DocketNumber: C.A. No. PC 06-1866
Judges: SAVAGE, J.
Filed Date: 3/20/2007
Status: Precedential
Modified Date: 7/6/2016
Judge Yashar has filed a cross-motion for summary judgment in which she first seeks dismissal of this action on the grounds that the State lacks standing to bring it or, alternatively, that this Court lacks jurisdiction to review a pension decision of the State Court Administrator. As to standing, she argues that neither the Attorney General nor the General Treasurer has suffered any injury-in-fact. As to jurisdiction, she contends that a decision of the State Court Administrator is subject to review only by way of a common law writ of certiorari to the Rhode Island Supreme Court.
Assuming, arguendo, that this Court determines that the State has standing to bring this action and that it has jurisdiction over the State's action for declaratory and equitable relief, Judge Yashar seeks a declaration by this Court that she is entitled, as a matter of law, to the retirement pension that she is currently receiving of 100% of her pre-retirement salary. She claims that under the judicial pension statute in dispute, R.I. Gen. Laws §
For the reasons set forth in this Decision, this Court grants the State's motion for partial summary judgment and denies Judge Yashar's cross-motion for summary judgment. This Court finds that the Attorney General has standing to bring this action for declaratory relief on behalf of the public to ensure that public officials receive retirement pensions that are not in excess of those granted by state law. Similarly, the General Treasurer, in his capacity as Chairman of the ERSRI, has standing to bring this action to ensure the legal disbursement of public funds. This Court finds further that there is no jurisdictional hurdle to it entertaining such an action for declaratory and injunctive relief.
This Court declares that, under Rhode Island law, Judge Yashar is entitled not to the 100% pension that she is currently receiving, but to a pension equal to 75% of her pre-retirement salary.2 While the judicial pension statute, R.I. Gen. Laws
In August of 2004, Albert E. DeRobbio, Chief Judge of the Rhode Island District Court and the RITT ("Chief Judge DeRobbio"), filed a multiple charge complaint against Judge Yashar with the Commission on Judicial Tenure and Discipline ("the Commission"). This complaint apparently alleged that, on various dates in 2004, she either failed to appear to perform her duties as Magistrate Judge of the RITT or that she arrived late for or left early from such duties. See In re Marjorie R. Yashar,Magistrate Judge for the Rhode Island Traffic Tribunal, C.A. No. 05-271-M.P. (R.I. 2005) (Order) (filed Oct. 5, 2005); App. to Def.'s Aff. at 25-26. On February 7, 2005, during the pendency of that complaint, Judge Yashar requested, by letter through her legal counsel, that Chief Judge DeRobbio place her on temporary medical leave, of undefined duration, *Page 5 during which time she expected that she would not be paid. App. to Def.'s Aff. at 1 (Letter from John D. Lynch, Esq. to Chief Judge DeRobbio dated Feb. 7, 2005).7 The letter stated that a report from her physician, Frank W. Sullivan, M.D., was enclosed and that it was his recommendation that "she take a medical leave of absence from work for the next several weeks." Id.8 The letter further referenced her counsel's "understanding" that an unpaid leave of absence would not adversely affect the medical or retirement benefits to which she otherwise would be entitled. Id.9 There is no evidence in the record to suggest that this understanding was the product of any express communication *Page 6 between (1) Judge Yashar or her counsel and (2) Chief Judge DeRobbio or any other state official.
Chief Judge DeRobbio responded, by letter dated February 10, 2005, in one substantive line as follows: "Pursuant to the request contained in your letter of February 7, 2005, and the accompanying report from Frank W. Sullivan, M.D., dated February 8, 2005, Judge Marjorie R. Yasharshall be placed on leave without pay status retroactive to Tuesday, February 1, 2005." App. to Def.'s Aff. at 2 (Letter from Chief Judge DeRobbio to John D. Lynch, Esq. dated Feb. 10, 2005) (emphasis added). In his letter, Chief Judge DeRobbio did not characterize Judge Yashar's requested leave as medical in nature and made no representations regarding her entitlement to continued medical or pension benefits during her unpaid leave of absence. According to her affidavit, Judge Yashar understood that she was placed on "medical leave" and suggests that the absence of pay during that leave was voluntary on her part. Def.'s Aff. at ¶¶ 7, 10. Judge Yashar received medical insurance benefits during the time that she was on her unpaid leave of absence and thereafter, from February 1, 2005 through September 27, 2005. Def.'s Aff. at ¶ 11.
Also, on February 10, 2005, Joseph P. Ippolito, District Court Administrator and Magistrate, sent a letter to J. Joseph Baxter, Jr., State Court Administrator, with a copy to Chief Justice Frank J. Williams, enclosing a copy of Chief Judge DeRobbio's letter to Judge Yashar's attorney dated February 10, 2005. App. to Def.'s Aff. at 3 (Letter from District Court Administrator Joseph P. Ippolito to State Court Administrator J. Joseph Baxter, Jr. dated Feb. 10, 2005). In his letter, District Court Administrator Ippolito characterized Chief Judge DeRobbio's letter as "directing that Judge Marjorie Yashar of *Page 7 the RITT be placed on leave without pay status." Id. District Court Administrator Ippolito further stated that he was transmitting Chief Judge DeRobbio's letter to the State Court Administrative Office for processing by the Human Resources Division. Id. There is no evidence in the record as to the administrative processing of Judge Yashar's leave without pay request that ensued thereafter.
On or about February 23, 2005, according to her affidavit, Judge Yashar received a formal notice from the Commission regarding the complaint that had been filed with it against her. Def.'s Aff. at ¶ 12. It advised her that the charges against her would be pursued and that a public hearing would be scheduled. Id.10 According to other records in this case, the Commission served notice upon her on April 1, 2005, following a preliminary investigation into the charges, captioned "Notice of Investigation, Nature of Charges and Public Hearing" charging that on various dates in 2004, she either failed to appear to perform her duties as Magistrate Judge or she arrived late for, or departed early from, such duties. See In re Marjorie R. Yashar, C.A. No. 05-271-M.P.; App. to Def.'s Aff. at 25-26. It is not clear whether this is the notice to which she referred in her affidavit.
By letter to Chief Judge DeRobbio dated May 11, 2005, Judge Yashar requested, through counsel, that she be allowed to return to work at some unspecified date in the "near future." App. to Def.'s Aff. at 4 (Letter from John D. Lynch, Esq. to Chief Judge DeRobbio dated May 11, 2005). In that letter, her counsel referred to his earlier letter of February 7, 2005, when he requested that "Judge Yashar be allowed to take a temporary medical leave, during which time she did not expect to receive her salary." Id. Her *Page 8 counsel stated further that he had "been informed that Judge Yashar's progress is such that she expects to be able to return to work in the near future." Id. He asked Chief Judge DeRobbio to "take all of those steps necessary to return Judge Yashar to her paid salary status at this time." Id.11
In response, Chief Judge DeRobbio expressed a willingness to consider Judge Yashar's request to return to work, on the condition that she provide him with medical evidence pertinent to her prior request for leave and her present fitness to serve, including a statement from Dr. Frank W. Sullivan as to her history, diagnosis, and prognosis so that he could "carry out [his] duties as supervising Chief Judge." App. to Def's Aff. at 5 (Letter from Chief Judge DeRobbio to John D. Lynch, Esq. dated May 12, 2005).12 During further exchange of correspondence, counsel for Judge Yashar questioned Chief Judge DeRobbio's authority to request a letter from her physician before allowing her to return to active duty since Judge Yashar had requested voluntary medical leave. App. to Def.'s Aff. at 6 (Letter from John D. Lynch, Esq. to Chief Judge DeRobbio dated May 13, 2005).13 Her counsel took the position that her "request to be placed on non-pay status was voluntary" on her part and that she was "entitled to be returned to pay status" because "presumably she has the same rights with regard to paid medical leave as any *Page 9 other judge." Id. He asked that Judge Yashar be returned to paid status without further delay. Id.
In response, Chief Judge DeRobbio wrote: "I did not place her on medical leave; as requested, she simply was placed on [voluntary] leave without pay." App. to Def.'s Aff. at 7 (Letter from Chief Judge DeRobbio to John D. Lynch, Esq. dated May 13, 2005).14 Chief Judge DeRobbio further noted that he took the "unprecedented step" of placing Judge Yashar on voluntary leave without pay based on the totality of circumstances as they existed at the time, including the note from Dr. Frank W. Sullivan which accompanied her February 7, 2005 request for leave. Id. While indicating that he was ready and willing to return Judge Yashar to active duty, he was concerned about doing so in light of the note from her physician that referenced a "longstanding problem" regarding her "[medical] condition." Id. Chief Judge DeRobbio again pressed the need for a current medical report from her physician to determine whether Judge Yashar was fit to be returned to active duty.Id. Chief Judge DeRobbio further advised that if Judge Yashar now wanted to be placed on medical leave with pay, she would be required to provide him with medical documentation (as to diagnosis and prognosis) to justify her continued absence from her duties while receiving pay.Id.
