SABRINA B. KRAUS, J.
The underlying summary holdover proceeding was commenced by 46 Downing Street LLC against Otto Thompson, the rent control tenant of record, based on the allegation that respondent had sublet 46 Downing Street — apartment 1C, New York, New York 10014 — without permission, and in violation of section 226-b of the Real Property Law. At the time the proceeding was commenced, respondent was incarcerated. Kay K. Bourabah was not originally named or served in this proceeding, but she was substituted in by the inquest court
Petitioner issued a notice to cure dated March 19, 2009, requiring that respondent cure the alleged default by April 15, 2009. The notice to cure was served on Jose Salmon, who asserted he was a cotenant, at the subject premises on March 24, 2009, and a copy was delivered to Division of Housing and Community Renewal (DHCR) on March 25, 2009. The notice to cure
Petitioner issued a notice of termination on June 3, 2009, terminating respondent's tenancy effective June 25, 2009. The notice of termination was alleged to have been served by personal delivery to respondent at the subject premises on June 9, 2009, and on DHCR by personal delivery on the same date. Copies of both notices were mailed to Anna M. Kross Center (AMKC), 18-18 Hazen Street, East Elmhurst, NY 11370.
The petition is dated July 27, 2009, and issued on August 18, 2009. The affidavit of service alleges the notice of petition and petition were served by personal service on respondent at the subject premises on August 25, 2009, with a copy mailed to AMKC on August 26, 2009. The affidavits of service were filed with the court on August 27, 2009. The petition asserts that the subject premises is governed by rent stabilization, rather then rent control as alleged in the predicate notices.
The proceeding was initially returnable on September 3, 2009.
On August 31, 2009, respondent submitted an affidavit of unavailability, through Bourabah, asserting that respondent was incarcerated in Riker's Island pending trial, and seeking to have the proceeding adjourned to September 25, 2009, to obtain counsel to represent respondent.
On September 3, 2009, Salmon appeared and asserted he was in occupancy of the subject premises. The proceeding was adjourned to September 29, 2009 to afford Salmon an opportunity to seek counsel.
On September 29, 2009, it was asserted that respondent was incarcerated in Riker's and the proceeding was adjourned to
On October 8, 2009, the court signed an order to produce seeking the production of respondent from AMKC to the courthouse on October 30, 2009 for trial.
On October 30, 2009, the proceeding was adjourned to November 30, 2009 at 9:30 a.m. On November 30, 2009, the proceeding was adjourned to January 6, 2010, for inquest. The marking on the file indicates that the court sent a postcard to both parties, and that an order to produce was sent to the prison. On January 6, 2010, the proceeding was adjourned to January 29, 2010.
On January 7, 2010, the inquest court signed an order to produce respondent from Cape Vincent Correctional Facility to Civil Court on January 29, 2010.
On January 29, 2010, the inquest took place. On February 8, 2010, the inquest court issued a decision awarding petitioner a final judgment of possession, as against respondent and Bourabah, whom the court substituted in as a party in place of Jane Doe.
The decision provided:
The inquest court signed a judgment of possession on February 8, 2010, and the warrant of eviction issued on March 18, 2010. Petitioner asserts that the warrant was executed on April 30, 2010.
On April 10, 2013, respondent moved by order to show cause stating that he had not appeared because he was incarcerated at the time of the inquest, and asserting that the prison did not recognize the order to produce, that petitioner had failed to establish its claim of illegal subletting, that he had just been released from prison and was now homeless and that petitioner had intentionally obtained a judgment against him, on default, to regain possession of his rent-controlled apartment.
On April 19, 2013, MFY Legal Services appeared for respondent, and petitioner's counsel appeared. The parties entered into a stipulation adjourning the motions to May 23, 2013, allowing for the service of an amended motion by counsel on behalf of respondent, and providing for service of the balance of the papers.
Respondent filed an amended motion returnable May 23, 2013. Additionally, Tomoko Watabe, the new tenant in possession served a cross motion for attorneys' fees dated May 16, 2013, which does not appear to have been filed through the clerk's office or entered into the court computer.
