590 (Kaufman, J., concurring).
Guided by these holdings, we find that a colorable conflict
between federal and state law is neither asserted in the instant
petition nor can such a conflict in good faith be found to exist.
As outlined supra. Town Supervisor Veteran denied the
incorporation petition on six enumerated grounds. Only grounds (2)
and (3) implicate federal concerns relating to equal rights; the
remaining grounds for denial are largely ministerial in nature,
based entirely on the filing requirements of New York's Village
Law. Grounds (2) and (3), however, each conclude that even though
the Village Law "does not specifically address itself to the
'intent' of the petitioners, I firmly believe that the rights
granted by the federal and state constitutions transcend the
procedural technicalities set forth in the Village Law." December
1 Decision 5 2, at 4; id. 3, at 6. The referenced constitutional
protections are not identified in either the December 1 Decision
or the removal petition, but it seems plain that the allusions are
13
to the Fourteenth Amendment's command of equal protection.5 Thus,
respondents conclude, the Village Law, though neutral on its face,
would produce a discriminatory result if applied in ignorance of
federal constitutional proscriptions, and therein rests the
Citing only Gomillion v. Liahtfoot. 364 U.S. 339 (1960),
respondents' memorandum notes simply that "Supervisor Veteran
relied on ̂ federal constitutional protections against race
discrimination . . . [and] [t]here can be no genuine doubt that
these provisions are laws 'providing for equal civil rights.'"
Respondents' Conference Memorandum at 9. See also Town of
Greenburgh's Memorandum at 4 (same). Gomillion struck down a
gerrymandered plan redefining the boundaries of the City of
Tuskegee, Alabama as violative of the Fifteenth Amendment. That
amendment provides that the right of citizens to vote shall not be
denied on account of race or color. Justice Whittaker, noting that
"the Gomillion plaintiffs were not being denied their right to vote
"in the Fifteenth Amendment sense" (i.e., they could still vote,
albeit not within the newly defined city limits), concurred in the
decision but on grounds that the "fencing out" of black citizens
"is an unlawful segregation of* races of citizens, in violation of
the Equal Protection Clause of the Fourteenth Amendment . . . ."
Id̂ . at 349. Although of no moment, we think Justice Whittaker
makes a cogent point. More importantly, however, it has been
suggested that the Supreme Court has come ultimately to embrace
Justice Whittaker's analysis. See Karcher v. Daggett. 462 U.S.
725, 748 (1983) (Stevens, J., concurring) (noting "the Court has
subsequently treated Gomillion as though it had been decided on
equal protection grounds") (citing Whitcomb v.Chavis. 403 U.S. 124,
149 (1971)). Accord City of Mobile v. Bolden. 446 U.S. 55, 86-87
& n .7 (1980) (Stevens, J., concurring). We will not belabor the
reader with citation to a number of Court cases, both majority and
concurring opinions, which have cited Gomillion in the Fourteenth
Amendment context. Suffice it to say that gerrymandering by race,
although a Fifteenth Amendment violation under Gomillion. certainly
falls within the reach of the Equal Protection Clause as well.
That additional support could be especially pertinent here since
those who would be excluded from the allegedly gerrymandered
boundaries of the Village of Mayfair Knollwood would not, unlike
the plaintiffs in Gomillion. be deprived of their pre-existing
right to vote (here, in the Town of Greenburgh) . See especially
Caserta v. V illage of Dickinson. 491 F. Supp. 500, 506 n.14 (S.D.
'̂’eX- _ 1980) (distinguishing Gomillion since excluded plaintiffs
retained their pre-existing right to vote; "[t]hose not within the
°f Dickinson boundaries have merely maintained their status
quo as members of Galveston County"), aff'd in relevant part. 672
F.2d 431, 432-33 (5th Cir. 1982).
14
colorable conflict. Respondents' Conference Memorandum at 8-9.
Whether or not this is so, however, we believe respondents'
argument misses a crucial point.
Wellington repeatedly references and requires a conflict
between federal and "state law," not a state law or statute. The
corpus of pertinent "state law" under Wellington, it seems to us,
must necessarily include state constitutional law, for it is a
fundamental maxim of any constitutional society, as New York is,
that constitutional mandates govern and delimit legislative and
regulatory enactments of the majority. Thus, at least one New York
court has noted that incorporation petitions, even if in compliance
with the ministerial requirements of the Village Law, will not be
sustained if their end is that^of advancing facial discrimination.
In re Rose, 61 Misc.2d 377, 305 N.Y.S.2d 721, 723 (Sup. Ct. 1969),
aff'd mem. , 36 A.D.2d 1025, 322 N.Y.S.2d 1000 (2d Dep' t 1981) .6
Although state law in such a case may be found by resort to the
State Constitution, as opposed to the Village Law, it is "state
law" nonetheless which forbids the invidious result.
As is made plain by the December 1 Decision, Town Supervisor
Veteran relied on both the Federal and State Constitutions in
rejecting the petition. No conflict between the pertinent federal
and state constitutional provisions was perceived by Supervisor
Veteran; he acted at the command of both. See especially
Whether a town supervisor, as opposed to the courts, has
authority to make that determination was not discussed in Rose and
is not addressed here.
15
Wellington. 627 F.2d at 587 (central inquiry is whether official
subjectively believed an actual conflict between federal and state
law existed); id. at 590 (Kaufman, J., concurring) (same). Nor is
any such conflict to be found by reference to existing state law;
federal and New York constitutional law governing equal protection
are in harmony. See Seaman v. Fedourich. 16 N.Y.2d 94, 262
N.Y.S.2d 444, 450 (1965) (noting New York's equal protection
clause, embodied in N.Y. Const, art. 1, § 11, "is as broad in its
coverage as that of the Fourteenth Amendment"); Dorsey v.
Stuyvesant Town Corp.. 299 N.Y. 512, 530 (1949) (holding protection
afforded by New York's equal protection clause is coextensive with
that granted by Fourteenth Amendment), cert, denied. 339 U.S. 981
(1950).' 7 * «
The case at bar, therefore, is readily distinguishable from
Cavanagh v. Brock. 577 F. Supp. 176 (E.D.N.C. 1983) (three-judge
panel) , a case cited by respondents. Removal in that case was
permitted under the refusal clause because the removing defendants
argued that the relevant provisions of the North Carolina
Constitution. which were alleged to be in conflict with the
Fourteenth Amendment, either had been rescinded or, if in effect,
could not be complied with due to the contrary dictates of the
Federal Constitution. Id. at 179-80. Here, the Equal Protection
Clause will embrace whatever discrimination allegedly would have
occurred, supra note 5, and Seaman and Dorsey make plain that the
corollary state constitutional provision is at least as broad as
its federal counterpart. Thus, if Town Supervisor Veteran was
16
required by the Equal Protection Clause of the Fourteenth Amendment
to act as he did, he similarly would be required to so act by the
equal protection clause of the New York Constitution since the
latter is to be read in pari materia with its federal relation.
Certainly, notwithstanding Supervisor Veteran's belief that
he was complying with state constitutional law, respondents'
ability to remove this case under the refusal clause is not lost
if the removal petition contains an allegation based on that
belief. Such is the teaching of Wellington. Respondents, however,
must in good faith be able to plead alternatively that if they were
not acting in accordance with state law, then their refusal to so
act was the product of conflict between federal and state mandates.
Wellington, 627 F.2d at 587. Ng such good faith assertion can be♦ «
made here. Federal and state law are coextensive in this area.
See also Fed. R. Civ. P. 11 (requiring that any "pleading, motion,
or other paper" submitted to the court and signed by an attorney
be grounded in good faith belief that its substance is warranted
by facts, law, or good faith argument for the law's modification).
The jurisdictional paragraph of the removal petition
acknowledges this reality. See Verified Petition for Removal f 1 1 ,
at 4-5 ("proposed village petition was rejected in part on the
basis of federal and state Constitutional and statutory provisions
providing for equal rights . . . [and,] [accordingly, this action
may be removed to this Court by respondents pursuant to 28 U.S.C.
§ 1443(2)") (emphasis added). The petition's conclusion, however,
does not state the law. If it did, then in every case challenging
17
state or municipal action relying on federal authority parallelling
cited state law, the case could be removed to federal court. This
is not the conundrum contemplated by the refusal clause; indeed,
it is no conundrum at all. Federal and state law must not merely
parallel one another; they must be in conflict (or, more
accurately, there must be a good faith allegation of conflict).