Judge Yashar's counsel responded to Chief Judge DeRobbio by letter dated May 16, 2005, assuring him that he would speak to Dr. Frank W. Sullivan during that week regarding the Chief Judge's request. App. to Def.'s Aff. at 9 (Letter from John D. Lynch, *Page 10 Esq. to Chief Judge DeRobbio dated May 16, 2005). Her counsel reiterated his request that Judge Yashar be placed on paid status immediately. Id.15
On May 25, 2005, Judge Yashar's counsel sent a letter by facsimile to Chief Judge DeRobbio, enclosing a letter from Dr. Frank W. Sullivan, dated May 19, 2005, regarding Judge Yashar. App. to Def.'s Aff. at 10 (Letter from John D. Lynch, Esq. to Chief Judge DeRobbio dated May 25, 2005).16 The letter from Dr. Frank W. Sullivan was neither attached to Judge Yashar's affidavit nor otherwise provided to this Court by the parties. According to a later letter sent from Judge Yashar's counsel to Chief Judge DeRobbio, Dr. Frank W. Sullivan apparently stated in his letter that he "felt her prognosis was good and that she would return to work." App. to Ex.'s Aff. at 11 (Letter from John D. Lynch, Esq. to Chief Judge DeRobbio dated June 1, 2005). Dr. Frank W. Sullivan stated that, in his opinion, "she can resume working on or about June 1, 2005."Id.
Apparently, on May 31, 2005, Judge Yashar's counsel had some communication regarding the restoration of Judge Yashar's pay status with Chief Judge DeRobbio who indicated that he had not returned her to paid status. See id. On the following day, June 1, 2005, the parties' positions hardened. Judge Yashar's counsel sent a letter by facsimile to Chief Judge DeRobbio in which he stated: "[quite] frankly, I was shocked with your response that you had not yet returned Judge Yashar to her pay status. It is again *Page 11 requested that that pay status be returned to Judge Yashar without delay." Id.17 Chief Judge DeRobbio responded immediately, by facsimile, stating that her request to be returned to paid status was denied. App. to Def.'s Aff. at 13 (Letter from Chief Judge DeRobbio to John D. Lynch, Esq. dated June 1, 2005).18 Also on June 1, 2005, Judge Yashar attests that she physically presented herself for work at the RITT and advised the administrator of the RITT that she was ready, willing and able to resume the bench. Def.'s Aff. at ¶ 15. She claims that she reported to work for the week of June 1, 2005 through June 5, 2005 and part of the following week, but was given no cases or assignments and was not restored to paid salary status. Id.
On June 13, 2005, based on Chief Judge DeRobbio's refusal to return her to active duty with pay, Judge Yashar filed a petition for writ of mandamus in the Superior Court to compel him to restore her to paid status as an active member of the judiciary. The Hon. Justice MarjorieR. Yashar v. The Hon. Justice Albert E. DeRobbio, in his Capacity asChief Judge of the District Court and in his Capacity as Supervisor ofthe Rhode Island Traffic Tribunal, C.A. No. PC 05-2990 (R.I.Super.Ct. 2005) (Petition) (filed June 13, 2005). In that petition, Judge Yashar alleged that she had asked Chief Judge DeRobbio, on or about February 1, 2005, "to be placed on leave without pay status from her duties because of medical reasons" and that he had granted that request. Petition, ¶¶ 4, 5. She then alleged that she had asked Chief Judge DeRobbio in May 2005 to return her to paid status, that she had documented her medical ability to return to work *Page 12 as he had requested, and that she had reported to work as of June 1, 2005 and indicated her willingness and ability to resume her judicial duties. Id. at ¶¶ 5-9. She further alleged that Chief Judge DeRobbio had failed to grant her request to be restored to paid status as an active member of the judiciary, in violation of Rhode Island law, as only the Commission can suspend or remove her from her position as a judge of the RITT. Id. at ¶¶ 10-14, 19. She sought a writ of mandamus to compel her return to paid status as a RITT judge, asserting that she had a clear legal right to such relief and that Chief Judge DeRobbio had no discretion to refuse her request. Id. at ¶¶ 15-18.
On or about August 1, 2005, Judge Yashar filed a motion for issuance of a writ of mandamus and a supporting memorandum to which Chief Judge DeRobbio filed an objection and memorandum. See Yashar v. DeRobbio, C.A. No. PC 05-2990 (R.I.Super.Ct. 2005). In her memorandum in the mandamus action, it should be noted that Judge Yashar asserted that "[i]n or about February, 2005, [she] requested that she be placed on leave without pay status from her duties due to medical reasons, and pursuant to her request, [Chief Judge DeRobbio] granted said request and allowed her to remain out of work without pay." Pls.' Mem. at 1-2.
Judge Yashar's motion for issuance of a writ of mandamus was heard before the Presiding Justice of the Superior Court, Joseph F. Rodgers, Jr., on August 5, 2005. During the course of oral argument at the hearing, counsel for Judge Yashar engaged in colloquy with the Court, as follows:
THE COURT: Did she not request to be placed on unpaid leave?
[COUNSEL TO JUDGE YASHAR]: She did, Your Honor . . . I believe she was out from February to May. She's not *Page 13 looking for that pay. . . . She's not looking for the time — for money for the time she was out of work and had requested to be out of work.
Tr. of Mandamus Hr'g at 15-16.
Following that hearing, Presiding Justice Rodgers denied Judge Yashar's mandamus petition, finding that Chief Judge DeRobbio had acted properly in accordance with the Code of Judicial Conduct. Id. at 16. In his bench decision, the Presiding Justice referred to provisions of the Code in denying mandamus relief: "``a judge who receives information indicating a substantial likelihood that another judge has committed' — or, by implication, will commit — ``a violation of this Code shall take appropriate action.'" Id. (citing R.I. Supreme Ct. Rules, Art. VI, Rule 1 (Code of Judicial Conduct), Canon 3 (D)). He reasoned:
Doesn't [Chief Judge DeRobbio] have the right now, after being alerted by the judge herself of her deficiency, to make inquiry as to her ability to perform her duties as required by not only the statute but the Rules of Judicial Conduct?
It very well might be that in most circumstances that one could imagine, Judge DeRobbio would not possess the power that he had chosen to exercise in the unique circumstances of this case; but the Court cannot ignore that it was Judge Yashar who placed herself in that position by alerting the Judge to her inability to continue to do the work required of her.
Interesting to note, also, that the request to be placed on unpaid leave for an indefinite amount of time, that request also was accompanied by the expectation that her service record would continue during the time period she wasn't working. Whether that is appropriate or not is for another forum to decide.
Based on the unique circumstances presented in this particular case, based on the fact that it was her request to be placed on unpaid leave because of particular [medical] problems, Judge DeRobbio, in this Court's opinion, not only had the right but, indeed the responsibility to the people of this state to be assured that the deficiency was sufficiently resolved so that the *Page 14 judge could perform her duties consistent with the Judicial Code of Conduct.
Id. at 17-18. The order denying her motion for issuance of a writ of mandamus entered on August 15. 2005. Yashar v. DeRobbio, C.A. No. PC05-2990 (R.I.Super.Ct. 2005) (Order) (filed Aug. 15, 2005). Judge Yashar appealed the denial of her mandamus petition to the Rhode Island Supreme Court. Id. (Notice of Appeal) (filed Aug. 24, 2005).
Judge Yashar claims here that, beginning some time in the summer of 2005, while her mandamus action and the charges against her with the Commission on Judicial Tenure and Discipline were pending, she entered into settlement negotiations with counsel for the Commission and counsel for Chief Judge DeRobbio. Def.'s Aff. at ¶ 17. She claims that, during those negotiations, she sought definitive answers regarding her retirement pension. Id. at ¶ 18. In her words, "my primary concern, if I was going to settle, was that I would receive a full pension at 100% of my salary, as I understood was provided by statute." Id. at ¶ 19.
On June 7, 2005, Judge Yashar wrote to the State Court Administrator, J. Joseph Baxter, Jr., asking him to "reconfirm to [her] in writing . . . when [she would] be eligible to receive a fully vested pension equal to 100% of [her] annual salary in accordance with R.I.G.L. § 8-8.2-6." App. to Def.'s Aff. at 14 (Letter from Judge Yashar to J. Joseph Baxter, Jr. dated June 7, 2005).19 Judge Yashar also sought an answer to this same question from the General Treasurer and Chairman of the ERSRI, Paul J. Tavares. App. to Def.'s Aff. at 16 (Letter from Judge Yashar to Paul J. Tavares dated June 24, 2005). In *Page 15
her letter to the General Treasurer and Chairman of the ERSRI, she advised him that she was part of the non-contributory pension system for judges, that she had unlimited sick time as a member of the judiciary, and that she was considering retirement in the near future.Id.20 Indeed, she would turn 65 as of July 5, 2005, and would reach the 20 year anniversary of her date of appointment to the bench 5 days later, making her eligible to retire with a full pension as of July 10, 2005, as long as the period of her unpaid leave of absence constituted pensionable service under state law. See R.I. Gen. Laws §
In response to her inquiry about her pension, the State Court Administrator, J. Joseph Baxter, Jr., responded that he could only confirm her base entry date for state service and that "[m]atters relating to retirement, such as your eligibility date, are within the jurisdiction of [ERSRI]." App. to Def.'s Aff. at 15 (Letter from J. Joseph Baxter, Jr. to Judge Yashar dated June 28, 2005).21 Soon thereafter, Judge Yashar received a letter from Frank J. Karpinski, the Executive Director of the ERSRI, in which Mr. Karpinski informed Judge Yashar that he was responding on behalf of the General Treasurer to her prior inquiry and clarifying statements made to her by the State Court Administrator. App. to Def.'s Aff. at 17 (Letter from ERSRI Executive Director Frank J. Karpinski to Judge Yashar dated July 6, 2005).22 The letter stated as follows:
Please be advised that the Employees' Retirement System of Rhode Island ("ERSRI") only acts as a disbursement agent for *Page 16 those judges who do not participate in the Judicial Retirement System Trust (the "Trust"). Retirement eligibility dates and benefit amounts for members who do not contribute to the Trust are determined and provided by the Court System to ERSRI. According to Mr. Baxter, your appointment date is July 10, 1985, and consistent with Rhode Island General Law §
8-8.2-7 , you are not a contributing member of ERSRI. Thus, ERSRI has no records or information on your employment. I would refer you to Mr. Baxter or the Chief Judge of the Traffic Tribunal for any retirement information.