On May 23, 2013, the parties filed a stipulation further adjourning the motions to June 28, 2013.
On June 28, 2013, the parties appeared with counsel ready to argue the motions. Petitioner's counsel made an application to have the motions referred to the inquest court. Respondent's counsel opposed said application and asked that this court retain jurisdiction. This court agreed that, given the issues raised, it was more appropriate for the inquest court to determine the
On July 1, 2013, Judge Kaplan directed this court to retain jurisdiction of the motions. Shortly thereafter, this court restored the proceeding on July 10, 2013, for further argument and clarification of the issues raised, and on said date, the motions and proceeding were adjourned to September 9, 2013, for submission of additional papers. On September 9, 2013, the motions were submitted and the court reserved decision.
Respondent is 57 years old and asserts that he has lived in the subject premises for approximately 50 years. Respondent is disabled, suffering from partial paralysis in his legs, and received supplemental security income (SSI) through which he paid the monthly rent for the subject premises of $450.25. Respondent moved into the subject premises as a child with his mother in 1963, and it is the only home he has known since that date. In 2004, respondent's mother died, and an eviction proceeding was commenced against respondent. However, respondent asserted a defense of succession, which petitioner acknowledged and said proceeding was discontinued.
Salmon became respondent's roommate in 2006 or 2007. They shared the subject premises through October 2008, when respondent was arrested and incarcerated at Riker's Island, pending criminal charges. Respondent asserts that, after his arrest, his rent continued to be paid by direct deposit for several months, and respondent states that subsequently his SSI was discontinued and his bank account was closed.
Respondent asserts that Salmon vacated in December 2009 or January 2010 due to harassment by petitioner. Petitioner asserts that no one else lived in the subject premises after said date. In October 2009, respondent was convicted of the pending charges and sentenced to five years in jail. At or about that time, respondent was transferred from Riker's Island to another facility in upstate New York.
Respondent moves to vacate the default judgment entered against him after inquest pursuant to CPLR 5015 (a) (1). Said statute provides that
Petitioner never served a copy of notice of entry on respondent, nor was a notice of entry filed with the court, therefore the motion to vacate the default is timely. If the court denied respondent's motion to vacate the default, respondent would be without a remedy to challenge the decision issued by inquest court, as no appeal lies from a default judgment (Lauer v City of Buffalo, 53 A.D.3d 213 [2008]; Bank Leumi Trust Co. of N.Y. v Sibthorpe, 161 A.D.2d 325 [1990]).
An application for relief from a default judgment is to be liberally construed (Myzal v Mecca, 28 A.D.2d 1022 [1967]). Moreover, there is a preference for cases to be determined on the merits rather then on default (DFI Communications v Golden Penn Theatre Ticket Serv., 87 A.D.2d 778 [1982]).
The right to be heard as contained in the Due Process Clause is a cornerstone of our system of justice (US Const Amend XIV; Mullane v Central Hanover Bank & Trust Co., 339 U.S. 306 [1950]). It is undisputed that due process is violated unless the "opportunity to be heard [is afforded] at a meaningful time and in a meaningful manner" (Fuentes v Shevin, 407 U.S. 67, 80 [1972] [internal quotation marks omitted]).
Respondent was denied due process and respondent has presented an excusable default for his failure to appear. Respondent was incarcerated at the time of the inquest, but made many and varied attempts to respond to the proceeding, which establish that his failure to appear was not willful and that his incarceration constituted a reasonable excuse to vacate the default (Matter of Kiesha G.-S. v Alphonso S., 57 A.D.3d 289 [2008]).
Incarceration can be the basis for excusable default. For example, in Benadon v Antonio (10 A.D.2d 40 [1960]), the Court
While there are some instances where incarceration was not deemed to be excusable default, those holdings are limited to situations where the respondent failed to notify the court of the incarceration and or where respondent was represented by counsel (see e.g. Matter of Fa'Shon S., 40 A.D.3d 863 [2007] [father's incarceration at time of hearing was not a reasonable excuse for his default where he provided no explanation as to why he failed to notify his attorney or the court of his imprisonment]).