See especially In re Quirk, 549 F. Supp. 1236, 1241 (S.D.N.Y. 1982)
(refusal clause satisfied since colorable conflict existed between
federal court order and New York civil service law); In re Buffalo
Teachers— Fed 1 n , 477 F. Supp. 691, 694 (W.D.N.Y. 1979) (removal
under refusal clause appropriate since "state defendant caught
between the conflicting requirements of a Federal [court] order and
of state law"); Zinner, 415 F.^Supp. at 718 {noting refusal clause
"'intended to enable state officers, who shall refuse to enforce
state laws discriminating in reference to [civil rights] on account
of race or color, to remove these cases to the United States courts
when prosecuted for refusing to enforce those laws'") (quoting
Cong. Globe, 39th Cong., 1st Sess. 1115 (1863) (statement of Rep.
Wilson)). Contrasted with those scenarios, respondents here are
being prosecuted for having acted as they saw fit under the State's
equal protection clause, not for having failed to do so, and that
provision tracks its federal namesake.
Consequently, we find that there is no colorable conflict
between federal and state law in this case, and that removal, if
18
justified here, must be found for reasons other than those provided
under the refusal clause.7
b. 28 U.S.C. 5 1441f
Under 28 U.S.C. § 1441(b), »[a]ny civil action of which the
district courts have original jurisdiction founded on a claim or
right arising under the Constitution, treaties or laws of the
United States shall be removable without regard to the citizenship
or residence of the parties." Clearly, the assertion of the First
Amendment claim in the petition presents a federal question. We
are not so sure, however, that an Article 78 proceeding
automatically qualifies as a "civil action" under the removal
statute. ** «
The term "civil action" (or the predecessor term "civil suit")
has been capaciously defined. Thus, the Supreme Court has opined
that appeals from state or municipal administrative action via writ
of prohibition or mandamus may qualify for removal:
The principle to be deduced from [our] cases
is, that a proceeding, not in a court of
justice, but carried on by executive officers
in the exercise of their proper functions, as
Our decision on the refusal clause might appear
gratuitous in light of our holding infra that, even if this case
was properly removed, principles of abstention warrant a remand.
Our ruling on the abstention/remand, however, might be different
were we to find that the case could be removed under the refusal
clause. Congress's explicit determination that state officials
facing the type of federal-state conflict outlined above should be
the option of a Federal forum would inevitably color an
abstention analysis. Respect for the state interests outlined
infra might very well have to give way in such a circumstance to
the overarching federal concern. Federalism (and respect for it)
does, after all, have a federal as well as state component.
19
i-1} the valuation of property for the just
distribution of taxes or assessments, is
purely administrative in its character, and
cannot, in any just sense, be called a suit;
and that an appeal in such a case, to a board
of assessors or commissioners having no
judicial powers, and only authorized to
determine questions of quantity, proportion
and value, is not a suit; but that such an
appeal may become a suit, if made to a court
or tribunal having power to determine
questions of law and fact, either with or
without a jury, and there are parties litigant
to contest the case on the one side and the other.
Upshur County v.__Rich, 135 U.S. 467, 475 (1890). Accord
Commissioners_of Road Improvement Dist. No. 2 v. St. Louis S.W.
Ry_:— COi, 257 U.S. 547, 557, 559 (1922) . Cf. Weston v. City Council
.of— £-har~leston/ 27 U.S. (2 Pet.) 449, 464 (1829) (the term "civil
suif/" in defining Supreme Court's appellate jurisdiction over
state cases, is a comprehensive one including various modes of
proceeding; so long as an adversary proceeding inter partes. it
qualifies as a "civil suit").
That said, it is beyond cavil that a statutory appeal of
administrative state action, whether or not it involves diverse
parties or a federal question, may not be filed in federal court.
Department of Transp . and Dev, of Louisiana v. Beaird-Poulan. Inc..
449 U.S. 971, 973-74 (1980) (Rhenquist, J., dissenting from denial
of certiorari) (citing Stude, 346 U.S. at 581). Following from
that principle, we doubt that Congress intended the term "civil
action" under the removal statute to be so sponge-like as to allow
its absorption of every conceivable type of proceeding involving
appeal from state or municipal administrative action which touches
20
upon a federal question. To believe otherwise is to suggest that
Congress was ignorant of notions of comity and federalism that are
such an important part of our constitutional and jurisprudential
fabric. Cf. St. Louis S.W. Rv.. 257 U.S. at 554 ("[a]n
administrative proceeding transferred to a court usually becomes
judicial, although not necessarily so") (emphasis added).8
In New York, an Article 78 proceeding, although admittedly
civil in nature, is manifestly circumscribed by the terms of the
statute, and it possesses numerous indicia distinguishing it from
a typical inter partes civil action. It is a self-styled "special
proceeding," NYCPLR § 7804(a), designed to supplant the previous
writs of certiorari, mandamus, and prohibition, id. at § 7801.
Consequently, and consistent with the predecessor writs, the scope♦ •
of review in an Article 78 proceeding is narrowly confined, id. at
§ 7803, and the relief recoverable is limited, id. at § 7806. A
number of other substantive and procedural irregularities are
unique to this form of proceeding. See especially NYCPLR § 103
(expressly noting distinction between "civil action" and "special
Indeed, the proper application in the modern context of
19th-Century Court precedent defining "civil action" is a matter
not free from doubt. Those Courts could not possibly have
envisioned the rise of populism, the demise of economic due
process, and ultimately the advent of the New Deal, all of which
radically changed economic life and governance in this society.
Mirroring the federal model produced by the New Deal, a multitude
of administrative agencies now permeate the ranks of state
decisionmaking. In that context, we think it a legitimate question
to wonder whether the Supreme Court and/or the Congress believe it
appropriate to define expansively the term "civil action" so as to
allow the universal removal of garden-variety appeals from state
administrative action.
21
proceeding," and vesting courts with authority to convert a special
proceeding into a civil action if nature of claim or relief sought
goes beyond confines of the former); j. Weinstein, H. Korn, & a .
Mlller' ~ York Civil Practice §§ 7801-06 (1988 & Supp. Dec. 1988)
(discussing nature of Article 78 proceeding); D. Siegel, Handbook
on. New York Civil Practice §§ 557-70 (1978 & Supp. 1988) (same).9
Given the unique nature of the action, the fingerprints of
federalism inevitably will be so spread upon an Article 78
proceeding that we doubt the proceeding ordinarily can be wiped
clean of its essential state administrative character by the mere
presence of a federal question, no matter how insignificant, and
be rendered removable thereby. Therefore, to permit generally the
removal of Article 78 proceedings under 28 U.S.C. § 1441 is, we* «
think, to invite disruption with well-settled notions of comity
and federalism. See, e ^ , Crivello y. Board of Adjustment i83
F. Supp. 826, 828 (D.N.J. i960) (holding appeal of state
administrative action via writ of certiorari, although nominally
denominated a "civil action at law," did not constitute a "civil
action" as that term is used under the general removal statute);
Collins v. Public Serv. Com m 'n of Missourir 129 F. Supp. 722, 725
9
4- ^hus' for example, an Article 78 proceeding is f a r
Libfrt^MutifaT x hG ^dministrative "appeal" at issue in Horton~v.
th^t a ’ U,S- 348 (1961)- The Court there heldworker's a Texas administrative determination on a
"civil Ltfon" o C°Uld bS filed in Federal court as anrovtde! ? on grounds of diversity, but only because Texas law
?i?t ?! ^ t * ?USh 9 challen9e "is not an appellate proceeding[;]
been decide? hv t I D S t S ~ l l y with°dt reference to Shat may hav!«d f d\d b-Y thS [Texas Industrial Accident] Board." id. at 354-55 (emphasis added) .
22
(W.D. Mo. 1955) (finding appeal of state administrative action by
writ of certiorari to county court "was a mere continuation of the
administrative proceeding" and, thus, could not be removed). But
— t y of Owatonna v. Chicago. Rock Island & Pacific r .r . co.