Id. (emphasis in original).23
Settlement negotiations continued over the course of the summer and into the early fall of 2005. Judge Yashar attests that a settlement proposal was made to her as follows:
*Page 17 Def.'s Aff. at ¶ 20. She claims that the terms of that settlement were outlined in a memorandum dated September 20, 2005 and entitled "Confidential Communication Between Counsel of Settlement of Claims" from J. Renn Olenn, counsel for Chief Judge DeRobbio in the mandamus proceeding, to counsel for the Commission, Marc DeSisto, and her counsel in the Commission proceedings, James D'Ambra. App. to Def.'s Aff. at 19-20. That memorandum enclosed drafts of various documents for review and contemplated a "closing" on September 28, 2005, at which time originals of each of the following documents, drafted on appropriate letterhead and signed by their authors, would be exchanged to effectuate the settlement:a. I would admit to certain but not all of the charges pending before the Commission and to [sic] accept a public censure with respect to those charges.
b. I would agree to dismiss my appeal from the mandamus ruling.
c. I would be returned to "active" status, would waive all claims for backpay or for pay during the time I had been on leave-without-pay status, would immediately retire, and would be eligible to receive my fully vested pension equal to 100% of my annual salary, but would waive any claim to such retirement benefits up to and until December 30, 2005.
*Page 181. September 26 draft of a letter from Chief Judge DeRobbio to Judge Marjorie Yashar returning her to "active" service.
2. September 27 letter from Judge Yashar to Chief Judge DeRobbio announcing her immediate retirement and waivers of claims and pension benefits. (To be drafted by Attorney D'Ambra.)
3. September 27 letter from Chief Judge DeRobbio acknowledging receipt of Judge Yashar's retirement and waivers of claims and pension benefits. (Note initialed change in the letter which will appear in the final draft.)
4. September 27 letter from Chief Judge DeRobbio to Joseph Baxter transmitting Judge Yashar's letter of retirement, and her waiver of claims and pension benefits.
5. Needed: A letter from Attorney DeSisto dated September 22 and enclosing the amended complaint from the Commission on Judicial Tenure and Discipline which detail the charges against Marjorie Yashar and which have been filed in the Commission record. (Attorney DeSisto to draft and file. A copy to be provide [sic] to all counsel in advance of the closing.)
6. Needed: An answer to the amended complaint from Attorney D'Ambra dated September 22 admitting to the charges as stated in the amended complaint filed by the Commission on Judicial Tenure and Discipline and which has been filed in the Commission record. (Attorney D'Ambra to draft and Attorney DeSisto to file. A copy is to be provided to all counsel in advance of the closing.)
7. A letter dated September 27 from Chief Judge DeRobbio to Judge Pfeiffer in his capacity as Chairman of the Commission on Judicial Tenure and Discipline. (This letter is conditioned upon a review by Chief Judge DeRobbio of the amended compliant [sic], answer, and the filing of the documents in the public record.)
8. A draft of a dismissal stipulation of the withdrawal of the appeal of the Order denying issuance of a Writ of Mandamus and a dismissal with prejudice of the Petition for a Writ of Mandamus. (The original to be filed after the closing by Attorney Olenn. Attorney D'Ambra to coordinate with Attorney Carrera the drafting, signing, and delivery to Attorney Olenn at the closing.)
9. A confidential and informational letter by Attorney D'Ambra from Court Administrator Joseph Baxter.
Id. (emphasis added). The drafts of the documents referenced in the memorandum as enclosures were not attached to the memorandum provided to this Court as part of Judge Yashar's affidavit or otherwise. Indeed, the record does not disclose whether in fact a "closing" occurred and, if so, what documents were exchanged.
According to Judge Yashar, she agreed to the terms of the proposed settlement, as long as it were determined by the proper authority that she would be entitled to receive her full pension. Def.'s Aff. at ¶ 22. She understood, based on the letters that she had received from J. Joseph Baxter, Jr., as State Court Administrator, and Frank J. Karpinski, as the Executive Director of the ERSRI, that the Office of the State Court Administrator was the proper authority to make that determination. Id. At the time that she received the memorandum outlining the terms of the proposed settlement, she claims that her attorney had not yet received confirmation from the State Court Administrator that she was entitled to a full pension. Id. at ¶ 23. *Page 19
On September 22, 2005, the Assistant Administrator of Employee Relations, David R. Heden, sent Judge Yashar a letter regarding the "Calculation of Retirement Benefits," which stated as follows:
Pursuant to your request, this office has determined your retirement benefits as of December 30, 2005, to be $120,310 annually, based on your entry date of 07-10-1985, and your reaching the age of sixty-five (65) years, pursuant to R.I.G.L. Section
8-8.2-6 (a).
App. to Def.'s Aff. at 21 (Letter from David R. Heden to Judge Yashar dated Sept. 22, 2005). David R. Heden copied his letter to Chief Judge DeRobbio; Joseph Baxter, State Court Administrator; and J. Renn Olenn, counsel to Chief Judge DeRobbio in the mandamus action. Judge Yashar viewed this letter as confirmation that she was entitled to a full pension. Def.'s Aff. at ¶ 24. She claims that after she received the letter from David R. Heden, she agreed to resolve all of the pending matters as had been outlined. Id. at ¶ 25. She attests that "[she] would not have agreed to the proposal if [she] had not received the letter from Mr. Heden and if it had not been part of the settlement documents."Id. at ¶ 26.
Judge Yashar claims further that, consistent with the settlement agreement, the parties thereafter exchanged and filed various additional letters and documents, summarized hereafter, to effectuate their settlement. Id. at ¶¶ 26-35. On September 26, 2005, Chief Judge DeRobbio sent a letter to Judge Yashar to advise her that, as of that date, she was returned to active status as a RITT judge. App. to Def.'s Aff. at 22 (Letter from Chief Judge DeRobbio to Judge Yashar dated Sept. 26, 2005).24 *Page 20
On September 27, 2005, Judge Yashar returned to work for one day and, by letter of the same date, gave notice of her retirement, effective immediately. App. to Def.'s Aff. at 23 (Letter from Judge Yashar to Chief Judge DeRobbio dated Sept. 27, 2005). In her letter to Chief Judge DeRobbio, with a copy to Chief Justice Frank J. Williams and State Court Administrator, J. Joseph Baxter, Jr., Judge Yashar stated as follows:
This letter will advise you that I am retiring from active service immediately. I have responded to the Amended Complaint of the Commission on Judicial Tenure and Discipline as set forth in the Answer and Proposal for Resolvement.
As a condition of my retirement, I am waiving any claim I may have for pay during that time beginning when I requested a "leave without pay status" up to June 1, 2005 when I presented myself at the Traffic Tribunal in order to return to work. I also waive and renounce any right, claim or entitlement to back pay or pay of any nature from June 1, 2005 up to September 26, 2005 or the date I was returned to active status. I further request that my pension benefits be conditioned upon my voluntary waiver of all pension pay and benefits from September 27, 2005 up to December 30, 2005.
Please see that my notice of immediate retirement together with the above waivers of my rights are transmitted to the appropriate authority.
Id. Chief Judge DeRobbio acknowledged receipt of that letter on that same date and further acknowledged Judge Yashar's voluntary waiver of any claim for back pay, any claim for the period of time when she was given "leave without pay," and any and all pension benefits to which she might be entitled up to December 30, 2005. App. to Def.'s Aff. at 24 (Letter from Chief Judge DeRobbio to Judge Yashar dated Sept. 27, 2005). He stated that he forwarded both her letter and his letter to the State Court Administrator on that date. Id.25 On September 30, 2005, Judge Yashar filed in the Superior Court a *Page 21 stipulation withdrawing her appeal of the order denying her motion for issuance of a writ of mandamus and dismissing her mandamus action.Yashar v. DeRobbio, C.A. No. PC 05-2990 (R.I.Super.Ct. 2005) (Dismissal Stipulation) (filed Sept. 30, 2005) (Ex. B to Def.'s Summ. J. Mem.).
With respect to the matter pending before the Commission on Judicial Tenure and Discipline, the Commission filed an Amended Notice of Investigation on September 26, 2005 that detailed the charges, as amended, against Judge Yashar. Def.'s Aff. at ¶ 26.26 The 4 additional charges arose generally out of Judge Yashar's alleged failure to follow Chief Judge DeRobbio's directives to allow litigants to pay fines in lieu of a court appearance, her ex parte communication with the father of a litigant without notice to the prosecution, her misconduct at the Providence police station following her arrest, and her misbehavior on June 22, 2005 following an automobile accident in which she was involved. App. to Def.'s Aff. at 25-26.