In Town of Oyster Bay Hous. Auth. v Kohler (34 Misc.3d 1243[A], 2012 NY Slip Op 50518[U] [Nassau Dist Ct 2012]), a holdover proceeding was commenced against a tenant who was incarcerated, the landlord was aware that the tenant was incarcerated, and the tenant notified the court of said incarceration. Despite said notice, an inquest was held in the absence of the tenant, and the landlord was awarded a judgment of possession and issuance of the warrant. Subsequent to the inquest, the tenant made written submissions to the court which the court treated as a motion to vacate the default judgment, which it granted. Here, as in Kohler, respondent sent letters to the court after the inquest.
Respondent and his family also attempted to retain counsel. Respondent asserts that Paul Block was retained by his family and paid money. Respondent's brother met with Mr. Block at his law office in 2009 or 2010. Respondent's brother asserts that Mr. Block had advised him that the case had been adjourned a number of times, failed to keep him informed of the status of the case, failed to inform him of the date of the inquest
Respondent also asserts that he repeatedly made inquiries at the institution where he was incarcerated about being produced for the inquest. Respondent attaches documentary evidence supporting his claim that he made inquiries. Respondent also sent Bourabah to court to speak on his behalf.
The court finds respondent has established excusable default (see e.g. Weisbaum v Kastenbaum, 284 App Div 882 [1954] [held reversible error to deny a motion to vacate a default made three years after the default was issued, where the moving party was confined to a state institution for said period]; Pricher v City of New York, 251 A.D.2d 242 [1998] [held proper for trial court to vacate a default judgment made over one year after entry of the default, since one year had not lapsed since service of notice of entry and default was not willful, respondent always intended to defend the proceeding and had a meritorious defense]).
Additionally, respondent's application should be liberally viewed to the extent that his incarceration rendered him unable to adequately defend his rights in this proceeding. "Where an individual is incarcerated, the Court cannot find that said person has willfully absented himself from Court and proceed at inquest. In fact, the Court is under an obligation to use all necessary means to facilitate that individual's participation in the proceeding" (Matter of Kimberly A., 23 Misc.3d 1136[A], 2009 NY Slip Op 51159[U], *1-2 [Fam Ct, Queens County 2009] [citations omitted]).
The orders to produce issued did not result in respondent being produced, and did not comply with statutory requirements. Pursuant to CPLR 2302 (b) housing court judges lack jurisdiction to issue an order. Such an order must be signed by a supreme court justice, who has authority pursuant to CPLR 7002 (b) as referenced in CPLR 2302 (b). "Thus, if a practitioner must subpoena a prisoner to the New York City Housing Court
The decision of the inquest court noted that "the Court was advised [t]hat respondent's booking number does not appear in [t]he NYS Corrections Department Database." There are two numbers used to identify New York State prisoners, a department identification number (DIN) and a New York State identification number (NYSID). Either number can be used to obtain all information about New York State inmates including where the inmate is, for what duration, the periods of incarceration and parole, date of birth, and applicable charges. This information is available on the New York State Department of Corrections and Community Supervision website at http://nysdoccslookup.doccs.ny.gov. This court takes judicial notice that, when the NYSID number listed on all orders to produce for respondent is input, the information for respondent appears, and the DIN number of 09R3428 is the correct DIN number for respondent. It is not clear from the decision who advised the court that the DIN number was incorrect, but there was sufficient information just with the NYSID number for the court, petitioner or any other interested party to obtain the necessary information on the web.