298 F. Supp. 919, 922 (D. Minn. 1969) (and cases cited therein).10
Despite our misgivings, we assume for present purposes that
an Article 78 proceeding may be removed under the general removal
statute, for our concerns and respect for federalism can be
accommodated in this case by the law of this circuit relating to
10
Our conclusion would by necessity be different when
ctlZi1o?f2fnu T j Cl1 ™ ? ^ eedi ng iS s°^htyunder the^refuSl?5 28 u -s *c : § 1443(2), the civil rights removal statute discussed supra. Since an Article 78 proceeding is the prescribed
avenue of challenge to administrative action in this State such
a proceeding must be removable under the refusal clause if that clause is to be given effect in New York. clause if that
ArHrlp ™ 1S°' theJ e may be times when the federal interest in an Article 78 proceeding may so predominate as to warrant the
proceeding s removal under 28 U.S.C. § 1441. Thus, in a series Sf
cases involving appeals to state courts from tobacco quotas imposed
rLoval ufdi"1S?HratiVe reV1leW federal coSts p e S ? “ dremoval under the general removal statute. In those cases
however, the local committees were authorised by federal iSJand
AaJt^m temberS aPPointed bY the United States Secretary of
th e ' manifest;Ln9 the obvious federal interest in regulating
(E D ^ C — yis y- Joyner, 240 F. Supp. 689, 690-91
c l ™ V ,cases Clted therein)* Cf, Yonkers Racinggprp. v. city of Yonkers, 858 F.2d 855, 863-64 (2d Cir. 1988?
ifiswi?9 r®moval authorized under All Writs Act, 28 U.S.C. § )/ where real possibility that underlying Article 78
cou??eoirt9 C°Uld be. used to frustrate implementation of federal
cert dentp/e^ 9Hec to remedy racial discrimination in Yonkers) , £ert •— denied, 57 U.S.L.W. 3619 (1989). '
Absent special circumstances, however, we remain dubious
Articl 7s *l s d o m °f a general rule permitting the removal of
h ™ k 78 proceedlngs - Although several Article 78 proceedings have boen removed to courts in this circuit, this specific question
abil?tve^ beSn addressed* Obviously, it could be argued that the
assirapH SUCh Proceedings heretofore simply has beenassumecJ without the need for extended discussion. We are not sosUic •
23
our remand authority. The Supreme Court has held that removed
actions generally may not be remanded except within the narrow
confines of the remand statute, 28 U.S.C. § 1447(c) (i.e., that the
case was removed improvidently or without jurisdiction). Thermtron
Prod., Inc, v. Hermansdorfer. 423 U.S. 336, 345 & n. 9 (1976). The
Second Circuit, however, has found a practical exception to that
rule, concluding "that when the district court may properly abstain
from adjudicating a removed case, it has the power to remand the
case to state court." Corcoran v. Ardra Ins. Co.. 842 F.2d 31, 36-
37 (2d Cir. 1988). Accord Naylor v. Case and McGrath. Inc.. 585
F.2d 557, 565 (2d Cir. 1978). The exception, among other things,
is grounded in the reality that no purpose would be served by
retaining a removed case and then dismissing it on abstention
grounds, if applicable, rather than simply remanding the matter to
the appropriate state forum. Because the fingerprints of
federalism referenced earlier are so clearly discernible here, we
find abstention to be appropriate and we thus remand the matter in
accord with the remand exception outlined in Ardra Insurance.
c. Abstention
Jurisprudential limitations on our jurisdiction long ago»
announced in Burford v. Sun Oil Co.. 319 U.S. 315 (1943) largely
control our view of this matter.
Burford, of course, involved a challenge to the validity of
state administrative action permitting the drilling of certain
wells in an east Texas oil field. The legal challenge was
24
initiated in federal court on grounds of diversity and federal
question (due process) ; the case at bar was removed to federal
court on the latter basis. In granting dismissal of the Burford
challenge in the exercise of its equity jurisdiction, the Court
noted:
Although a federal equity court does have
jurisdiction of a particular proceeding, it
may, in its sound discretion, whether its
jurisdiction is invoked on ground of diversity
of citizenship or otherwise, "refuse to
enforce or protect legal rights, the exercise
of which may be prejudicial to the public
interest" fUnited States ex rel. Greathouse v.
Dern, 289 U.S. 352, 360 (1933)]; for it "is in
the public interest that federal courts of
equity should exercise their discretionary
power with proper regard for the rightful
independence of state governments in carrying
out their domestic policy." [Pennsylvania v.
Williams. 294 U.S. 176, 185 (1935).]» «
Burford, 319 U.S. at 317—18 (footnotes omitted). Those concerns
were found to be present in Burford. which involved important state
interests (the division of oil-drilling rights) that were the
subject of comprehensive state regulation.
The Second Circuit has distilled the principles underlying
Burford thusly:
[Burford] abstention is appropriate when a
federal case presents a difficult issue of
state law, the resolution of which will have
a significant impact on important state
policies and for which the state has provided
a comprehensive regulatory system with
channels for review by state courts or
agencies. fBurford. 319 U.S.] at 333-34, 63
S. Ct. at 1107-08. In short, federal courts
should "abstain from interfering with
specialized, ongoing state regulatory schemes."
25
Alliance of American Insurers v. Cuomo. 854 F.2d 591, 599 (2d Cir.
1988) (quoting Levy v. Lewis. 635 U.S. 960, 963 (2d Cir. 1980)).
In the case at bar, petitioners seek the incorporation of the
Village of Mayfair Knollwood, which requires a grant of state
authority. N.Y. Const, art. 10, § 1; Village Law § 2-200; 1 E.
McQuillen, The Law of Municipal Corporations §§ 1.19 & 2.07b (3d
ed. 1987) ("McQuillen"). As Town Supervisor Veteran alluded to in
his December 1 Decision, the legal concept of village incorporation
was created to allow residents of a particular area the opportunity
to band together for the purposes of securing fire and police
protection and other public services, such as water and sewer.
December 1 Decision f 2, at 3-4. Given these uniquely local
interests, and particularly in an age of increasingly scarce
* •
resources (both natural and fiscal), it would seem beyond
peradventure that the State of New York retains as profound an
interest in certifying village incorporation petitions as does the
State of Texas in certifying oil-drilling licenses. See especially
Gomillion. 364 U.S. at 342 (recognizing "the breadth and
importance" of a State's power "to establish, destroy, or
reorganize by contraction or expansion its political subdivisions,
to wit, cities, counties, and other local units"); Hunter v. City
of Pittsburgh. 207 U.S. 161, 176, 178-79 (1907) (noting creation
of municipal incorporations and definition of their size and nature
are matters peculiarly within jurisdiction of the States). Accord
1 McQuillen § 3.02, at 235; 2 McQuillen at §§ 4.03 & 7.03; C.
Rhyne, Municipal Law §§ 2-2 & 2-26 (1957). Thus, that as a general
26
proposition federal courts should not be muddying the waters in
which the village incorporation process swims seems to us an
unremarkable and inevitable conclusion.
Further, and acting partly as confirmation of the above state
interest, New York has established a "comprehensive regulatory
system with channels for review by state courts or agencies,"
American— Insurers, 854 F.2d at 599, to assess the propriety of
village incorporation petitions:
the statute specifically identifies what geographic areas may
be incorporated as a village, section 2-200 of the VillageLaw; ^
it spells out in elaborate detail who may petition for
incorporation and what the contents of the petition must comprise, section 2-202;
it establishes a public notice and hearing requirement once
f is filed with, -a town supervisor, again setting
forth in greatuietail the hearing requirements, section 2-204;
it specifically^ notes what objections may be lodged against
^ village petition, and how and when these objections should be presented, section 2-206;
it sets forth a specific timetable for action on the petition
following hearing, and outlines the prerequisites for the
written decision that the town supervisor must issue on the matter, section 2-208;
^ specifically provides that review of a town supervisor's
decision may be had only by resort to an Article 78 proceeding
on grounds that the "decision is illegal, based on
insufficient evidence, or contrary to the weight of the evidence," section 2-210(1);
it requires that appeal via the Article 78 route must be taken
within 30 days from filing of the town supervisor's decision,
section 2-210(2), and that such appeal shall have preference
over all civil actions and proceedings, section 2-210(4) (e);
it goes on to delineate the right to and procedures for
conducting^ an election to determine the question of
incorporation, sections 2-212 to 2-222;
27
it sets forth the procedure for judicial review of an
incorporation election, and provides for a new election if the
original election is set aside, sections 2-224 to 2-230; and finally, '
it outlines the formalities of incorporating, the procedures
for electing and appointing officers, the conduct of village
meetings, the effect on public services, and the taxing
authority possessed by the village, sections 2-232 to 2-258.
this does not constitute a comprehensive statutory scheme,
regulating in this case a matter within the fundamental
prerogatives of the state, then the court would be hard pressed to
identify such a scheme. Certainly, the scheme is as comprehensive
and the interest as strong as those existing in Levy, where the
Second Circuit directed abstention due to New York's "complex
administrative and judicial system for regulating and liquidating
domestic insurance companies." Levy. 635 F.2d at 963. To* «
paraphrase Burford, we think the regulation of village
incorporations so obviously involves a matter of uniquely state
policy that wise judicial discretion counsels in favor of avoiding
needless federal intervention in the state's affairs, especially
since a comprehensive regulatory scheme to address this matter has
been put in place. Burford. 319 U.S. at 332.