A hearing on all of the disciplinary charges against Judge Yashar had been scheduled for November 7, 2005. Id. But on or about September 26, 2005, Judge Yashar filed an "Answer to the Amended Charges and Proposal for Resolvement [sic]" and, in that answer, acknowledged guilt of the charges set forth in her answer and agreed to accept a public censure.Id.; Def's Aff. at ¶ 31. In light of her admissions, the Commission agreed not to pursue the 5th pending charge against her for the alleged misconduct surrounding the accident of June 22, 2005. App. to Def's Aff. at 25-26. She and the Commission, acting through counsel, then filed jointly a "Petition for Waiver of the Public Hearing and Findings of Fact Pursuant to Rule 20 of the Supreme Court Rules *Page 22 for the Commission on Judicial Tenure and Discipline." Def.'s Aff. at ¶ 32.27 By order dated October 5, 2005, the Supreme Court granted the petition for waiver of public hearing, accepted the Commission's recommended sanction for the conduct to which Judge Yashar admitted in her petition, and publicly censured her for her misconduct. In reMarjorie R. Yashar, C.A. No. 05-271-M.P. (R.I. 2005) (Order) (filed Oct. 5, 2005); App. to Def.'s Aff. at 25-26. Between July 10, 1985 and September 27, 2005, Judge Yashar attests that she was never suspended or removed from her position as a judge by either the Commission or the Supreme Court nor was she determined by either of those bodies to be unfit or incapable of performing her duties as a judge. Def's Aff. at ¶ 36.
On December 8, 2005, Judge Yashar went to the Human Resources Office at the Supreme Court and signed papers that she understood were the formal application for her pension. Id. at ¶ 34. Among these documents, Judge Yashar filled out health, dental, and vision insurance forms; a direct deposit form; and a federal tax withholding preference, in which she stated that she was a Florida resident. Id. (Supp. Docs.). In January 2006, Judge Yashar began receiving retirement pension payments, which reflected a calculated amount based on 100% of her salary as of the date of her retirement, consistent with the letter to her from David R. Heden dated September 22, 2005. Id. at ¶ 35.
On March 31, 2006, J. Joseph Baxter, Jr. responded to a letter from Attorney General Patrick C. Lynch28 to explain the computation of Judge Yashar's pension. He stated, in relevant part, as follows:
I am in receipt of your letter dated today, March 31, 2006 regarding the computation of Judge Yashar's service time credit towards retirement. It is important to understand that the *Page 23 Judiciary's role in the determination of a judge's service time credit is a ministerial one — limited to forwarding the judge's start date, retirement date, and the rate of compensation at the time of retirement. As you aptly point out in your letter, Rhode Island General Laws §36-9-5 provides that ``judges of the administrative adjudication court (among others) are exempt from the provisions of chapters 8-10 of Title 36.' . . . As such, reliance on the language set forth in those chapters to construe pension statutes is not necessarily controlling.Section
36-9-5 (a) does not preclude judges from participating in the Employees Retirement System of Rhode Island (ERSRI) or relieve them of the administrative powers of the Retirement Board, but simply establishes that judges (general officers, general assembly members, school teachers, and members of the state police) are treated differently than other state employees for purposes of retirement and pension benefits. . . .Unlike other state employees, judges remain in ``state service' from the time of their engagement (and are at any time subject to recall unlike other state employees) until one of five things happen — death, retirement, incapacity, or suspension or removal by the Commission on Judicial Tenure and Discipline. As a result, absent of any of these events happening, a judge is entitled to receive pension benefits based on age and length of engagement only.
It is clear that a difference of interpretation has arisen as to how the existing statutes could be applied. In light of the above, we would encourage your full review and intend to cooperate fully to resolve this situation consistent with statutory intent, and in the interest of justice and public policy.
Ex. A to Def.'s Summ. J. Mem. (Letter from J. Joseph Baxter, Jr. to Attorney General Patrick C. Lynch dated Mar. 31, 2006). The letter was copied to Chief Justice Frank J. Williams; Paul J. Tavares, General Treasurer; and Frank J. Karpinski, Executive Director of the ERSRI.Id.
From January 2006 to date, it appears that Judge Yashar has continued to receive retirement pension payments in the amount of 100% of her pre-retirement salary, *Page 24 consistent with the determination of the amount of pension benefits to which she was entitled as stated in David R. Heden's letter to her dated September 22, 2005. App. to Def.'s Aff. at 21 (Letter from David R. Heden to Judge Yashar dated Sept. 22, 2005). According to Frank J. Karpinski, Executive Director of the ERSRI, the ERSRI acts only as the disbursement agent for those funds, in accordance with the eligibility dates and benefit amounts supplied to it by the court system, as Judge Yashar is part of the non-contributory judicial pension system. App. to Def.'s Aff. at 17 (Letter from ERSRI Executive Director Frank J. Karpinski to Judge Yashar dated July 6, 2005).
Judge Yashar filed an answer and counterclaim on May 30, 2006. She raised several affirmative defenses, most notably that the State lacks both standing and jurisdiction to pursue its action and that it is barred by contract law and estoppel from reducing her pension. Answer, Affirmative Defenses ¶ I. In her counterclaim, Judge Yashar seeks a declaration that she has a statutory right to the retirement pension that she is currently receiving because she served at least 20 years as a judge, from her engagement as a judge on July 10, 1985 to her retirement on September 27, 2005. Counterclaim, Count I. Judge Yashar also seeks a declaration that she has a contractual right to her retirement pension pursuant to a settlement agreement with the Commission on Judicial Tenure and Discipline and Chief Judge DeRobbio and that the settlement constitutes an accord and satisfaction.Id., Counts II and IV. She further seeks a declaration that the State is estopped from reducing her pension because she detrimentally relied on the misrepresentations made by the judicial branch in making her decision to retire. Id., Count III. Additionally, Judge Yashar asks this Court to declare that the State Court Administrator's determination of her pension benefits is a binding agency decision. Id., Count V. In addition to seeking declaratory relief, Judge Yashar pleads, in the alternative, that if this Court finds in favor of the State, she be granted *Page 26 equitable relief that would allow her to return to work to complete her 20 years of service so that she may receive 100% of her pre-retirement salary. Id., Count VI.
The State filed an answer to Judge Yashar's counterclaim on June 7, 2006. Pls.'/Counterclaim Defs.' Answer to Counterclaim. It seeks dismissal of the counterclaim, arguing that "statutory rights cannot be altered by agreement or representation." Id. Affirmative Defenses ¶ 2.
The State filed a motion for partial summary judgment and supporting memorandum on June 9, 2006, asking this Court to declare, as a matter of law, that Judge Yashar is entitled to a pension equal to only 75% of her annual salary.30 Judge Yashar filed a cross-motion for summary judgment and supporting memorandum and affidavit on September 13, 2006, seeking dismissal of this action for lack of standing and lack of jurisdiction. Alternatively, she asks this Court to declare, as a matter of law, that she is entitled to receive a 100% pension pursuant to the terms of R.I. Gen. Laws §
On October 23, 2006, this Court entertained oral arguments on the parties' cross motions for summary judgment. While this Court had the case under advisement, it inadvertently discovered, while conducting its own independent research, that new regulations for the judiciary had taken effect as of January 29, 2005. Judicial Personnel Rules and Regulations (eff. Jan. 29, 2005). This Court then notified counsel for both parties forthwith, at a hearing on February 9, 2007, of the existence of the new regulations. It afforded the parties the opportunity to submit supplemental memoranda *Page 27 regarding the applicability of the new regulations, if any, to the issues in this case. On February 28, 2007, counsel for Judge Yashar and the State, respectively, submitted supplemental memoranda. This Decision follows this Court's review of all of the parties' written submissions and arguments.
Overall, "``[t]he purpose of the summary-judgment procedure is to identify disputed issues of fact necessitating trial, not to resolve such issues.'" Weaver v. Am. Power Conversion Corp.,
However, "a party who opposes a motion for summary judgment carries the burden of proving by competent evidence the existence of a disputed material issue of fact and cannot rest on allegations or denials in the pleadings or on conclusions of legal opinions." Accent Store Design,Inc. v. Marathon House, Inc.,
The State counters that if Judge Yashar is being paid an illegally high pension, then the public is being harmed by the excessive payments she is receiving. According to the State, the Attorney General is able to bring suits on behalf of the public to rectify such wrongs. Similarly, the State argues that since the General Treasurer must issue checks, he has a direct interest in ensuring that the funds he distributes are issued in accordance *Page 29 with Rhode Island law. According to the State, both the Attorney General and the General Treasurer "have a duty to act to protect the public's money," and this duty carries with it standing to bring the present suit. Pls.' Reply Mem. at 3.
As both Judge Yashar and the State agree, the basic test for standing to sue is whether the challenged action has caused the plaintiff to sustain an injury-in-fact, economic or otherwise. R.I. OphthalmologicalSociety v. Cannon,
In a case relevant to the present controversy, the Rhode Island Supreme Court was faced with the question of whether the Providence School Committee had standing, on behalf of the citizens of Providence, to challenge a decision of the Board of Regents for Education.School Comm. of the City of Providence v. Board of Regents forEducation,
it is obvious that the committee in this case sought judicial review in an official capacity and as a representative of the People of Providence. It had a real interest in seeing that the department's administrative and supervisory personnel were paid neither less nor more than they were legally entitled to receive. Because the board's decision threatened that interest, the committee, on behalf of the people, was aggrieved and thereby acquired standing. . . .
