JOSÉ A. CABRANES, Circuit Judge:
The question presented is whether plaintiff Disability Advocates, Inc. ("DAI")—a private nonprofit organization contracted to provide services to New York State's protection and advocacy ("P & A") system under the Protection and Advocacy for Individuals with Mental Illness Act ("PAIMI"), 42 U.S.C. § 10801 et seq.—has standing to sue various state agencies and officials on behalf of certain individuals with mental illness residing in New York City for an alleged violation of the "integration mandate" of Title II of the Americans with Disabilities Act ("ADA"), 42 U.S.C. § 12132, and Section 504 of the Rehabilitation Act, 29 U.S.C. § 794.
We conclude that because DAI does not have the "indicia of membership" required of nonmembership organizations for "associational standing," see Hunt v. Wash. State Apple Adver. Comm'n, 432 U.S. 333, 343, 97 S.Ct. 2434, 53 L.Ed.2d 383 (1977), DAI fails to satisfy the standing requirements under Article III of the United States Constitution as interpreted by the Supreme Court.
Because DAI lacks standing, we must also decide whether the intervention of the United States—which occurred after the determination of liability by the United States District Court for the Eastern District of New York (Nicholas G. Garaufis, Judge) but before the imposition of a remedy—was sufficient to cure the jurisdictional defect that would have barred the District Court from hearing the suit as originally brought. We hold that in the circumstances presented here it was not sufficient. We therefore vacate the March 1, 2010 judgment and remedial order of the District Court and dismiss the action for want of jurisdiction.
In 1986, Congress enacted PAIMI
New York has designated the Commission on Quality of Care and Advocacy for Persons with Disabilities ("CQCAPD") as the State's P & A system for persons with mental illness pursuant to PAIMI, 42 U.S.C. § 10821.
On July 1, 2003, DAI initiated this action by filing suit against the Governor of the State of New York, the New York State Department of Health, the New York State Department of Mental Health, and the commissioners of those two agencies (collectively, the "State" or "defendants")
After discovery, the State brought a motion for summary judgment challenging, among other things, DAI's standing to sue on behalf of its constituents under PAIMI and Article III of the United States Constitution. The District Court denied the motion for summary judgment and rejected the standing argument, concluding that DAI had statutory standing pursuant to § 10805(a)(1)(B)
Following a five-week bench trial, the District Court concluded that "[i]n carrying out their administration of New York's mental health service system, [d]efendants have denied thousands of individuals with mental illness in New York City the opportunity to receive services in the most integrated setting appropriate to their needs." Disability Advocates, Inc. v. Paterson, 653 F.Supp.2d 184,
On October 23, 2009, more than six years after the complaint was filed, the United States moved to intervene at the remedial stage of the litigation pursuant to Rule 24 of the Federal Rules of Civil Procedure.
On March 1, 2010, the District Court rejected the State's proposed remedial plan as "unreasonable and inadequate," Disability Advocates, Inc. v. Paterson, No. 03-cv-3209, 2010 WL 786657, at *7 (E.D.N.Y. Mar. 1, 2010), and entered a judgment and remedial order adopting DAI's proposed remedy with minor modifications, see Judgment and Remedial Order, Docket No. 405 (E.D.N.Y. Mar. 1, 2010). Among other things, the remedy fashioned by the District Court required the State to ensure that, within four years of the entry of the District Court's order,
Id. at 3 (emphasis supplied).
Defendants appeal from the March 1, 2010 judgment and remedial order of the District Court. On appeal, they argue, among other things, that the District Court erred in concluding that DAI had constitutional standing to pursue this litigation. State's Br. 74-79. Because standing is "the threshold question in every federal case" and raises an issue with respect to the Court's subject-matter jurisdiction, we turn first to that claim. Denney v. Deutsche Bank AG, 443 F.3d 253, 263 (2d Cir.2006) (quoting Warth v. Seldin, 422 U.S. 490, 498, 95 S.Ct. 2197, 45 L.Ed.2d 343 (1975)).
Whether a plaintiff has standing to sue is a question of law, which we review de novo. See, e.g., Carver v. City of New York, 621 F.3d 221, 225 (2d Cir.2010).