That this proceeding also implicates a federal question does
not alter our conclusion. Burford. too, involved a federal
question but, as the Supreme Court noted, ultimate review of that
question before the Court was preserved fully by their action, id.
at 334- Accord Levy. 635 F.2d at 964.
Moreover, the federal question here asserted may never need
be reached. Four of the five challenges to the December 1 Decision
28
asserted in the Article 78 petition (claims (l)-(4), delineated
supra) involve challenges to the propriety of Veteran's actions
under the Village Law.11 Petitioners' counsel has represented that
certain of these questions — particularly those involving the
nature of the local hearing to be held on these matters, how and
what evidence can be received and relied upon, and the scope of the
town supervisor's statutory authority — appear to be matters of
unsettled state law. We have found little case law specifically
^dd^sssing the state issues here raised. If the December 1
Decision is reversed on any of these grounds, the First Amendment
assertion will not be reached. When unsettled questions of state
law are susceptible of an interpretation which may obviate the
federal constitutional question presented, the federal Court should
* «
defer on these questions — at least in the first instance — to
a state tribunal. Orozco v. Sobol. 703 F. Supp. 1113, 1121
(S.D.N.Y. 1989) (cases collected, including Railroad Comm'n of
Texas v. Pullman, 312 U.S. 496 (1941)). See also L e w . 635 F.2d
at 964 (since federal question was bound with state issues, best
left in the first instance to state courts with review available *
We add that the existence of these purely state
administrative issues places this case in a posture far different
from that found in Gomillion and cases like it, which constitute
straight constitutional challenges to gerrymandered municipal
boundary plans devised upon conclusion of the legislative or
administrative drafting processes. Had the instant incorporation
petition been approved under the Village Law, and the Deutsch
defendants (assuming they had standing) then challenged that action
in federal court on Fourteenth Amendment grounds, we have little
doubt that we properly would have jurisdiction over the subject
matter and that plaintiffs' choice of a federal forum would be
respected. That is not the posture of this case.
29
These concerns militate
further in support of abstention.12
As Levy concludes, in words equally applicable here:
The claims [in Burford] amounted to an attack
. ^he reasonableness of the state
administrative action. Thus federal review
while involving decision of a federal
question, would have entailed a
reconsideration of the state administrative
decision, carrying with it the potential for
creating inequities in the administration of
the state scheme. Burford thus suggests that
p^2pe^ resPect for the expertise of state officials and the expeditious and evenhanded
ultimately before the Supreme Court).
"rb*? s P ̂ uhoatKh?/h sss-cSk:
s o o t h e “ nsion^iS^rent P/ranel judicia! processes. ■
this case Is ^ 26 n '9 <M 8 7 > • Thus, althoughexistence of 9 largely -Burford considerations, theexistence of Pullman concerns certainly is relevant
Notwithstanding Pennzoil's footnote 9, however, there do exist
important procedural differences between the "various types of
Pjrtinent here, we note that the product of Burfo?d abstention is dismissal, while under Pullman fod^r-ai ~
issues nay be bifurcated, with the — federal court retain!^
ifrl«turai£a OVtor thatf°?"er anr the liti,3ants allowed the option - . , eturning to that forum to address the federal con ce rn s
following state review. Enqland v. Louisiana state Bd. of Medical
Examiners, 375 U.S. 411, 421-22 (1964).---ait see Harris S !
ggmm rs Court v. Moore, 420 U.S. 77, 88 & n.14 (19751 (dismissal
state- courtCiurisd?ot^rifte H necessarV to remove obstacles to federal and iL-*.1 diCtl°n) .* ItT makes no sense to bifurcate the ?nd ?tate issues in this case, especially since to do so
for como^ettla11/ frustrate the Village Law's scheme of providing FnJth^nPl t aild exPe.dlti°us review of incorporation petitions9
210 M W b ) of Sthe ev niWalth Tthe *arvice requirements of section 2- ■7Q i, Village Law, the costs of bringing a new Article
(gi^e^th^nuiiler^?633 State issues ”°uld be substantial"lolutiM" ine^i taSf Parctles evolved) , arguably rendering that instant nrnpo bl Since Burford concerns predominate in the
remand th^ e n ? ? ^ 9 ' ? ? Ch°OSe to keep the proceeding whole and
in both Burford anH T 6r to state court which, as was emphasized Fir-gt ~ rfo^d .and bevy, is entirely competent to address the First Amendment issue asserted here (if it need be reached).
30
administration of state programs counsels
restraint on the part of federal courts.
Levy, 635 F.2d at 964. Here, Article 78 review under the Village
Law is designed to provide the aggrieved party with the opportunity
for expedited and confined judicial review of state administrative
action. That review is, in essence, largely an extension of the
administrative process itself given the reviewing court's limited
scope and remedial authority, and it is that forum which should be
deciding the state issues which predominate in this matter. If
federal questions are implicated in that process and improperly are
decided, ultimate review before the Supreme Court is preserved.
Abstention, therefore, is warranted here.
Assuming the general removability of Article 78 proceedings,
the instant matter involves a federal question and may be removed
pursuant to 28 U.S.C. § 1441(b). Consistent with Ardra Insurance,
however, and because we would abstain from deciding the issues here
presented under familiar jurisprudential considerations, the
instant proceeding is remanded to the court from whence it was
removed, the New York Supreme Court for Westchester County.
Cor»clusion
SO ORDERED
Dated: White Plains, N.Y
April /o , 1989April f*i
GERARD L. GOETTEL
U.S.D.J.
31
Exhibit 2
UNITED STATES DISTRICT
SOUTHERN DISTRICT OF NEW YORK m m
YVONNE JONES, ANITA JORDAN, APRIL
JORDAN, LATOYA JORDAN, ANNA RAMOS,
LIZETTE RAMOS, VANESSA RAMOS,
GABRIEL RAMOS, THOMAS MYERS,
LISA MYERS, THOMAS MYERS, JR.,
LINDA MYERS, SHAWN MYERS,
ODELL A. JONES, MELVIN DIXON,
GERI BACON, MARY WILLIAMS,
JAMES HODGES, NATIONAL ASSOCIATION
FOR THE ADVANCEMENT OF COLORED
PEOPLE, INC., WHITE PLAINS/
GREENBURGH BRANCH, AND NATIONAL
COALITION FOR THE HOMELESS,
88 n vVi I • "( i a C ?
Plaintiffs,
-against-
LAURENCE DEUTSCH, COLIN EDWIN
KAUFMAN, STEVEN NEIL GOLDRICH,t
MICHAEL JAMES TONE, COALITION*OF
UNITED PEOFLES, INC., and
ANTHONY F. VETERAN, as Supervisor
of the Town of Greenburgh,
Defendants.
1 |« .
U
it*--
NOV 1 t993 1
- - -1'- C-, £ P i
■svl
88 Civ.
COMPLAINT
Plaintiffs, by their attorneys, for their con-
plaint, allege (on information and belief except as to
paragraphs 3-5, 8, and 39-50):
Nature of the Action and Background
1. This action is brought by a number of black
citizens of Greenburgh, parents of homeless families in
Westchester County, the National Association for the Advance
ment of Colored People, White Plains/Greenburgh Branch
("NAACP") and the National Coalition for the Homeless (the
"National Coalition") to obtain redress against a racially
motivated conspiracy formed by the defendants other than
Anthony Veteran (hereinafter the "Conspiring Defendants") for
the purpose of depriving racial minorities and homeless
persons of constitutional and statutory rights. The
Conspiring Defendants are residents of Westchester County who
have banded together to seek incorporation of a new, almost
totally segregated village. Their declared purpose is to
defeat a project to build housing for homeless families, most* «
of whom belong td racial minorities, by using the new
village's zoning power. In furtherance of this scheme, they
have drawn the village boundaries in a grotesque shape,
thereby attempting to ensure its all-white composition and to
guarantee attaining their racially exclusionary objective.