Id. at
Here, the public has a profound interest in having this Court determine whether Judge Yashar's pension is lawful. The cost of Judge Yashar's pension could amount to an unfair economic burden on the State's taxpayers if it is determined to be in excess of that allowed her by state law. Indeed, the difference between Judge Yashar receiving a 75% pension and a 100% pension is approximately $30,000 per year. Moreover, to thwart review of the issues raised by the parties in this case could suggest to the public that judges are somehow above the law.
As only the Attorney General may sue to redress a purely public wrong, and as no member of the public injured by excessive pension payments has a distinct legal interest different from that of the public at large, the Attorney General has standing, on behalf of the public, to bring this action. To rule otherwise could allow a public official to grant a *Page 31 pension to a retired member of the state judiciary, in violation of state law, while depriving the public, as a whole, of the right to challenge that action.31
Similarly, the General Treasurer, in his capacity as Chairman of the ERSRI, has an interest in ensuring that any retirement payments disbursed through the ERSRI are made in accordance with state law. Indeed, under R.I. Gen. Laws §
Accordingly, Judge Yashar's motion for summary judgment, to the extent premised on a claim that plaintiffs lack standing to bring this action, is denied.
As a calculation of a pension is an administrative decision, it generally would be subject to agency review under the Administrative Procedures Act, R.I. Gen. Laws §§
To the contrary, the State contends that Judge Yashar did not receive a "decision" regarding her pension from the State Court Administrator. The State argues that the pension letter from the Assistant Administrator of Employee Relations, David R. Heden, that calculated her pension at 100% of her pre-retirement salary, was no more than a "ministerial calculation based on and limited to entry date and age."See Pls.' Reply Summ. J. Mem. at 10 (referring to Letter from David R. Heden to Judge Yashar dated Sept. 22, 2005; Letter from J. Joseph Baxter, Jr. to Attorney General Patrick C. Lynch dated Mar. 31, 2006). Since the alleged decision by the State Court Administrator fails to *Page 33
include a discussion of "service" under the judicial pension statute, R.I. Gen. Laws §
To address the question of whether this Court has jurisdiction over the State's claims for declaratory relief, this Court will assume, without deciding, that the State Court Administrator made more than a ministerial pension calculation and determined that Judge Yashar was entitled to a pension of 100% of her pre-retirement salary by crediting her unpaid leave of absence as pensionable service.32 In making any such decision, however, it is undisputed that the decision would not be subject to review under the APA. See R.I. Gen. Laws §
A large number of Rhode Island Supreme Court cases direct that declaratory judgment is appropriate in cases such as the one at bar. Indeed, the case of Bulman v. Kane,
In Malachowski v. State of Rhode Island,
In Bradford Associates v. Rhode Island Division of Purchases,
In Roch v. Garrahy,
[t]here seems little question that in an appropriate case involving a party with adequate standing, the Superior Court could well consider a controversy in which the construction of a statute was at issue and the determination of compliance by the Chief Executive with an act of the General Assembly was in question. Thus we are of the opinion that the Superior Court in the instant case had jurisdiction of the subject matter.
Id. (emphasis added).
The case of Canario v. Culhane,
This line of authority makes it clear that declaratory relief is available in connection with administrative decisions, like the pension decision Judge Yashar claims was made here by the State Court Administrator, which are not reviewable under the APA. Indeed, this Court would suggest that declaratory relief is appropriate.
The purpose of the Uniform Declaratory Judgments Act is to "settle and to afford relief from uncertainty and insecurity with regard to rights, status, and other legal relations." R.I. Gen. Laws §
The State's petition for declaratory relief in this action — and for that matter the request for declaratory relief of Judge Yashar stated in her counterclaim — raise questions of statutory construction, contract law, and equity. This case involves not simply a review of the alleged decision of the State Court Administrator, therefore, but the broader question of how the judicial pension statute should be interpreted and applied and whether any such interpretation and application should control, as a matter of law and equity, under the facts of this case. The remedies sought by the State, which include a declaration as to the meaning of the judicial pension statute in question, alteration of Judge Yashar's pension benefits in the future, and restitution to the State for unlawful benefits already paid, go well beyond those which a State Court Administrator is empowered to consider or compel. *Page 38
To suggest, therefore, that the Supreme Court is the only forum where relief can be sought is illogical. To deny jurisdiction here and require the filing of a common law petition for certiorari in the Supreme Court would be tantamount to reading the Uniform Declaratory Judgments Act and equitable powers of the Superior Court out of the law. It could require the Supreme Court justices to become finders of fact and to make a decision regarding the parties' claims in the first instance without the benefit of the findings and reasoning of the court below. Ascribing such a role to the Supreme Court would run counter to its precedent, albeit in the context of certification to it of questions of importance, that suggests that role belongs not to it, but to the Superior Court.34
It is the view of this Court, therefore, that it not only has jurisdiction of the matters at hand, but that it has original and exclusive jurisdiction of this action. R.I. Gen. Laws §
It is true, as Judge Yashar argues, that a couple of state court precedents seemingly conflict with this line of precedent.See, e.g., Scolardi v. City of Providence,
Both Scolardi and Mosby, however, are distinguishable from the case at bar. In Scolardi, the procedural posture of the case was substantially different from that in the present case. In that case, the Retirement Board of the Providence Employees' Retirement System had assigned certain pension rights to Scolardi, but the City Solicitor of Providence then directed the City Controller to withhold payments, claiming that the pension was illegally awarded. Id. at 754-755. When Scolardi sought "declaratory and injunctive relief and a writ of mandamus" in the Superior Court, he was not seeking a statement of his rights; instead, he sought to have the funds released that were authorized by the board.Id. at 755. The Supreme Court concluded that the trial justice should not have conducted a de novo review of the board's decision because "the decision of the board was not appealed by either party." Id. In the case at bar, there is no administrative appeal process. Furthermore, in Judge Yashar's situation, both she and the State seek to clarify her pension rights. Therefore, a declaratory judgment is appropriate here, and, as such, Scolardi is distinguishable.
In Mosby v. Devine, the Supreme Court held that an administrative appeal could not be made to the Superior Court in a non-APA contested case. Mosby,
Moreover, United States Supreme Court precedent makes it clear that a writ of certiorari should be reserved for cases where no other means of review exists and should not be used to review administrative decisions.Degge v. Hitchcock,
Degge responds to Judge Yashar's jurisdictional argument in this case and clarifies that equity can be an appropriate way for an administrative decision to be challenged. Like the decision of the Postmaster General that could not be challenged through a writ of certiorari in the Supreme Court of the United States, any decision of the State Court Administrator here may not be reviewed through the filing of a petition for writ of certiorari in the Supreme Court of Rhode Island. An action for declaratory and equitable relief, filed in this Court, is the appropriate means for this Court to review any such decision and to consider the broader claims for relief stated by the parties. Accordingly, Judge Yashar's motion for summary judgment, premised on a claim of lack of jurisdiction, is thus denied. *Page 41
(a) Whenever any person engaged as a judge on or before July 2, 1997, has served as a judge of the administrative adjudication court or as a judge of the administrative adjudication court who is reassigned by this chapter to the traffic tribunal for twenty (20) years, or has so served for ten (10) years and has reached the age of sixty five (65) years, the judge may retire from active service and, thereafter, the judge shall receive annually during life a sum equal to three fourths ( 3/4) of the annual salary that the judge was receiving at the time of retirement; provided, however, any person who has served for twenty (20) years and has reached the age of sixty five (65) years, or has so served for fifteen (15) years and reached the age of seventy (70) years, may retired [sic] from active service and, thereafter, the judge shall receive annually during his or her life a sum equal to the annual salary he or she was receiving at the time of his or her retirement. . . .
R.I. Gen. Laws §
The dispute between the parties here centers on the definition of the term "served," as it is used in this statute. The State contends that the plain and ordinary *Page 42 meaning of that term means that a judge must work in paid employment as a judge for the specified time period. Pls.' Summ. J. Mem. at 6. The State claims that the legislature intended to "limit the accrual of [Judge Yashar's] pension benefits to the period of time she actuallyserved as a judge of the [RITT]." Id. (emphasis in original). As Judge Yashar voluntarily removed herself from active service as a judge by taking an extended unpaid leave of absence, the State contends that the length of her service at the time of her retirement fell short of the required twenty (20) years such that she is entitled to a pension of only 75% of her pre-retirement salary. Id. at 8.
In contrast, Judge Yashar construes the term "service" as referring to "state service," such that length of service is measured by the time a judge is within the state service, — i.e., the time from date of employment as a judge until date of retirement, without regard to any leave of absence, paid or unpaid, in the interim. Def.'s Summ. J. Mem. at 16. She contends that her interpretation of the statute should be given deference, as it is the same one adopted by the State Court Administrator, who opined that a judge's service could be interrupted only by death, retirement, disability or an order of suspension or removal of the Commission on Judicial Tenure and Discipline or the Supreme Court. Id. Based on her reading of the statute, she argues that her entire tenure as a judge counts toward her pension calculation because she was still within "state service" during her authorized unpaid leave of absence. Id.