What constitutes the "irreducible constitutional minimum of standing" is firmly established. Lujan v. Defenders of Wildlife, 504 U.S. 555, 560, 112 S.Ct. 2130, 119 L.Ed.2d 351 (1992). The limitation on the federal judicial power under the United States Constitution to "cases" and "controversies," U.S. Const. art. III, § 2, requires that the party invoking federal jurisdiction demonstrate "(1) injury-in-fact, which is a `concrete and particularized' harm to a `legally protected interest'; (2) causation in the form of a `fairly traceable' connection between the asserted injury-in-fact and the alleged actions of the defendant; and (3) redressability, or a non-speculative likelihood that the injury can be remedied by the requested relief." W.R. Huff Asset Mgmt. Co. v. Deloitte & Touche LLP, 549 F.3d 100, 106-07 (2d Cir.2008) (quoting Lujan, 504 U.S. at 560-61, 112 S.Ct. 2130).
When an association asserts standing solely as the representative of its members, it "must allege that its members, or any one of them, are suffering immediate or threatened injury as a result
432 U.S. at 343, 97 S.Ct. 2434. Two decades after Hunt, the Supreme Court clarified that the first two of these requirements are constitutional limitations, whereas the third requirement is a "prudential limitation" that may be abrogated by Congress. United Food & Commercial Workers Union Local 751 v. Brown Grp., 517 U.S. 544, 557, 116 S.Ct. 1529, 134 L.Ed.2d 758 (1996).
The Hunt Court concluded that the Washington State Apple Advertising Commission—a state agency charged by statute with the promotion and protection of the State's apple industry on behalf of apple growers and dealers—was not a membership organization, but it nevertheless satisfied the first prong of the associational standing test because "in a very real sense ... the Commission represent[ed] the State's growers and dealers and provide[d] the means by which they express[ed] their collective views and protect[ed] their collective interests." Id. at 344-45, 97 S.Ct. 2434. Furthermore, the apple growers and dealers "alone elect[ed] the members of the Commission; they alone [could] serve on the Commission; they alone finance[d] its activities, including the costs of [litigating Hunt], through assessments levied upon them." Id.
In sum, the Supreme Court reasoned that, although the Commission did not have "members" in the "traditional" sense, its "constituency" possessed "all the indicia of membership." Id. We have therefore recognized that—assuming the other criteria for associational standing are met— non-membership organizations may sue in a representative capacity when they "function[ ] effectively as a membership organization." In re Holocaust Victim Assets Litig., 225 F.3d 191, 196 (2d Cir.2000).
On the threshold jurisdictional question of standing, the only dispute is whether DAI—which is not a membership organization—satisfies the first prong of the test for associational standing under Hunt. Defendants argue that DAI cannot meet this requirement (i.e. that its members would otherwise have standing to sue in their own right) because DAI's constituents lack two key indicia of membership: representation and control. In turn, DAI and the United States contend that Hunt does not render representation and control the only indicia of membership sufficient to create "members" out of "constituents" for purposes of associational standing.
Pursuant to PAIMI, P & A systems must ensure that they are responsive to the needs of the community they were created to represent. Accordingly, the governing board of all P & A systems must be "composed of ... members ... who broadly represent or are knowledgeable about the needs of the clients served by the system"; such members are defined to include "individuals who have received or are receiving mental health services and family members of such individuals." 42
Id. § 10805(a)(6)(B-C). Finally, PAIMI also requires that P & A systems establish a grievance procedure for clients or prospective clients to "assure that individuals with mental illness have full access to the services of the system." Id. § 10805(a)(9).
Whether these protections are sufficient to connote the "indicia of membership" required for associational standing under Hunt has not heretofore been addressed in this Circuit. Some, but not all, courts of appeals to address the question have concluded that they are sufficient. See Or. Advocacy Ctr. v. Mink, 322 F.3d 1101, 1110 (9th Cir.2003) (concluding that the "constituents" of Oregon's P & A system "possess many indicia of membership— enough to satisfy the purposes that undergird the concept of associational standing: that the organization is sufficiently identified with and subject to the influence of those it seeks to represent as to have a `personal stake in the outcome of the controversy.'" (quoting Vil. of Arlington Heights v. Metro. Hous. Dev. Corp., 429 U.S. 252, 261, 97 S.Ct. 555, 50 L.Ed.2d 450 (1977))); Doe v. Stincer, 175 F.3d 879, 886 (11th Cir.1999) (concluding that the requirements under § 10805 ensure that "[m]uch like members of a traditional association, the constituents of the [P & A system] possess the means to influence the priorities and activities the [system] undertakes"); but see Ass'n for Retarded Citizens of Dall. v. Dall. Cnty. Mental Health & Mental Retardation Ctr. Bd. of Trs., 19 F.3d 241, 244 (5th Cir.1994) (concluding that Texas's P & A system bore "no relationship to [a] traditional membership group[ ], because most of its `clients' . . . are unable to participate in and guide the organization's efforts"); Mo. Prot. & Advocacy Servs., Inc. v. Carnahan, 499 F.3d 803, 810 (8th Cir.2007) (concluding same with respect to Missouri's P & A system).