Additionally, the order to produce issued directed that respondent be placed on a bus and physically produced in court. The preprinted form used was an outdated form. Because of the cost involved in physically producing incarcerated litigants, such an order to produce is no longer typically used in Housing Court cases. The form now typically issued by the court would be an order to produce for a videoconference. Videoconferences have routinely been employed by Housing Court, and other trial courts, to allow incarcerated litigants to appear since at least 2008. Once such an order to produce is properly issued, it is then provided by the judge to administration, who coordinates the appearance of the inmate with the facility via videoconference. Administration will generally send the housing court judge confirmation that such videoconference has been scheduled and
Additionally, it is common for housing court judges to consider the appointment of a guardian ad litem (GAL), if necessary, when a litigant is incarcerated. This is employed because often appearing by videoconference is insufficient for the litigant to take the steps necessary to defend his rights in the proceeding. Petitioner argues that such a determination is left to the sound discretion of the court, and that the inquest court exercised its judgment to determine such relief was not warranted. However, there is nothing in the record that indicates that the inquest court even considered the possibility of appointing a GAL for respondent.
There is precedent in New York law for finding that an incarcerated litigant is considered as a person for whom a guardian ad litem should be appointed. For example, SCPA 103 (40) defines a person under disability to include a person who is confined as a prisoner who fails to appear, under circumstances that the court finds are due to confinement in a penal institution. The statute requires that a GAL be appointed for such a person.
As held by the Appellate Division, First Department in Matter of Brown (19 A.D.2d 24, 25-26 [1963]):
In Matter of Jung (State Commn. on Jud. Conduct) (11 N.Y.3d 365 [2008]) the Court of Appeals held that trial courts should insure that incarcerated litigants have a meaningful opportunity to be heard. The Court of Appeals noted that "[t]he right to be heard is fundamental to our system of justice ... and ... attaches... regardless of a party's status as incarcerated" (id. at 373). The Court of Appeals further held that a policy of leaving an incarcerated litigant to produce himself "resulted in gross... deprivation of the fundamental right to be heard, and had grave consequences for litigants" (id. at 375).
This court holds that a person who fails to appear in a summary proceeding due to incarceration, and whom the court is unable to have produced via videoconference or otherwise, is
Finally, petitioner argues that the court should conduct a hearing on the issue of excusable default, implying that it is possible that the order to produce was received by the prison and that respondent may have simply refused to be produced. There is no basis in the record for the court to make any such inference, nor to require a hearing on said issue.
Based on the foregoing, the court finds respondent has established excusable default.
In addition to a showing of excusable default, respondent must also assert a meritorious defense to petitioner's cause of action (Goldman v Cotter, 10 A.D.3d 289 [2004]; DeStaso v Bottiglieri, 52 A.D.3d 453 [2008]). Normally, such a defense would be asserted in a proposed answer annexed to the motion to vacate the default (Armstrong Trading, Ltd. v MBM Enters., 29 A.D.3d 835 [2006]), but a proposed answer is not necessary where affidavits are submitted that sufficiently set forth the existence of a meritorious defense to the claim (Frank v Martuge, 285 A.D.2d 938 [2001]).
Respondent asserts several meritorious defenses to the underlying cause of action. Respondent asserts that the arrangement with Solomon was not a subletting arrangement, but a roommate arrangement. At the time of the inquest, Solomon had vacated and the only alleged occupant was the mother of respondent's child and respondent's minor child, whom it is asserted entered into possession without respondent's permission or knowledge and can not be considered a subtenant because of the familial relationship between the parties.
Moreover it is well settled that the rights of tenants are not extinguished by their incarceration. The New York State Constitution provides that no "person shall be deemed to have gained or lost a residence, by reason of his presence or absence... while confined in any public prison" (NY Const. art II, § 4; see also Matter of Corr v Westchester County Dept. of Social Servs., 33 N.Y.2d 111 [1973]).