Defendants' conduct constitutes a conspiracy in violation of
42 U.S.C. § 1985 that should be declared unlawful, enjoined,
and remedied, as against the Conspiring Defendants but not
defendant Veteran, by an appropriate award of monetary
damages.
2. This conspiracy is a direct attack on a
coordinated effort by state, county and municipal government
-- aided by a non-profit, charitable organization — to
2
establish safe and decent temporary housing for homeless
families with children in Westchester County. Westchester
County currently shelters approximately 957 families with
1978 children in a number of sub-standard facilities includ
ing motels in New York City and certain Hudson Valley coun
ties. Homeless persons, particularly children, are irrevoca
bly damaged by living conditions in those motels.
Westchester County is suffering from an unprecedented housing
crisis with a higher proportion of homeless families to its
population than even New York City.
Jurisdiction
3. This Court has jurisdiction pursuant to 28
U.s.c. §§ 1331, 1337, and 1343. This action arises under the
Fourteenth and Fifteenth Amendments to the Constitution of
the United States, the Voting Rights Act, 42 U.S.C. § 1973,
the Civil Rights Act, 42 U.S.C. § 1985, the Fair Housing Act,
42 U.S.C. § 3604, the Social Security Act, 42 U.S.C. §§ 301
et sea., Article I, §§ 1 and 11, and Article XVII, § 1 of the
Constitution of the State of New York, §§ 40-c(l) and (2) of
the Civil Rights Law of the State of New York, S 291(2) of
the Executive Law of the State of New York, and §§ 62 and 131
of the Social Services Law of the State of New York, and
regulations promulgated thereunder. Declaratory relief is
authorized pursuant to 28 U.S.C. §§ 2201 and 2202.
3
Venue
4. Venue is proper under 28 U.S.C. § 1391(b).
All defendants reside in the Southern District of New York,
and the claim arose in that District.
Parties
5. The plaintiffs are the following:
a. Plaintiff Anita Jordan is a homeless
black woman who lives with her two children, April (age 18
months) and Latoya (age two and a half), in a single room at
the Elmsford Motor Lodge, 290 Tarrytown Road, Elmsford, New
York. The Jordan family was*]51aced in the. motel by
Westchester County.
b. Plaintiff Anna Ramos is a homeless white
woman who lives with her three children, Lizette (age
eleven), Vanessa (age five) and Gabriel (age one), in a
single room at the Coachman Hotel, 123 East Post Road, White
Plains, New York. The Ramos family was placed in the motel
by Westchester County.
c. Plaintiffs Thomas and Lisa Myers are a
homeless, black married couple who live with their three
children, Thomas, Jr. (age four), Linda (age three) and Shawn
(age two), in two small rooms at the Elmsford Motor Lodge,
4
290 Tarrytown Road, Elmsford, New York. The Myers family was
placed in the motel by Westchester County.
d. Plaintiff Yvonne Jones is a black home-
owner who has resided in the vicinity of the proposed village
boundary in the unincorporated part of Greenburgh at 118
North Evarts Avenue, Elmsford, New York for 35 years.
e. Plaintiff Odell A. Jones is a black
homeowner who has resided in the vicinity of the proposed
village boundary in the unincorporated part of Greenburgh at
19 Van Buren Place, White Plains, New York for 27 years.
f. Plaintiff Geri Bacon is a black homeowner
who has resided in the vicinity of the proposed village
boundary in the unincorporated part of Greenburgh at 16 Adams
Place, White Plains, New York for 33 years.
g. Plaintiff James Hodges is a black home-
owner who has resided in the vicinity of the proposed village
boundary in the unincorporated part of Greenburgh at 51 Cabot
Avenue, Elmsford, New York for two years.
h. Plaintiff Mary Williams is a black
homeowner who has resided in the vicinity of the proposed
»
village boundary in the unincorporated part of Greenburgh at
179 Sears Avenue, Elmsford, New York for 28 years.
i. Melvin Dixon is a black homeowner who has
resided inside the proposed village boundary at 15 North
Lawrence Street, Elmsford, New York for 25 years.
5
j . Plaintiff NAACP is a branch of a
nonprofit membership association representing the interests
of approximately 500,000 members in 1,800 branches throughout
the United States. Since 1909, the association has sought
through the courts to establish and protect the civil rights
of minority citizens. NAACP's address is One Prospect
Avenue, White Plains, New York 10607.
k. Plaintiff National Coalition is a
not-for-profit organization incorporated under New York law.
Its primary purpose is to advocate responsible solutions to
end homelessness with an emphasis on establishing decent
housing for homeless persons^. The National Coalition also
•w.provides direct assistance in the form of rent subsidies,
food and legal counsel to homeless people. Its address is
105 East 22nd Street, New York, New York 10010.
6. The Conspiring Defendants are natural persons,
and each has the following address:
Laurence Deutsch 211 Wood Hampton Drive
White Plains, New York 10603
Colin Edwin Kaufman 8 Hartford Road
(a/k/a/ Hartford Lane)
White Plains, New York 10603
Steven Neil Goldrich 128 North Hampton Drive
White Plains, New York 10603
Michael James Tone 19 Chelsea Road
White Plains, New York 10607
6
7. Defendant Coalition of United Peoples, Inc.
("COUP") is a not-for-profit corporation that purports to
have been organized under the laws of the State of New York.
Its members are real property owners who reside in the
vicinity of the proposed homeless housing site.
8. Defendant Anthony F. Veteran is the Town
Supervisor of the Town of Greenburgh and is named as a
defendant in that capacity.
Co-Conspirators
9. Various other persons not made defendants in
this action participated as co-conspirators with defendants* «
in the violation’s set forth below, and performed acts and
made statements in furtherance thereof.
Factual Background
The West HELP Development
10. West H.E.L.P., Inc. (Homeless Emergency
Leverage Program, Inc.) ("West HELP") is a not-for-profit
corporation organized under the laws of the State of New
York. One of West HELP'S purposes is the construction of
housing for homeless persons in the State of New York.
11. The County of Westchester (the "County") is a
municipal corporation existing pursuant to the laws of the
State of New York. The County is located in the Southern
District of New York.
7
12. The Town of Greenburgh (the "Town") is a
municipal corporation existing pursuant to the laws of the
State of New York. The Town is located within the County.
13. Homeless families in Westchester County
presently are quartered at great public expense in often
squalid motel rooms. A parent with a number of children
typically is allotted a single room.
14. A number of homeless families in the County
are sheltered in motels that are far from their communities
of origin. This aggravates the devastating impact of
homelessness by disrupting relationships with schools,
neighbors, relatives and other social and economic supports.
15. In or about October 1987, the County and West
HELP jointly proposed the establishment of several housing
developments for homeless families with children in the
County.
16. In or about January 1988, the Town offered to
have established within its boundaries one of those develop
ments (the "West HELP Development"). The Town, together with
West HELP, proposed as the site for the housing approximately
30 acres of land, presently owned by the County, situated in
the Town (the "Development Site"). In April 1988, the Town,
by unanimous resolution of its supervisor and council
members, expressed support for the West HELP Development and
8
requested that the County conduct the required environmental
review.
17. The West HELP Development is intended to
provide safe, economical and humane emergency shelter to
homeless families with children.
18. The West HELP Development would provide
"transitional" housing for homeless families pending their
establishment of more permanent homes. As planned, it would
consist of six two-story buildings with approximately 18
housing units in each. A seventh building would be con
structed to house day care, counseling, and selected social
services for the benefit of those lodged at the Development
Site. The West HELP Development is widely regarded as a
model in the provision of cost-effective, decent transitional
housing to homeless families with children.
19. The West HELP Development also includes the
following proposals, among others:
a. The County would lease the site to West
HELP for the period of construction plus ten years.
b. West HELP would secure construction and
permanent financing for the West HELP Development from the
sale of tax exempt bonds issued by a public benefit agency
created under New York law. The bonds would be amortized
over a 10 year period, after which control of the Development
9
Site would revert to the government subject to a requirement
that it continue to have a housing-related use.
c. The County would enter into an agreement
with West HELP for the placement of homeless families with
children in the West HELP Development. Under this agreement,
West HELP would receive a funding stream sufficient to cover
operating costs as well as amortization and debt service of
the bonds used to finance the West HELP Development.