We need not—and do not—decide which of our sister circuits has the better of this argument, because DAI is not a P & A system but a contractor to the system, see notes 5-6, ante, designated to provide protection and advocacy services under PAIMI. Zucker Aff. ¶ 6. This distinction is critical to the question of whether DAI has associational standing because the sole basis cited in both Stincer (Eleventh Circuit) and Mink (Ninth Circuit) for finding that P & A systems have associational standing to sue on behalf of individuals with mental illness is that § 10805 affords individuals with mental illness (and their families and representatives) the requisite "indicia of membership" in the administration of the system.
The District Court did not consider whether DAI is subject to any of the statutory requirements under § 10805 such that it might satisfy the constitutional requirements for standing under Hunt. More importantly, however, DAI does not claim that its constituents have a sufficiently active affiliation with the organization. Cf. Hunt, 432 U.S. at 344-45, 97 S.Ct. 2434 (recognizing that the apple growers and dealers "alone elect the members of the Commission; they alone may serve on the Commission; [and] they alone finance its activities"). Tellingly, there is scant evidence
To the extent DAI relies on District Court cases in this Circuit for the proposition that contractors have associational standing to sue on behalf of individuals with mental illness, those cases are inapposite in one of two ways. First, cases that have recognized the associational standing of non-membership organizations have almost exclusively concerned P & A systems rather than P & A contractors such as DAI. See, e.g., State of Conn. Office of Prot. & Advocacy for Persons with Disabilities v. Connecticut, 706 F.Supp.2d 266, 281-83 (D.Conn.2010). Second, those cases that have recognized the distinction between systems and contractors of systems have elided the constitutional dimensions of associational standing entirely. See, e.g., Rubenstein v. Benedictine Hosp., 790 F.Supp. 396 (N.D.N.Y.1992). They are therefore of little value to DAI and the United States in this case, which turns entirely on whether DAI meets the constitutional threshold for associational standing set forth by the Supreme Court.
Hunt held that the Constitution requires that the constituents of a non-membership organization manifest the "indicia of membership" for that organization to have associational standing to sue on their behalf. On the record before us, DAI has established that CQCAPD, New York's P & A system, is bound by the statutory requirements of § 10805, but we can find no support for the proposition that DAI itself is subject to those requirements or has adopted the same statutory protections. Without those protections, there is no evidence that the individuals with mental illness on behalf of whom DAI brought this case have anything approaching the indicia of membership that is required under Hunt, much less that DAI "function[s] effectively as a membership organization." See In re Holocaust Litig., 225 F.3d at 196. We therefore hold that DAI has failed to satisfy the constitutional requirements for associational standing prescribed by the Supreme Court in Hunt and its progeny.
The United States argues that even if DAI lacks standing to pursue this claim, the intervention of the United States after the completion of the liability phase of the case is sufficient to permit the case to move forward. See United States Br. 77-80. We disagree.
We have long recognized that "`if jurisdiction is lacking at the commencement of [a] suit, it cannot be aided by the intervention of a [plaintiff] with a sufficient claim.'" Pressroom Unions-Printers League Income Sec. Fund v. Cont'l Assurance Co., 700 F.2d 889, 893 (2d Cir.1983) (quoting Pianta v. H.M. Reich Co., 77 F.2d 888, 890 (2d Cir.1935)) (brackets in original); see also 7C C. Wright, A. Miller, & M. Kane, Federal Practice and Procedure § 1917, at 457 (3d ed. 2005) ("Intervention cannot cure any jurisdictional defect that would have barred the federal court from hearing the original action."). This is no casual observation; our recognition that "[t]he right to intervene presupposes an action duly brought," Pianta, 77 F.2d at 890, reflects the Supreme Court's long-held understanding that where a "cause of action ha[s] not accrued to the [party] who undertook to bring the suit originally.... intervention [can]not cure th[e] vice in the original suit." U.S. ex rel. Tex. Portland Cement Co. v. McCord, 233 U.S. 157, 163-64, 34 S.Ct. 550, 58 L.Ed. 893 (1911); accord Town of West Hartford v. Operation Rescue, 915 F.2d 92, 95 (2d Cir.1990) ("[I]t is fundamental that an intervening claim cannot confer subject matter jurisdiction over the action it seeks to join.").