She argues further that, even if this Court were to adopt the State's construction of the pension statute, there is a genuine issue of material fact regarding the characterization of her leave. Id. at 13. She claims that she did not take an unpaid leave of absence; instead, she took an authorized paid medical leave for which she voluntarily relinquished *Page 43 her right to payment which, even under the State's construction of the statute, would not interrupt her term of service. Id. at 12-13.
To resolve these competing arguments, this Court first must employ settled precepts of statutory interpretation to determine how the term "served," as used in the applicable judicial pension statute, should be construed. This Court must begin by examining "the plain and ordinary meaning of the statutory language" at issue. Henderson v.Henderson,
"However . . . when the language of a statute is not susceptible to literal interpretation, it is ambiguous, and [the court] must look to give meaning to the intent of the General Assembly." New Eng. Dev., LLCv. Berg,
While Judge Yashar attempts to suggest that the term "served" is ambiguous, she does so by arguing that the term means not a period of paid employment, as the State contends, but simply the time a judge remains in state service — whether paid or unpaid — without interruption by death, disability, retirement, suspension or removal. To read the term "served" in that way would be to ignore its plain and obvious meaning — a meaning that is clear and sensible. See McGuirl,
The interpretation of the pension statute advanced by Judge Yashar is not reasonable, as it would allow a judge who remains in state service to receive service credit toward a pension even if the judge does not work and receives no pay. A judge could conceivably remain in the state service for years on an unpaid leave of absence, without performing any judicial duties and without being paid for that absence, and nonetheless count that time to garner a pension for life in the amount of the judge's full salary upon retirement. Such an interpretation is belied by the plain meaning of the term "served," as used in the judicial pension statute, and by common sense; to adopt it would be to impermissibly rewrite the pension statute in violation of the clearly stated intent of the legislature. New England Die Co., Inc. v. General Products Co.,Inc.,
As such, the interpretation of the term "served," as advanced by Judge Yashar, is rejected by this Court. That term, as employed by the General Assembly in R.I. Gen. Laws §
In construing a statute, the court must "presume that the General Assembly intended to attach significance to every word, sentence and provision of a statute." *Page 47 DiPrete,
Mindful of these precepts of statutory construction, this Court finds, as previously noted, that the term "served," as used in the judicial pension statute, has a plain meaning that is consistent with its dictionary definitions. This plain meaning is supported by a fair reading of the words of the statute as a whole. To read it otherwise, as Judge Yashar suggests, would fail to attach appropriate significance to all of the words used within the statute and would constitute an impermissible rewriting of its provisions.
The judicial pension statute declares that a judge "who hasserved for twenty (20) years and has reached the age of sixty five (65) years . . . may retire from "active service." R.I. Gen. Laws §
In addition, section
In addition, as the State aptly notes, the disputed provision of the judicial pension statute, R.I. Gen. Laws §
In this case, reference to provisions of the state pension statutes governing contributory state employees, R.I. Gen. Laws §§
Section
At retirement, the total service credited a member shall consist of the service rendered by him or her as an employee during his or her membership.*Page 50 It dictates that state employees who are contributory members of the retirement system are given credit, for pension purposes, for the "service" they rendered as employees.
Like the judicial pension statute, however, this statute does not explicitly define "service" for pension purposes. Yet there is no reason that the plain meaning of the term "service" would not be the same as that attributed by this Court to the term "served" in the judicial pension statute — namely, time spent in the paid employment of the State. Indeed, it is hard to see how "service rendered . . . as an employee" could be defined any other way. R.I. Gen. Laws §
This reading of both the judicial pension statute, R.I. Gen. Laws §
[a]ny state employee who is granted a leave of absence without pay for illness, injury, or any other reason may receive credit therefore by making contributions to the retirement system in an amount equal to the contribution he or she would have made to the retirement system based upon his or her expected compensation but for the granting of leave without pay, plus regular interest compounded annually to date of payment; provided the employee returns to state service for at least one year upon completion of leave. Credit for leaves of absence shall be limited in the aggregate during the total service of an employee to a period of four (4) years.*Page 51 R.I. Gen. Laws §
Although it is undisputed that this statutory provision is not applicable to contributory or non-contributory judges,36 that does not make it irrelevant for purposes of construing the disputed provision of the judicial pension statute. It suggests that a leave of absence without pay for illness, injury or any other reason does not count as pensionable service under Rhode Island law; otherwise, there would be no need for a statutory savings provision to allow a contributory state employee to buy service credits for the duration of his or her leave of absence. Moreover, the wording of this statute, which conditions the receipt of service credit on the state employee's "return to state service," implies that the state employee was not in active state service during the unpaid leave of absence.
This provision of the retirement statute governing contributory state employees thus stands as persuasive evidence that time "served" for purposes of calculating a pension benefit under the judicial retirement statute, R.I. Gen. Laws §
It is true that the General Assembly could have chosen to enact a similar savings provision for judges to allow non-contributory judges service credit for an unpaid leave of absence or to allow contributory judges the opportunity to purchase service credits for such a leave. Yet the absence of a savings provision in the judicial retirement statute does not suggest, as Judge Yashar submits, that the legislature intended only to deny contributory state employees, but not judges, pension credit for an unpaid leave of absence. Indeed, it suggests, to the contrary, that the General Assembly intended to deny judgesand other state employees pension credit for an unpaid leave of absence, subject to any other statutory provision that might provide otherwise.
When an agency informally interprets its enabling statute, as opposed to enacting implementing regulations, however, that interpretation is entitled to deference only if it shows "thoroughness in consideration, validity in its reasoning, consistency, and ``all *Page 53
those factors which give the power to persuade.'" Bank of New York v.Hoyt,
Mindful of these precepts of statutory interpretation, this Court will examine the administrative interpretations of the judicial pension statute at issue, as reflected in the recent implementing regulations adopted by the State Court Administrator as well as the earlier informal statements the he may have made regarding the calculation of Judge Yashar's pension. Most persuasive in this regard is section 8.13(d) of the recently adopted Judicial Personnel Rules and Regulations, as it supports the plain meaning of the judicial pension statute as found by this Court. Admittedly, rules, like statutes, are presumed to have prospective application only. See Ducally v. State,
The Judicial Personnel Rules and Regulations were adopted by the State Court Administrator and signed, with approval, by the Chief Justice and all other members of *Page 54
the Supreme Court on January 8, 2007, filed with the Office of the Secretary of State the following day, and made effective, prospectively, as of January 29, 2007. The filing form accompanying the regulations indicates that they were filed pursuant to R.I. Gen. Laws §
Section 8.13(d) of the Judicial Personnel Rules and Regulations contains a straightforward directive regarding the impact of an unpaid leave of absence on the accrual of pension benefits for judges. This regulation, entitled "Leave without pay," unequivocally states, as follows:
Whenever a judicial officer shall be granted a leave of absence without pay, such absence shall not be credited towards active service time for the purposes of retirement.
Judicial Personnel Rules and Regulations, § 8.13(d) (eff. Jan. 29, 2007) (emphasis added).
Section 8.13(d) thus reflects the State Court Administrator's interpretation of the judicial pension statute, R.I. Gen. Laws §
In interpreting the disputed provision of the judicial pension statute, R.I. Gen. Laws §
If the judicial pension statute instead were to be construed as Judge Yashar suggests — by reading it as allowing her unpaid leave of absence to count as pensionable service — it then would stand in contradiction to the regulations promulgated by the State Court Administrator and approved by the Supreme Court. Such a reading would be tantamount to a declaration by this Court that section 8.13(d) of the regulations is invalid; after all, regulations of an administrative agency cannot alter or contradict the agency's enabling statute or the provisions of state law that they are designed to implement. See generally, In re AdvisoryOpinion to the Governor,
It is true, as Judge Yashar suggests, that the State Court Administrator's interpretation of the disputed provision of the judicial pension statute, as reflected in section 8.13(d) of the Judicial Personnel Rules and Regulations, arguably contradicts his earlier informal statements — or those of his office — regarding that statute. On September 22, 2005, the Assistant Administrator of Employee Relations, David R. Heden, sent Judge *Page 57 Yashar a letter regarding the "Calculation of Retirement Benefits," which stated, as follows:
Pursuant to your request, this office has determined your retirement benefits as of December 30, 2005, to be $120,310 annually, based on your entry date of 07-10-1985, and your reaching the age of sixty-five (65) years, pursuant to R.I.G.L. Section8-8.2-6 (a).
App. to Def.'s Aff. at 21 (Letter from David R. Heden to Judge Yashar dated Sept. 22, 2005).39 In a letter to Attorney General Patrick C. Lynch, dated over six months later, the State Court Administrator, J. Joseph Baxter, Jr., explained the computation of Judge Yashar's pension, as follows:
Unlike other state employees, judges remain in ``state service' from the time of their engagement (and are at any time subject to recall unlike other state employees) until one of five things happen — death, retirement, incapacity, or suspension or removal by the Commission on Judicial Tenure and Discipline. As a result, absent of any of these events happening, a judge is entitled to receive pension benefits based on age and length of service only.