20. A majority of the homeless persons in the
County are members of racial minorities. Such persons are
among the intended and expected beneficiaries of the West
HELP Development. ,•
Form,at ion of the Conspiracy
2 1 . in early 1988, defendant Deutsch, together
with others presently unknown to plaintiffs, formed COUP.
Defendant COUP'S purpose is to stop the West HELP
Development. Defendant Deutsch is COUP'S president.
22. On or about February 11, 1988, Defendant
Deutsch participated in a meeting held at the Valhalla High
School in the County, at which there was discussion of means
to oppose the West HELP Development. Later that same month,
Defendant Deutsch publicly announced that he and other Town
residents intended to prepare a petition, pursuant to the
Village Law of the State of New York, to incorporate a new
10
village — to be called "Mayfair Knollwood" — within the
Town. As envisioned, the geographic boundaries of Mayfair
Knollwood were to include the Development Site.
23. Defendant Deutsch and his co-conspirators
intend to use the incorporation of Mayfair Knollwood to block
the West HELP Development. As Defendant Deutsch reportedly
has put it:
We'll go ahead with secession and take a nice piece of
taxable property with us.
The "secession" plan was and is racially motivated. As
Defendant Deutsch was quoted as stating in opposing the West
HELP Development:
You're taking a piece ef a ghetto and dumping it some
where else "to get another ghetto started.
24. Thereafter in 1988, a petition for incorpora
tion of the proposed Village of Mayfair Knollwood was pre
pared and the process of circulating the petition for signa
ture, pursuant to the Village Law of the State of New York,
began (the "Petition"). As charted in the Petition, the
proposed Village of Mayfair Knollwood includes the Develop
ment Site. I
25. Defendant Deutsch participated in preparing
the Petition, approved it, and assisted in its circulation.
Defendants Kaufman, Goldrich and Tone agreed, in the
Petition, to accept service of all papers in connection with
a proceeding for incorporation.
11
26. The proposed boundary for Mayfair Knollwood is
an irregular, multi-sided configuration designed by the
Conspiring Defendants and their co-conspirators for the
manifest purpose of excluding minority residents of the Town.
The shape of the proposed Village and its purpose and effect
to exclude racial minorities are shown on the map attached as
Exhibit 1.
27. Just as the proposed boundary of Mayfair
Knollwood was drawn in an effort to exclude racial minori
ties, so too was it drawn in an effort to secure for Mayfair
Knollwood a disproportionate part of the tax base and recrea
tional and undeveloped land area of the Town.
28. Defendant COUP, the Conspiring Defendants and
their co-conspirators seek unlawfully to gerrymander the
proposed boundaries of Mayfair Knollwood so as to (a) exclude
racial minorities from the proposed village, (b) appropriate,
to the detriment of Town residents not within the proposed
Mayfair Knollwood boundary, essential municipal resources,
facilities, and amenities, and (c) appropriate a major
proportion of the Town's undeveloped land with the purpose
and effect of fostering racial segregation in housing.
29. Prior to September 14, 1988, hundreds of Town
residents signed the Petition, thereby evidencing their
support of the conspiracy to violate plaintiffs' rights.
12
30. On or about September 14, 1988, defendant
Deutsch and other co-conspirators formally presented the
Petition to the Town. A contemporaneous news report stated
the following:
"The incorporation is a fact," Coalition ri.e. COUP]
President Laurence Deutsch said. "The town may delay
us, but it won't stop us. There is nothing that the
town or county could do which could divert us from the
incorporation."
The Position of Defendant Veteran
31. Defendant Veteran, as Town Supervisor of the
Town of Greenburgh, is governed in the performance of his
duties by the Constitutions and laws of the United States and
the State of New^York.
32. The procedure that Defendant Veteran must
follow in the processing of the COUP Petition is set forth in
the Village Law of New York. That statute provides, in
summary, for:
a. a hearing on the Petition at which its
compliance with statutorily specified technical requirements
is examined; the statute does not expressly direct Defendant
Veteran to consider whether the Petition is consistent with
the Constitutions of the United States or New York, or their
laws ;
b. within a specified time, a decision on
the Petition;
13
c. thereafter, in the event the decision is
favorable, a vote on the proposed incorporation by those
within the boundaries set forth in the Petition; and
d. in the event of a majority vote in favor,
incorporation of the new village as proposed in the Petition.
33. Following presentation of the Petition to the
Town on or about September 14, 1988, Defendant Veteran
initiated the procedures described in paragraph 32 above by
scheduling a hearing for November 1, 1988.
34. Defendant Veteran is and has been an outspoken
supporter of the West HELP Development and has consistently
opposed the plan of COUP and the Conspiring Defendants to
»* «incorporate the -village of Mayfair Knollwood for the purpose
of blocking the West HELP Development.
35. Defendant Veteran swore an oath in taking the
office of Town Supervisor, pursuant to Article XIII, § 1 of
the New York Constitution and section 25 of the New York Town
Law, as follows:
I do solemnly swear (or affirm) that I will support the
constitution of the United States and the constitution
of the State of New York . . . .
Approval by Defendant Veteran of the Petition, with its
racially discriminatory purpose and effect and its breach of
the numerous constitutional and statutory provisions set
forth in paragraphs 39 through 48 below, would constitute a
breach of Defendant Veteran's oath of office.
14
36. Notwithstanding the foregoing, COUP and the
Conspiring Defendants assert that Defendant Veteran has no
authority to deny the Petition on any ground other than
technical non-compliance with the specific mandates of the
Village Law, and Defendant Veteran has initiated the proce
dures thereunder for consideration of the Petition.
37. Plaintiffs assert that Defendant Veteran may
not, consistent with his oath of office, proceed with the
Petition in any manner whatsoever.
38. There exists a justiciable case or controversy
between the parties concerning their rights and obligations
as set forth above.
Constitutional and Statutory Background
39. In pertinent part, the Fourteenth Amendment of
the Constitution of the United States provides that:
No State shall make or enforce any law which shall
abridge the privileges or immunities of citizens of the
United States? nor shall any State deprive any person of
life, liberty or property without due process of law?
nor deny to any person within its jurisdiction the equal
protection of the laws.
40. In pertinent part, the Fifteenth Amendment of
the Constitution of the United States provides that:
The right of citizens of the United States to vote shall
not be denied or abridged by the United States or by any
State on account of race, color, or previous condition
of servitude.
15
41. In pertinent part, 42 U.S.C. § 1973 provides
that:
No voting qualification or prerequisite to voting or
standard, practice, or procedure shall be imposed or
applied by any state or political subdivision in a
manner which results in a denial or abridgement of the
right of any citizen of the United States to vote on
account of race or color . . . .
42. In pertinent part, 42 U.S.C. 6 3604(a) pro
vides that it shall be unlawful "to refuse to . . . otherwise
make available or deny a dwelling to any person because of
race, [or] color. . . . "
43. In pertinent part, Article I, § 1 of the
Constitution of the State of flew York provides that:
* *
No member of this state shall be disfranchised, or
deprived of any of the rights or privileges secured to
any citizen thereof, . . . unless by law of the land, or
the judgment of his peers. . . .
44. In pertinent part, Article I, § 11 of the
Constitution of the State of New York provides that:
No person shall be denied the equal protection of the
laws of this state or any subdivision thereof. No
person shall, because of race, color, creed or religion,
be subjected to any discrimination in his civil rights
by any other person or by any firm, corporation, or
institution, or by the state or any agency or subdivi
sion of the state.
45. Section 40-c(l) of the New York Civil Rights
Law provides that:
All persons within the jurisdiction of the state shall
be entitled to the equal protection of the laws of this
state or any subdivision thereof.
16
46. In pertinent part, Section 40-c(2) of the New
York Civil Rights Law provides that:
No person shall, because of race, . . . be subjected to
any discrimination in his civil rights, . . . by any
other persons or by any firm, corporation or institu
tion, or by the state or any agency or subdivision of
the state.
47. In pertinent part, Section 291(2) of the
New York Executive Law (Human Rights Law) provides that:
The opportunity to obtain education, the use of places
of public accommodation and the ownership, use and
occupancy of housing accommodations and commercial space
without discrimination because of . . . race . . . is
hereby recognized as and declared to be a civil right.
48. The Federal Social Security Act, 42 U.S.C.
§§ 301 et sea. . guarantees 1̂*1 homeless families in the State
of New York safe and decent emergency housing.