In the context of rent regulated tenancies, these protections have been deemed to provide that absence from a rent regulated apartment due to incarceration is excusable and does not preclude the assertion of rights under rent regulation (Kelly
In 216-220 E. 67th St. Assoc. v Quinn (136 Misc.2d 188 [1987]), Judge Gangel-Jacob granted a tenant summary judgment dismissing an illegal subletting case where the tenant was incarcerated. The court held that the tenant, who had been sentenced to four years in jail, continued to maintain the subject premises as his primary residence while incarcerated, and that subletting in accordance with statutory requirements is permissible for the purpose of allowing the tenant to retain his home during the absence that was required by his incarceration. The court held that, even if the tenant was not released from prison by the end of the proposed sublease, the tenant reasonably expected to return as soon as possible. Finally the court noted that "[t]o allow landlord to reject the sublease and evict [tenant] would be unreasonable from the standpoint of public policy as well as law. [Tenant's] readjustment to society upon his release from prison would be hindered if he had no home to which he could return." (Id. at 192.)
Moreover, the pleadings on their face appear to contain numerous defects. This is acknowledged by petitioner, who now moves to amend the petition in the event the default is vacated. Petitioner argues that the defects in the predicate notices should be overlooked by the court and are not sufficient to warrant dismissal. This will be an issue for the trial court. Petitioner acknowledges that the petition contained the incorrect regulatory status of the subject premises.
Similarly, the predicate notices, which are not subject to amendment, provide that respondent is being evicted for his violation of Real Property Law § 226-b, which petitioner acknowledges is inapplicable to rent-controlled tenants. The predicate notices otherwise fail to cite any specific provision of the rent control laws pursuant to which the proceeding was maintained.
Petitioner now asserts in its motion papers that Administrative Code of the City of New York § 26-408 (a) allows for respondent's eviction under these circumstances and further argues that the failure to cite said provision in the predicate notices and pleading is immaterial.
Additionally, petitioner served a notice to cure which would presume a right to cure any breach established at trial, posttrial. In the case at bar it is acknowledged that Salmon had
Based on the foregoing the court finds that respondent has sufficiently articulated meritorious defenses to support vacating the default judgment, and which ought to be determined by the court at trial.
Petitioner argues that even if the court finds that respondent has sufficiently asserted excusable default and meritorious defense, the court should decline to vacate the default based on laches. The court does not find that laches should bar respondent from having his day in court. Respondent's default was not willful and the delay in seeking to vacate the default was beyond his control. Moreover, the prejudice to petitioner, who asserts having spent $200,000 in renovations to the subject premises, is outweighed by the potential prejudice to the rent-controlled tenant of losing the home he has occupied for most of his life where the underlying cause of action appears questionable, without ever having had a day in court. Mere delay, however long, is in and of itself insufficient to establish laches (Weiss v Mayflower Doughnut Corp., 1 N.Y.2d 310 [1956] [mere delay however long insufficient to establish laches without other elements of equitable estoppel]).
Based on the foregoing the court does not find respondent's application is precluded by laches.
Respondent's motion to vacate the default is granted. Respondent's request to be restored to possession shall be held in abeyance pending the outcome of the trial. The judgment entered against respondent shall also be held in abeyance, in accordance with CPLR 5015. The court chooses to open the default, allow respondent to defend on the merits, but keep the judgment in place as security while the trial proceeds (Treitel v Arnold Chait, Ltd., 20 A.D.2d 711 [1964]).
If respondent prevails at trial then the default judgment shall be vacated. Respondent's tenancy is reinstated and respondent restored to possession effective March 1, 2014, as respondent has agreed in such event to defer his right to restoration through said date, so as to permit Watabe to remain in possession through the expiration of his current lease term.
Respondent's motion to join Watabe as a party is granted as Watabe's rights as the tenant in possession will be impacted by the trial and Watabe must be a party in order for the court to be able to award complete relief in the event that restoration is appropriate, and to afford Watabe an opportunity to be heard.
Petitioner's motion to amend the petition is granted. Petitioner shall serve an amended petition on respondent and Watabe within five days of receipt of this order. Respondent and Watabe shall serve an answer or responsive pleading within 10 days thereafter.
Watabe's motion for attorneys' fees is denied without prejudice to renewal at the conclusion of the proceedings, if there is a basis at said time to consider said relief.