(Letter dated Mar. 31, 2006 from Joseph J. Baxter, Jr. to Attorney General Patrick C. Lynch) (emphasis added). Viewing these letters in a light most favorable to Judge Yashar, the State Court Administrator took the position in the fall of 2005, and again in March of 2006, that the judicial pension statute allowed for her pension benefits to be *Page 58 calculated based on her age and length of service only; according to Judge Yashar, this meant, implicitly, that the statute allowed those benefits to continue to accrue during her unpaid leave of absence. Judge Yashar argues that the new regulation, which contradicts the State Court Administrator's earlier statements, may be the law today but that the absence of a regulation at the time means that her leave without pay counts toward service credit for her pension during the time of her leave. Def.'s Supp. Summ. J. Mem. at 2.40
This Court finds, however, that section 8.13(d) of the Judicial Personnel Rules and Regulations, as adopted by the State Court Administrator, is far more persuasive authority for interpreting the judicial pension statute than either of these earlier, more informal pronouncements. In neither the September 22, 2005 letter from David R. Heden to Judge Yashar nor the March 31, 2006 letter to the Attorney General from J. Joseph Baxter, Jr. is there any indication that the State Court Administrator considered the meaning of the term "served," as it appears in the judicial pension statute, or considered whether an unpaid leave of absence could count as time "served," as defined by the statute. Judge Yashar did not ask that specific question of David R. Heden or J. Joseph Baxter, Jr. nor did they answer it. These letters suggest, instead, that the State Court Administrator and his office viewed its job with respect to calculating Judge Yashar's pension at that time as purely ministerial — the act of simply forwarding her start date, end date and rate of compensation at retirement to the appropriate authorities. *Page 59
These informal pronouncements of the State Court Administrator or his office thus in no way reflect the kind of "thoroughness in consideration" of the language of the judicial pension statute, "validity in reasoning" or "consistency" with the later more formal interpretation of the statute by him in section 8.13(d) that are necessary to afford them deference in construing that statute. Bank ofNew York v. Hoyt,
Judge Yashar suggests that this Court should construe the disputed provision of the judicial pension statute, R.I. Gen. Laws §
An unpaid leave of absence is not paid for because it is not a benefit of a judge's employ. To compensate a judge, therefore, for time not spent in paid employment would be tantamount to converting the pension, to that extent, from a benefit of employment to a gift. A pension, however, is not a gratuity of the State. See In re Almeida,
To accept Judge Yashar's interpretation of the judicial pension statute could allow a judge who remains in state service to enjoy a leave of absence without pay for up to the full twenty (20) years necessary to retire at age 65 with a full pension, assuming a return to active service for at least one day prior to retirement, and still collect a pension equal *Page 61
to 100% of the salary that the judge would have earned if he or she had actually served the State during that time period. See Pls.' Reply Summ. J. Mem. at 4. Such a construction could result in a windfall for judges at the expense of taxpayers-allowing judges to secure a full pension in exchange for time in state service (that even spanned years) during which they neither worked as judges nor received pay. This Court will not construe the judicial pension statute in a manner that could lead to such an absurd result. Bucki v. Hawkins, 2007 R.I. LEXIS 18, 16 (R.I. 2007) (citing State v. Menard,
This Court finds, however, based on the evidence presented — even when viewed in a light most favorable to her — that Judge Yashar has failed to create a genuine issue of material fact as to the nature of her leave. She requested a "temporary medical leave" without pay and was granted a "leave without pay." App. to Def.'s Aff. at 1, 2 (Letter from Attorney John D. Lynch to Chief Judge DeRobbio dated Feb. 7, 2005; Letter from Chief Judge DeRobbio to Attorney John D. Lynch, dated Feb. 10, 2005). Her leave request was processed as a leave without pay. App. to Def.'s Aff. at 3 (Letter from Joseph P. Ippolito to J. Joseph Baxter, Jr. dated Feb. 10, 2005). In correspondence that followed, Judge Yashar acknowledged, through her counsel, that she was on a leave without pay (albeit voluntarily). App. to Def.'s Aff. at 4 (Letter from Attorney John D. Lynch to Chief Judge DeRobbio dated May 11, 2005); App. to Def.'s Aff. at 6 (Letter from Attorney John D. Lynch to Chief Judge DeRobbio dated May 13, 2005).
Moreover, she made judicial admissions in the mandamus action which confirm that she requested and received an unpaid leave of absence. Her counsel stated: "[s]he's not looking for . . . money for the time she was out of work and had requested to be out of work." Tr. of Mandamus Hr'g at 15-16. "Her counsel further represented that she had "requested that she be placed on leave without pay status from her duties due to medical *Page 63 reasons, and pursuant to her request, Defendant granted said request and allowed her to remain out of work without pay." Pl.'s Mem. for Issuance of Writ (Aug. 1, 2005).
Finally, in her letter of resignation, Judge Yashar states that she is "waiving any claim [she] may have for pay during that time beginningwhen [she] requested a ``leave without pay status' up to June 1, 2005 when [she] presented [her]self at the Traffic Tribunal in order to return to work." App. to Def.'s Aff. at 23 (Letter from Judge Yashar to Chief Judge DeRobbio dated Sept. 27, 2005) (emphasis added). "[She] also waive[s] and renounce[s] any right, claim or entitlement to back pay or pay of any nature from June 1, 2005 up to September 26, 2005 or the date [she] was returned to active status." Id. Chief Judge DeRobbio acknowledged Judge Yashar's resignation and "voluntary waiver of any claim for back pay, [and] any claim for the period of time when you were given ``leave without pay.'" App. to Def.'s Aff. at 24 (Letter from Chief Judge DeRobbio to Judge Yashar dated Sept. 27, 2005).
In light of this evidence, Judge Yashar's claim that she requested and received a paid medical leave (for which she voluntarily relinquished compensation) is untenable. She did not request paid leave, medical or otherwise, and she certainly did not receive it. Regardless of whether she voluntarily relinquished her pay, she was on an unpaid leave of absence. Her attempt to suggest otherwise is now barred, not only by the documentary evidence that she submitted to this Court with her affidavit, but by her prior judicial admissions to the contrary in the mandamus action. See Gross v. Glazier,
Furthermore, Judge Yashar's assertion that she was in "service" because she continued to receive her medical benefits while she was on unpaid leave is of no moment. As previously stated, she continued to be employed by the State during her leave of absence and thus arguably would have been entitled to receive these benefits; however, she was not in active service and thus did not accrue pension service credit because she was neither paid nor performing service for the State during her leave.
This Court finds, therefore, that Judge Yashar is not entitled to receive service credit for the months that she was on an unpaid leave of absence, from February 1, 2005 through June 1, 2005. From June 1, 2005 until September 26, 2005, when she returned to active service for one day before retiring, she neither worked as a RITT judge (with the possible exception of the week or so that she tried to work in early June 2005) nor did she receive pay. Indeed, she waived any claim to pay or back pay for that period in her letter of resignation to Chief Judge DeRobbio. App. to Def.'s Aff. at 23 (Letter from Judge Yashar to Chief Judge DeRobbio dated Sept. 27, 2005). At the time she retired on September 27, 2005, at age 65, therefore, Judge Yashar had not "served" twenty (20) years as a judge, as required by the judicial pension statute, R.I. Gen. Laws §
Judge Yashar asserts further that she relied on this promise, to her detriment, in fulfilling the other terms of the alleged settlement agreement: admitting to certain disciplinary charges and accepting a public censure, dismissing her appeal in the mandamus action, waiving certain claims to pay and retirement benefits, and retiring.Id. at 30. As such, she argues that she is entitled to enforce the alleged promise and receive her current pension, even if she is not entitled to a full pension under state law, under the doctrine of equitable estoppel. *Page 66
In response, the State disputes that the State Court Administrator determined that Judge Yashar was entitled to credit for her unpaid leave of absence in calculating her pension under the judicial pension statute, R.I. Gen. Laws §
For purposes of summary judgment, this Court will view the evidence in a light most favorable to Judge Yashar, and again assume, without deciding, that the State Court Administrator interpreted the judicial pension statute as allowing her to count her unpaid leave of absence as pensionable service and thus promised her a full pension upon retirement. This Court will assume further that this promise was a term of the alleged settlement agreement.43 This Court finds, however, as a matter of law, that any promise to pay Judge Yashar a pension, which is in excess of the 75% pension to which this Court has determined she is entitled under the judicial pension statute, R.I. Gen. Laws §
It is well-settled in this jurisdiction that a contract provision that violates the law is not enforceable. See State v. Rhode Island Allianceof Social Services Employees, Local 580,
To the extent, therefore, that the State Court Administrator promised Judge Yashar a pension equal to 100% of her pre-retirement salary as part of her alleged settlement agreement, she cannot rely on that provision of the agreement to claim a full pension here because it contravenes state law. Accordingly, this Court holds that Judge Yashar cannot rely on contract law to claim a full pension, as that would violate the clear dictates of the judicial pension statute, R.I. Gen. Laws §
Under the doctrine of equitable estoppel, "a party may be precluded from enforcing an otherwise legally enforceable right because of previous actions of that party." Ret. Bd. of the Employees Ret. Sys. v.DiPrete,
first, an affirmative representation or equivalent conduct on the part of the person against whom the estoppel is claimed which is directed to another for the purpose of inducing the other to act or fail to act in reliance thereon; and secondly, that such representation or conduct in fact did induce the other to act or fail to act to his injury.