The logic that underlies this rule is clear enough. Intervention is a procedural means for entering an existing federal action. See Canatella v. California, 404 F.3d 1106, 1113 (9th Cir.2005). The Federal Rules of Civil Procedure "do not extend or limit the jurisdiction of the district courts." Fed R. Civ. P. 82. That is, Rule 24 does not itself provide a basis for jurisdiction. Accordingly, "since intervention contemplates an existing suit in a court of competent jurisdiction and because intervention is ancillary to the main cause of action, intervention will not be permitted to breathe life into a `nonexistent' law suit." Fuller v. Volk, 351 F.2d 323, 328 (3d Cir.1965). Indeed, this rule is so deeply entrenched in our jurisprudence that it is an axiomatic principle of federal jurisdiction in every circuit to have addressed the
In Hackner v. Guar. Trust Co., 117 F.2d 95 (2d Cir.1941), we recognized a district court's discretion to treat the pleading of an intervenor as a separate action in order to adjudicate the claims raised by the intervenor even if the underlying claim was jurisdictionally deficient. There, plaintiffs sought to amend the complaint by substituting one party for two others twenty two days after the complaint was filed and before any action by the defendants had been taken. Rather than start again, we distinguished Pianta and its progeny and permitted the suit to proceed because the intervention had occurred before any action by the defendants had been taken. Id. at 99. As Judge Charles E. Clark, the chief architect of the Federal Rules of Civil Procedure, noted, "whether the matter is treated as one of amendment . . . or of commencement of a new action," the action can continue "without the delay and expense of a new suit, which at long last will merely bring the parties to the point where they now are." Id. Since Hackner, this prudential approach has found favor in other courts. See, e.g., Miller & Miller Auctioneers, Inc. v. G.W. Murphy Indus., Inc., 472 F.2d 893, 895 (10th Cir.1973).
Unlike in Hackner, however, the United States intervened in this case after the trial had concluded. Permitting this case to continue would allow the Hackner exception (that curative interventions be construed as separate actions when they are effected at the beginning of the proceedings) to swallow the clearly-established constitutional rule that intervention cannot cure any jurisdictional defect that would have barred the federal court from hearing the original action.
The fact that the United States adopted in its complaint the findings of fact and conclusions of law of the District Court does not justify the conclusion that we should exercise our discretion to permit this case to proceed. The relevant question under Hackner is not whether the curative intervenor is prepared to take the case "as he finds it" for the sake of judicial economy, but rather, whether he entered sufficiently early in the litigation to ensure that parties "invok[ing] the court's jurisdiction have `alleged such a personal stake in the outcome of the controversy as to assure that concrete adverseness which sharpens the presentation of issues upon which the court so largely depends for illumination of difficult . . . questions.'" Duke Power Co. v. Carolina Envtl. Study Grp., 438 U.S. 59, 72, 98 S.Ct. 2620, 57 L.Ed.2d 595 (1978) (quoting Baker v. Carr, 369 U.S. 186, 204, 82 S.Ct. 691, 7 L.Ed.2d 663 (1962)). In this case, the District Court decided important questions of fact and law based entirely on the presentation of a plaintiff who lacked standing. The fact that the United States later "adopted" those findings and conclusions cannot remedy
In sum, we conclude that because "[t]he right to intervene presupposes an action duly brought," Pianta, 77 F.2d at 890, the intervention of the United States six years into this litigation and after the conclusion of a trial on liability was not sufficient to cure the defect in the District Court's jurisdiction when it entered its findings of fact and conclusions of law on the merits.