49. Article XVII, § 1 of the Constitution of the
State of New York provides as follows:
The aid, care and support of the needy are public
concerns and shall be provided by the state and by such
of its subdivisions, and in such manner and by such
means, as the legislature may from time to time deter
mine .
Thus, in New York State, the provision of assistance to the
needy is not a matter of legislative grace; rather, it is
specifically mandated by the State Constitution.
Sections 62(1) and 131 of the New York Social Services Law
charge social service districts, such as the County, with the
responsibility to provide public assistance and care for
persons unable to provide for themselves.
17
50. Plaintiffs are persons protected by and having
enforceable rights under the provisions set out in paragraphs
39 through 49 above.
The Violation of Plaintiffs1 Rights and Injury
51. Beginning in or about February 1988 and
continuing thereafter to the present, the Conspiring
Defendants and their co-conspirators engaged in a conspiracy
in violation of 42 U.S.C. § 1985(3); defendant Veteran is a
participant in the conspiracy because he has initiated the
procedure on the Petition called for by the Village Law. The
conspiracy includes a continuing agreement, understanding and
concert of action for the purpose of:
a. Depriving, either directly or indirectly,
a person or class of persons -- racial minority citizens --
of the equal protection of the laws or of equal privileges
and immunities under the laws set forth above;
b. Preventing or hindering duly constituted
authorities of the State of New York — the County and the
Town — from giving or securing to all persons, including
racial minorities, in such State the equal protection of the
laws.
52. As set forth in paragraphs 21 through 30
above, the Conspiring Defendants did, or caused to be done,
acts in furtherance of the conspiracy alleged; as set forth
18
in paragraph 33 above, defendant Veteran did, or caused to be
done, an act in furtherance of the conspiracy alleged.
53. Plaintiffs have been injured in their person
or property or deprived of having and exercising rights and
privileges of a citizen of the United States, and have
thereby suffered and are threatened with irreparable injury,
including but not limited to the injury to homeless adults
and children caused by the denial of safe and decent emer
gency shelter.
54. Plaintiffs have sustained monetary damages in
amounts presently unknown.
** a
CLAIMS FOR RELIEF
Count I
55. Plaintiffs repeat paragraphs one through 54.
56. Defendants, by their acts, have conspired and
are continuing to conspire, in breach of 42 U.S.C. § 1985(3),
to abridge the voting rights of plaintiffs Yvonne Jones,
Odell A, Jones, Melvin Dixon, Geri Bacon, Mary Williams and
James Hodges in violation of the Fifteenth Amendment to the
Constitution of the United States, the Voting Rights Act of
1965, 42 U.S.C. § 1973, Article I, §§ 1 and 11 of the
New York Constitution, and §§ 40-c(l) and (2) of the New York
Civil Rights Law.
19
Count II
57. Plaintiffs repeat paragraphs one through 54.
58. Defendants, by their acts, have conspired and
are continuing to conspire, in breach of 42 U.S.C. $ 1985(3)-,
to violate and have violated the housing rights of plaintiffs
Anita Jordan, April Jordan, Latoya Jordan, Anna Ramos,
Lizette Ramos, Vanessa Ramos, Gabriel Ramos, Thomas Myers,
Thomas Myers, Jr., Linda Myers and Shawn Myers in violation
of the Fourteenth Amendment to the Constitution of the United
States, the Fair Housing Act, 42 U.S.C. § 3604, Article I,
§ 11 and Article XVII, § 1 of the New York Constitution,
§§ 40-c(1) and (2) of the N^r York Civil lights Law, and
§ 291(2) of the Executive Law of the State of New York.
Count III
59. Plaintiffs repeat paragraphs one through 54.
60. Defendants, by their acts, have conspired and
are continuing to conspire, in breach of 42 U.S.C. § 1985(3),
to abridge the rights of plaintiffs Anita Jordan, April
Jordan, Latoya Jordan, Anna Ramos, Lizette Ramos, Vanessa
Ramos, Gabriel Ramos, Thomas Myers, Thomas Myers, Jr., Linda
Myers and Shawn Myers to safe and lawful emergency shelter in
violation of the Fourteenth Amendment to the Constitution of
the United States, the Social Security Act, 42 U.S.C. § 301
et seg., Article I, § 11 and Article XVII, § 1 of the New
20
York Constitution, and §§ 62(1) and 131 of the New York
Social Services Law and the regulations promulgated
thereunder.
Count IV
61. Plaintiffs repeat paragraphs one through 54.
62. a. Article VI, Clause 2 of the Constitution
of the United States provides as follows:
This Constitution, and the Laws of the United States
which shall be made in Pursuance thereof . . . shall be
the supreme Law of the Land . . . any Thing in the
Constitution or Laws of any State to the Contrary
notwithstanding.
b. Article XIII, § 1 of the Constitution of
»* «the State of New-York provides as follows:
[A]11 officers, executive and judicial . . . shall . . .
take and subscribe the following oath or affirmation: "I
do solemnly swear (or affirm) that I will support the
constitution of the United States and the constitution
of the State of New York . . . "
c. Section 25 of the New York Town Law
provides as follows: "[E]very town officer shall take and
subscribe . . . the constitutional oath of office. . . . "
63. Under the constitutional provisions set forth
above, defendant Veteran has a duty to uphold federal and
state law. Moreover, in assuming his office as Town Super
visor, defendant Veteran swore an oath to uphold the
Constitution and laws of the United States and of the State
of New York.
21
64. Pursuant to New York Village Law §§ 2-204,
206, 208, defendant Veteran has certain duties to hold a
hearing and to render a decision with respect to the
Petition, either favorably (in which case the Petition would
be submitted for a vote by the electorate) or adversely (in
which case there would be no vote). Thus far, he has not
rendered that decision.
65. As set forth in paragraphs 31 through 38
above, there is a justiciable controversy between plaintiffs
and defendants as to their respective rights and obligations
under the foregoing Constitutional and statutory provisions.
* «
- Relief Sought
Accordingly, plaintiffs demand judgment as follows:
1. As to Counts I through III:
a. Declaring that defendants have conspired
in violation of 42 U.S.C. § 1985(3);
b. Directing entry of a permanent injunction
restraining defendants from continuing their unlawful con
spiracy, including, but not limited to, pursuing any further
proceedings with respect to the Petition to incorporate the
proposed Village of Mayfair Knollwood;
c. Awarding plaintiffs monetary damages in
such amount as may be proven at trial;
22
d. Awarding plaintiffs their reasonable
attorneys' fees, costs, and disbursements incurred in the
prosecution of this action.
2. As to Count IV, declaring that defendant
Veteran has the right and obligation, under the Constitution
and laws of the United States and the State of New York, to
deny or to refuse to proceed further with the Petition.
3. As to all Counts, directing such other and
further relief as the Court may deem just and proper.
Dated: Greenburgh, N.Y.
November 1, 1988
PAUL, WEISS, RIFKIND, WHARTON & GARRISON
By. Cameron Clark
Attorneys for Plaintiffs
1285 Avenue of the Americas
New York, N.Y. 10019
(212) 373-3000
Of Counsel,
Robert M. Hayes
Virginia G. Schubert
COALITION FOR THE HOMELESS
105 East 22nd Street
New York, N.Y. 10010
(212) 460-8110
Andrew M. Cuomo
2 Park Avenue
Suite 1415
New York, N.Y. 10016
(212) 686-1000
Edward Hailes, Jr.
NAACP, Inc.
260 Fifth Avenue
New York, N.Y.
(212) 481-410p
Julius L. Chambers
John Charles Boger
Sherrilyn Ifill
99 Hudson Street
New York, N.Y. 10013
(212) 219-1900
23
PFODOSFD
BOUNDARY OF
VILLAGE
MULTI-RACIAL
HOUSING
TOJTN OF GREEK BUR
Weucieaer Ctunrj, Nn» Y f*
In the Matter
ofthe Proposed Incorporation of
the Village of Mayfair Knollwood
A petition for the incorporation of certain territory
in the Town of Greenburgh c» the Village of Mayfair
K n v llw v v /J h e v i u g J u l y L « « ii iw w e iv w J b y turn u u Swpl«*ub«J. 14,
1988, end after due posting and publication of notice in
accordance with Section 2-204 of the Village Law, a hearing
to consider the legal sufficV.>ncy of euch petition having
been held on November 1, W 4 , at the Greenburgh Sown Hall,
Knollwood and Tarrytovm Roads, Elmsford, New York, and said
hearing having been adjourned until November 21, 1988 for
the receipt of written testimony, in accordance with Section
2-206 of the Village Law,»and all testimony and objections
having been heard;
Now, therefore, I hereby determine that the aforesaid
petition does not comply with the requirements of Article 2
of the Village Law, does not comply with the requirements of
the Constitution of the United States of America, and does
not comply with the requirements of the Constitution of the
State of New York, for the following reasons:
1. The boundary description submitted with the
petition did not describe the boundaries of the proposed
village with "common certainty" thereby making it impossible
to locate the boundaries with the precision that is
necessary. Numerous gaps in the proposed boundaries were
discovered making the description defective.
