Errors in processing a disciplinary action results in annulment of determination

Errors in processing a disciplinary action results in annulment of determination
Collins v Parishville-Hopkinton CSD, 256 AD2d 700

The Collins case demonstrates that even what one might assume is an “open and shut” disciplinary case can go awry.

It was undisputed that Ann Collins, a full-time bus driver employed by the Parishville-Hopkinton Central School District, brought a 12-pack of beer with her to the district’s bus garage and that she drank some of the beer while waiting to be taken to a bus drivers training workshop.

The district filed disciplinary charges against her pursuant to Section 75 of the Civil Service Law, alleging Collins that she:

1. brought and consumed beer on school district property;

2. attended a bus driver safety workshop after having consumed beer;

3. was under the influence of alcohol at the training session;

4. drove out of the district’s parking lot at a high rate of speed, spinning the vehicles tires and “fishtailing;” and

5. appeared distracted and inattentive at the training session.

Although Collins was found guilty “of the charges laid against her” and terminated, the Appellate Division annulled the determination because it found that “the determination of the hearing officer and of the Board of Education were replete with error.”

The hearing officer erred by finding the employee guilty of some offenses with which she had not been charged. This is not permissible under Section 75 unless the charges are amended by the appointing authority, here the school board. Such an error is a denial of due process; the employee must have notice of what offenses he or she is charged with and have an opportunity to prepare a defense.

In Collins’ case, the Appellate Division pointed out that the determination made in a disciplinary proceeding “must be based on the charges [and] no person may lose substantial rights because of wrongdoing shown by the evidence, but not charged.” The court ruled that the hearing officer erred when he found Collins guilty of two uncharged specifications of misconduct and based his penalty recommendation on those findings.

The school board erred by failing to explain its decision to find the employee guilty of all the original charges, despite the fact that the hearing officer found the employee innocent of some of the original charges.

An appointing authority may ignore a hearing officer’s finding of innocence on a specific charge and nevertheless find the employee guilty of that charge but in such a circumstance it behooves the appointing authority to cite evidence in the record to support its determination. If the employee chooses to appeal the determination, the courts typically will view an “unsupported” determination as arbitrary and capricious.*

As to the action taken by the school board, the Appellate Division explained that “although the Board of Education was not bound by the hearing officer’s determination to dismiss four of the charges [i.e., charges 2-5] levied against [Collins] and was entitled to find [her] guilty of those charges if the evidence provided adequate factual support therefore, it was incumbent upon the Board of Education to render a decision with specific factual findings supporting its conclusions in that regard.”

In other words, while the board could find Collins guilty of charges 2-5 as reflected by its resolution, it was required to set out the evidence it relied upon to support its findings of guilt if it hoped to have its determination withstand judicial scrutiny.

The court said that under the circumstances, the board’s decision had to be annulled and the matter remanded to it so that it may make findings of fact in support of whatever decision it may deem proper “based on the evidence previously presented” to it. Clearly, the Appellate Division’s directive precludes the district from holding a new hearing on the “formal” charges it initially filed against Collins.

* According to the decision, the hearing officer found that Collins brought and consumed beer on school property; offered beer to other drivers; and left beer in the open back of her pick-up truck parked in the district’s parking lot. Concluding that this constituted poor judgment, he recommended that Collins be dismissed. The School Board passed, without further elaboration, a resolution finding Collins “guilty of the charges laid against her and each of them.” It then adopted the hearing officer’s recommendation that Collins be dismissed. It appears that the hearing officer found Collins guilty of charge 1, together with 2 other offenses not charged. The school board apparently found Collins guilty of the charges filed against her, including charge 1, but did not adopt the findings of the hearing regarding Collins offering beer to other drivers and leaving beer exposed in the back of her truck.

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NYPPL