If a plaintiff lacks standing, the federal "courts have no business deciding [the case], or expounding the law in the course of doing so." DaimlerChrysler Corp. v. Cuno, 547 U.S. 332, 340-41, 126 S.Ct. 1854, 164 L.Ed.2d 589 (2006). Because we agree with defendants that DAI does not have standing and that the intervention of the United States was insufficient to cure that jurisdictional defect, we vacate the judgment and remedial order of the District Court and dismiss the action for want of jurisdiction.
In reaching this conclusion, we are mindful of the possibility that this litigation will continue, inasmuch as the United States—whose standing is not disputed— has represented that, in the event of a dismissal on the basis of standing, it would re-file the action and submit the same evidence at a subsequent trial. Individual plaintiffs with standing could, of course, pursue further litigation as well, either in conjunction DAI or on their own. We are not unsympathetic to the concern that our disposition will delay the resolution of this controversy and impose substantial burdens and transaction costs on the parties, their counsel, and the courts. Should that situation arise, we are confident that the experienced and able district judge, as a consequence of his familiarity with prior proceedings, can devise ways to lessen those burdens and facilitate an appropriate, efficient resolution.
Although we are not presently required to consider the issue of remedy, we do have concerns about the scope of the proposed remedy. If this controversy continues, and if the renewed litigation reaches the remedial phase, the parties and the District Court will have another opportunity to consider an appropriate remedy.
To summarize, we conclude that:
The District Court's March 1, 2010 judgment and remedial order is therefore
Each party shall bear its own costs.
Conn. Office of Prot. & Advocacy for Persons with Disabilities v. Hartford Bd. of Educ., 464 F.3d 229, 233 n. 1 (2d Cir.2006). To avoid confusion, we refer to the Act exclusively by its current acronym, PAIMI.
42 U.S.C. § 10802(4). 42 U.S.C. § 10804(d) modifies the definition under certain circumstances for individuals with mental illness as defined under § 10802(4)(B)(i)(III). 42 U.S.C. § 10804(d) ("The definition of `individual with a mental illness' contained in section 10802(4)(B)(iii) of this title shall apply ... only if the total allotment under this title for any fiscal year is $30,000,000 or more."). None of the parties contend that § 10804(d) is applicable here.
"Supported Housing" refers to scattered-site residential settings "in which individuals live in their own apartment and receive services to support their success as tenants and their integration into the community." Id. The District Court's findings that (1) "virtually all of [DAI's] constituents are qualified to receive services in `supported housing'"; (2) supported housing is "a far more integrated setting" than adult homes; and (3) that DAI's constituents are not opposed to receiving services in more integrated settings, served as the basis for the Court's conclusion that "DAI ha[d] established a violation of the integration mandate of the ADA and the Rehabilitation Act." DAI II, 653 F.Supp.2d at 187-88.
We reject the argument that merely because DAI lacks standing to assert this claim on its own, it cannot fulfill its legislative responsibility to "pursue . . . legal . . . remedies to ensure the protection of individuals with mental illness." 42 U.S.C. § 10805(a)(1)(B); see United States Br. 66. In circumstances where P & A contractors cannot bring suits "in their own right" because of constitutional standing requirements, they may provide representation to individuals with mental illness and litigate those cases in the names of those individuals. That contractors such as DAI must satisfy the minimum requirements of constitutional standing does not foreclose access to the federal courts for those organizations or the individuals whose interests they are intended to serve.
Indeed, as the District Court observed, citing one of plaintiff's own experts, "some of the current and former Adult Home residents who testified in this case engage in advocacy on behalf of Adult Home residents—they lobby State government, participate in rallies, and attend meetings of advocacy organizations for individuals with mental illness." DAI II, 653 F.Supp.2d at 216. One witness testified that "he went to Albany five times to lobby for an [i]ncrease of spending allowance, clothing allowance, better medical and mental conditions, air conditioners in the room and housing." Id. at 216 n. 207 (quotation marks omitted). As one of the amici explained, "the vast majority of adult-home residents are not severely impaired," and "93% had no-to-mild impairment of their overall cognitive skills...." Am. Ass'n of Cmty. Psychiatrists Br. 18. This evidence supports the conclusion that most of the individuals on behalf of whom DAI advocates were not precluded, by virtue of their mental illness, from either exercising some degree of control over an organization that purports to represent their legal interests or, as appears to be the norm in DAI's own protection and advocacy litigation, participating alongside DAI as plaintiffs (either in their own names or using initials or "John Doe").