Lichtenstein v. Parness,
Under Rhode Island law, the State and its governmental subdivisions may be estopped in limited instances "when appropriate circumstances, justice and right so require." Schiavulli v. School Comm. of the Town ofNorth Providence,
A pension case that closely parallels the case at bar is illustrative. In Romano v. Retirement Bd. of the Employees' Retirement Sys.,
Rhode Island stands in accord with a number of jurisdictions which generally bar estoppel claims against the government where parties claim detrimental reliance on an erroneous interpretation or application of the law rather than a representation of fact. See, e.g., Heckler v.Community Health Services, Inc.,
There are compelling policy reasons for precluding claims of equitable estoppel against the government for actions of public officials which contravene statutory law. Fundamentally, the act of estopping the government from enforcing the proper application of the law violates the doctrine of separation of powers. Id. at 420.49 "The argument is that to permit equitable estoppel against the government effectively allows government employees to ``legislate' by misinterpreting or ignoring applicable statutes, and subsequent judicial validation of such unauthorized ``legislation' then infringes upon [the legislature's] exclusive authority to make law." Id. (citations omitted.) To give effect to this type of action would impede the essential functions of the government. Id.; *Page 72 Middletown Township Policemen's Benevolent Assoc. Local No. 124 v.Middletown,
In addition, estoppel should not be used to allow for the disbursement of public funds in contravention of state law. See Romano,
"To protect the resources essential to maintain government for all the people, it may be necessary in some instances to deny compensation to individuals harmed by government misconduct." Falcone v. Pierce,
In the case at bar, this Court has determined already that, to the extent the State Court Administrator promised Judge Yashar a full pension upon retirement, that decision *Page 73
violates the judicial pension statute, R.I. Gen. Laws §
Regrettably for Judge Yashar, however, she cannot prove that any such decision of the State Court Administrator in calculating her pension was in compliance with state law. As such, she cannot prove her claim of equitable estoppel against the State. The facts underlying her claim of equitable estoppel, no matter how sympathetic, cannot sway the bright line rule emphasized by our Supreme Court in Romano: the State cannot be estopped by the actions of an agent acting in contravention of state law, even where there are compelling facts to demonstrate detrimental reliance.50 *Page 74
Although Judge Yashar may claim harm from the promises of government, her interest must give way to the greater good. This Court cannot countenance an award of pension benefits that unlawfully favors one at the expense of all. Were this Court to sanction that result, it would be tantamount to allowing a Rhode Island state official to legislate a judge's pension benefits, with the approval of the Court, in violation of the bedrock constitutional precept of separation of powers that delegates that power exclusively to the General Assembly. Accordingly, this Court holds that Judge Yashar cannot secure a full pension under the doctrine of equitable estoppel, as that would violate the clear dictates of the judicial pension statute, R.I. Gen. Laws §
All counsel of record are directed to confer and to submit to this Court forthwith for entry an agreed upon form of order and judgment that conforms to this Decision.
Enclosed find a report from Frank W. Sullivan, M.D., regarding Judge Marjorie R. Yashar of the Rhode Island Traffic Tribunal. Dr. Sullivan represents in part as follows, .. ``I recommend she take a medical leave of absence from work for the next several weeks.' It would be appreciated if you would consider this request on her behalf.I have been authorized to represent to you that Marjorie R. Yashar expects that she will not receive her salary during her temporary medical leave. It is my understanding, however, that she would be entitled to all present medical insurance benefits as well as uninterrupted pension and pension benefits. It would be appreciated if you would consider this request at your earliest convenience so that I may properly advise my client.
App. to Def.'s Aff. at 1 (Letter from John D. Lynch, Esq. to Chief Judge DeRobbio dated Feb. 7, 2005).
In particular, the amendments enlarged the scope of power granted to the state court administrator, by adding the following underlined sections:
(a) The chief justice shall appoint a court administrator and such assistants as he or she deems necessary to aid in the administration of the judicial system. The administrator and his or her assistants shall serve at the pleasure of the chief justice.(b) The court administrator shall, under the direction of the chief justice, prepare an annual budget for the judicial system and submit the budget to the department of administration and perform all other necessary functions relating to the administration of the courts thereof.
(c) It shall be the responsibility of the court administrator, under the direction of the chief justice, to act upon all administrative matters affecting the operation of the judiciary, including, but not limited to:
(1) The preparation of the judicial payrolls;
(2) The control of judicial appropriations for all state courts, except those as provided by law;
(3) The procuring of office space, supplies, equipment, and professional and technical assistants for the judiciary; and
(d) The court administrator, with the written approval of the chief justice, is authorized and empowered to adopt any rules and regulations that are deemed necessary to accomplish the purposes of this section, a copy of which rules and regulations shall be filed with the secretary of state and available for public inspection. In the formation of these rules and regulations, the judiciary shall take into consideration and conform to, where practicable, existing policies governing financial and personnel practices within the executive branch of government.
(e) . . .
(f) . . . .
R I. Gen. Laws §
[H]is equitable posture in this case might have been enhanced if he had heeded the retirement counselor's advice and sought a ruling from the board itself after making some sort of a written submission requesting such relief, instead of merely relying upon the retirement counselor's off-the-cuff verbal opinion, one that also suggested he should go to the board to ``stay out of trouble.'
Id. at 36. In the same breath, however, the Supreme Court observed that even a more formal request or response would not have allowed him to rely on representations concerning his pension benefits that were in violation of state law. Id. ("[i]n any event, the board itself would have been powerless to modify the clear provisions of controlling state law").
According to the evidence presented here, Judge Yashar never got a definitive response to her pension inquiries in the summer of 2005. The most the State Court Administrator told her was that he could only confirm her base entry date for state service. App. to Def.'s Aff. at 15. Even when she ostensibly sought assurances about the pension amounts that she would receive upon retirement as part of the proposed settlement agreement in the fall of 2005, she asked only for an "informational letter" and did not ask for a direct response to the question of how her leave of absence would be treated for pension accrual purposes under the judicial pension statute. Significantly, there is no evidence that the "informational letter" was ever incorporated into the formal settlement agreement. She apparently was content to rely on a letter, not even authored by the State Court Administrator, which did not answer that question and calculated her pension based only on her start and end dates of employment with the State. Perhaps she was fearful that an answer to that critical question would not be helpful to her.
While she could have sought a declaratory judgment herself to determine whether the judicial pension statute would allow her unpaid leave of absence to count as pensionable service, she did not avail herself of that time-honored judicial remedy to clarify her rights under the law. She likewise did not pursue her appeal of the Superior Court's denial of her mandamus petition which, if successful, arguably could have entitled her to back pay for time she was not allowed to work following her leave of absence and allowed her to return to work to serve any time she needed to reach the 20 years necessary to garner a full pension.
Perhaps she concluded, based on her extensive years of experience as a judge and attorney, as has this Court, that a fair reading of the judicial pension statute would not reward her with pension rights for time not spent in paid employment for the State. Knowing that disciplinary charges against her were on the horizon for hearing, and that she arguably risked more than what is at stake in this action if she failed to settle and those hearings went forward to decision, she may have concluded that she had no time to pursue these judicial remedies, that she may not have prevailed with such actions, and that an ill-defined letter calculating her pension rights at 100% based on her state service would be the best assurance of a full pension that she could receive under the circumstances. If no one challenged her pension, it would remain hers. At a minimum, it would give her a platform to argue later, as she does here, that she was entitled to a pension based on precepts of contract law and equitable estoppel.
In light of this alleged chain of events, however, it is hard to see how Judge Yashar, an intelligent and experienced jurist schooled in the law, can claim reasonable reliance on a layperson's alleged erroneous interpretation of the law. See generally, Technology Investors,
Sennott v. Hawksley , 103 R.I. 730 ( 1968 )
Ferrelli v. Department of Employment Security , 106 R.I. 588 ( 1970 )
Degge v. Hitchcock , 33 S. Ct. 639 ( 1913 )
Robidoux v. Uniroyal, Inc. , 116 R.I. 594 ( 1976 )
State v. Menard , 2005 R.I. LEXIS 216 ( 2005 )
Schiavulli v. SCHOOL COMMITTEE OF TOWN OF NO. PROVIDENCE , 114 R.I. 443 ( 1975 )
Theta Properties v. Ronci Realty Co., Inc. , 2003 R.I. LEXIS 30 ( 2003 )
Barry I. Fredericks v. Commissioner of Internal Revenue , 126 F.3d 433 ( 1997 )
Scolardi v. City of Providence , 2000 R.I. LEXIS 118 ( 2000 )
New England Die Co. v. General Products Company , 92 R.I. 292 ( 1961 )
Pierce v. Pierce , 2001 R.I. LEXIS 146 ( 2001 )
Palermo Land Co. v. Planning Com'n of Calcasieu Parish , 561 So. 2d 482 ( 1990 )
Office of Personnel Management v. Richmond , 110 S. Ct. 2465 ( 1990 )
Bank of New York v. Hoyt , 617 F. Supp. 1304 ( 1985 )
Greenwich Bay Yacht Basin Associates v. Brown , 1988 R.I. LEXIS 35 ( 1988 )
Matter of Almeida , 611 A.2d 1375 ( 1992 )
Lichtenstein v. Parness , 81 R.I. 135 ( 1953 )
Skidmore v. Swift & Co. , 65 S. Ct. 161 ( 1944 )
State v. DiCicco , 1998 R.I. LEXIS 19 ( 1998 )