The memorandum in opposition aubmitted by the Town
Engineer clearly details the deficiencies in the boundary
description.
At least 15 voids in the description were discovered
rendering it impossible to accurately define the village
boundaries.
The description does not even begin at a known point on
a filed map which is the fundamental criteria of all
property descriptions.
The description uses the centerline of Grasslands Road
yet fails to note that Grasslands Road has been relocated
and that the centerline at many points lies within the Town
of Mount Pleasant. # •
For these reasons and the other reasons stated in the
memo of the Town Engineer the boundary description is
clearly defective and does not describe the proposed village
with "common certainty".
2. The boundaries, where ascertainable, were
gerrymandered in a manner to exclude black persons from the
proposed village. Such gerrymandering constitutes a blatant
attempt at racial discrimination and violates the rights
granted to all cititens by the Constitution of the United
States of America and the Constitution of the State of New
York.
In the entire 30 years during which I have held
elective office I have never seen such a blatant and
calculated attempt to discriminate. The boundaries
2 -
repeatedly deviate from a natural course solely to exclude
individual properties where blacks live. Within the
boundaries of the proposed village there is not a single
unit of multi-family housing, housing which historically has
been more accessible to minority groups because of its lower
cost.
The boundary tigs and sags approximately 1000 feet
along Route 9A to exclude a scatter site public housing
project populated by 25 black families. The boundary carves
around the Granada Condominium development on three sides to
exclude its approximately 90 black families. The boundary
carves around the Old Tarrytown Road School property, now
owned by a black developer, on three sides to exclude its
future population of 87 families, the minority of which are
anticipated to be black families. The boundary carves
through the neighborhood of North Elmsford, a neighborhood
which has stood cohesively as a unified area since the
1880's, including its predominantly white area in the
village but excluding its predominantly black area. The
boundary carefully excludes the black families of the River
Park Apartments, Parkway Homes, Parkway Gardens,
Hillside-Wyndover, and of course, the public housing and low
and moderate income housing areas of predominantly black
Fairview.
Included in the proposed village is all the available
undeveloped lands bordering black areas. These undeveloped
lands are the only natural expansion areas for the black
3 -
neighborhoods. By taking these lands it is clear that the
petitioners intend to stop the growth of the black
neighborhoods in an attempt to exclude future generations of
blacks from Greenburgh.
While Article 2 of the Village Law does not
specifically address itself to the "intent* of the
petitioners, I firmly believe that the rights granted by the
federal and state constitutions transcend the procedural
technicalities set forth in the Village Law.
The proceedures for the formation of a new village
cannot be used to accomplish an unlawful end. Therefore, it
is my obligation as a public official to defend the
constitution and to reject .the petition on the grounds thatft «
its purpose is" to discriminate against black persons, to
segregate them from whites by the imposition of political
barriers, and to prevent the natural expansion of the black
population in the Town of Greenburgh.
3. The new village was proposed for the sole purpose
of preventing the construction of transitional housing for
homeless families near the neighborhood of Mayfair
Xnollwood. Such an invidious purpose is not what was
contemplated by the Legislature when the statutes governing
the incorporation of villages were drawn and cannot be
permitted to succeed.
Historically, the legal concept of incorporated
villages was created to afford residents of an area an
opportunity to create a multipurpose special district to
- 4 -
secure fire or police protection or other public eervices.
Typically, clusters of people in an otherwise sparsely
settled town joined together to provide services that would
not be of benefit to the Town as a whole.
After World War II, the rapid population growth of
suburban towns led to the creation of town improvement
districts to provide needed services and the incorporation
of new villages virtually ceased and several existing
villages were dissolved.
The petitioners do not seek to incorporate to provide
themselves with services. The neighborhoods in question are
already serviced by town water, sewer, police and fire
protection.
*o «Rather, the petitioners seek to incorporate for another
purpose. Their stated purpose for forming the village is to
prevent the proposed construction of transitional housing
for 108 homeless families near their neighborhoods.
Before agreeing to consider the homeless project, now
known as Westhelp, the Town Board insisted that various
safeguards be made a part of the proposal to adequately
mitigate against any possible adverse impacts.
The Westhelp project includes a land set-aside of
approximately 34 wooded acres, the majority of which would
remain as a natural woodland buffer around all sides of the
housing with a minimum of 400 feet of woodlands between all
buildings and existing homes. The predominantly black
homeless residents would be provided on-site day cere,
5 -
counseling* social services* recreation* transportation/ and
24 hour security. Visitation would be restricted to a
single visitor's room in full view of a security guard.
Only homeless families would be housed on the premises
including only young mothers* their babies and other small
children. There would be no derelicts, drug addicts,
alcoholics* or bums. Children of school age would be bused
back to their school district of origin thereby providing
continuity of education. In summary, the project would
provide a clean* efficient, cost effective, and humane
alternative to welfare motels. The 108 families that would
be housed for an average stay of six months each represent
only a fraction of the ov^r 4500 homeless persons now
present in Westchester County.
Yet, given all the safeguards and the high purpose of
the Westhelp project, the petitioners have organised to stop
the project by any means possible solely because of the
irrational argument that it is to be located in their
"back-yard".
While Article 2 of the Village law does not
specifically address itself to the "intent" of the
petitioners, I firmly belie/e that the rights granted by the
federal and state constitutions transcend the procedural
technicalities set forth in the Village taw.
The proceedures for the formation of a new village
cannot be used to accomplish an unlawful end.
- 6 -
Therefore/ it is my obligation as a public official to
defend the constitution and to reject the petition on the
grounds that its purpose is to deny homeless persons needed
services/ to exclude homeless persons, and to racially
discriminate against homeless persons vho are predominantly
black.
4. The petition is defective in that a substantial
number of signatures were obtained under false pretenses. 1
have received numerous objections from persons vho signed
the petition stating that they were told that the petition
was only to ask for a straw poll of the residents on their
opinion as to whether a village should be formed, not a
petition to formally commehce the incorporation procedure.
5. The petition is defective in that a substantial
number of the signatures contain irregularities and do not
match the known signatures of the persons alleged to have
signed.
6. The petition is defective in that numerous
residents were omitted from the list of "regular
inhabitants". In particular, many of the newer residents
were omitted.
Datedt Elmsford, N.Y.
ANTHONY F.
Supervisor
Town of Greenburgh
i. F. VETERAN
arvisor
7 -
(212) 373-3234 June 8, 1989
Paul Agresta, Esq.
Town Hall, Town of Greenburgh
Tarrytown & Norwood Roads
Elmsford, New York 10523
Greenberg v. Veteran
Dear Paul:
I enclose for your review a draft petition for a
writ of mandamus. I am simultaneously circulating this draft
to my co-counsel for their comments as well.
We also are preparing an appendix of supporting
papers for the petition.
If you or Karen have any thoughts, please call me
(373-3234) or Bill Gerson (373-3416).
Sincerely,
Jay L. Himes
Enclosure
FEDERAL EXPRESS
cc: Joyce Knox
Jack Boger
Robert M. Hayes
Andrew M. Cuomo
Rev
ued
9/8
6
No. 39-7476
m •
0Q
UNITED STATES COURT OF APPEALS
‘ FOR THE SECOND CIRCUIT
In the Matter of the Applica
tion of MYLES GREENBERG and
FRANCES M. MULLIGAN,
Petitioners-Appellees,
-against-
ANTHONY F. VETERAN and
SUSAN TOLCHIN,
Respondents-Appellants.
NOTICE OF MOTION
Paul Agresta, Esq.
Town Attorney
Town of Greenburgh
P. 0. Box 205
Elmsford, New York
(914) 993-1546
» 10523