ARTIFICIAL INTELLIGENCE [AI] IS NOT USED, IN WHOLE OR IN PART, IN PREPARING NYPPL SUMMARIES OF JUDICIAL AND QUASI-JUDICIAL DECISIONS

Jun 15, 2023

Former Rescue Squad business manager charged with stealing over $17,000 from the Squad

On June 14, 2023, State Comptroller Thomas P. DiNapoli, Columbia County District Attorney Paul Czajka, and the New York State Police announced the indictment of former Chatham Rescue Squad Business Manager Sara Thorne, of Forest City, North Carolina, for allegedly stealing more than $17,000 from the rescue squad. The Rescue Squad business manager allegedly used the funds to pay for groceries, meals, and travel for her husband.*

“Thorne allegedly abused her position to divert thousands of dollars meant to protect her community,” DiNapoli said. “Thanks to my ongoing partnership with District Attorney Czajka and the New York State Police, she is now brought to justice.”

“We appreciate the diligence and hard work of the State Comptroller’s Office in this complex financial investigation,” Columbia County District Attorney Paul Czajka said. “Comptroller DiNapoli and his skilled and diligent team of investigators and auditors have uncovered several criminal schemes in Columbia County over the last several years. This is only the latest.”

“I commend the Comptroller and DA’s offices, and our State Police investigators for their stellar work in exposing this fraud,” Acting New York State Police Superintendent Steven A. Nigrelli said. “The arrest of this individual sends a strong message that we will not tolerate such corruption. When a public servant seeks to use their position to profit at the expense of the taxpayers and the local community, they will be held accountable for their crimes and prosecuted appropriately.”

Thorne provided administrative support for the Chatham Rescue Squad for twenty years until her employment was terminated in 2022. Her final position was as Business Manager, where she was the sole officer responsible for payroll, among other duties. While originally based in Columbia County, Thorne was allowed to work remotely from North Carolina since 2015 with an annual salary topping $100,000.

From 2017 to 2019, Thorne was paid annual bonuses of $5,000 to $6,500 by the squad’s Board of Directors. In addition to these bonuses, investigators found Thorne additionally paid herself $9,528 to cover the associated tax liabilities for those payments. Investigators found Thorne cashed out a combined 160 hours of leave in 2019 without board approval or knowledge, paying herself an additional $6,481.

Thorne had a personal credit card she used for rescue squad purchases. Rather than use the card for official business or specific charges, Thorne used this card for personal purchases at a grocery store and a restaurant. Thorne also purchased travel for her husband and upgrades to first class travel for herself. Thorne paid this credit card bill with rescue squad funds. She never presented these expenses to the board for approval or provided bank statements for review.

When DiNapoli’s investigators questioned Thorne about invoices and receipts for her credit card expenses, Thorne provided altered documents to hide the fact that the rescue squad had paid for her husband’s travel. In total, Thorne used $1,068 in squad funds to pay for these expenses.

Thorne, was charged with two counts of Grand Larceny (3rd degree, D Felony), two counts of Falsifying Business Records (1st degree, E Felony) and three counts of Petit Larceny (A Misdemeanor). She was arraigned today before Columbia County Court Judge Jonathan D. Nichols and is due back in court on July 24, 2023.

*N.B.:  The charges filed against Thorne are merely accusations and the defendant is presumed innocent unless and until proven guilty in a court of law.

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Since taking office in 2007, DiNapoli has committed to fighting public corruption and encourages the public to help fight fraud and abuse. New Yorkers can report allegations of fraud involving taxpayer money by calling the toll-free Fraud Hotline at 1-888-672-4555, by filing a complaint online at https://www.osc.state.ny.us/investigations; or by mailing a complaint to: Office of the State Comptroller, Division of Investigations, 8th Floor, 110 State St., Albany, NY 12236.


Jun 14, 2023

Paid Parental Leave policies for employees of the State as the employer in collective bargaining units represented by CSEA

The Department of Civil Service has published the following Attendance and Leave Bulletin:

  • Policy Bulletin 2023-02, Paid Parental Leave for CSEA Administrative Services Unit (ASU), Institutional Services Unit (ISU), Operational Services Unit (OSU) and Division of Military and Naval Affairs (DMNA) Employees

Text of Policy Bulletin 2023-02 is posted on the Internet at:
https://www.cs.ny.gov/attendance_leave/PolBull23-02.cfm

If you wish to print Policy Bulletin 2023-02, the Department offers a version in PDF format at:
https://www.cs.ny.gov/attendance_leave/PB2023-02BulletinandChart.pdf

To view previous Attendance and Leave bulletins issued by the Department of Civil Service, visit: https://www.cs.ny.gov/attendance_leave/index.cfm

Challenging a school board election and budget vote and seeking the removal of a member of the school board

The Petitioner in this appeal to the Commissioner of Education challenged [1] the vote on the school district's proposed annual budget and [2] the election of candidates to the school board.*  

After addressing a "procedural matter", Commissioner of Education Betty A. Rosa turned to the merits of Petitioner's appeal, noting that a petitioner "has the burden of demonstrating a clear legal right to the relief requested and establishing the facts upon which he or she seeks relief, citing 8 NYCRR 275.10.

Although the Petitioner asserted that the district made multiple errors in connection with the election, the Commissioner found that she has failed to meet her burden of proving that any of these alleged errors affected the outcome of the election, were so pervasive that they vitiated the electoral process, or that they demonstrated a clear and convincing picture of informality to the point of laxity in adherence to the Education Law.

As an example, the Commissioner noted that Petitioner characterizes the school district’s use of a ballot on election day that was different in format than the sample ballot it published on its website as the “capstone to numerous examples of a dereliction of duties.”** 

The Commissioner, however, noted that the single example advanced by Petitioner - that "one resident informed her she had made an error in casting her vote intended for [Petitioner] due to confusion about the ballot’s format" - she failed to produce any evidence such as "affidavits or signed statements from district voters, to support her claim."

Opining that "It is well settled that mere speculation as to the existence of irregularities or the effect of irregularities provides an insufficient basis on which to annul election results," the Commissioner concluded that Petitioner "failed to meet her burden of proving that [the school district] committed election irregularities that affected the results of the election or was otherwise negligent in its oversight and execution of the school board election and budget vote.

Similarly, said Commissioner Rosa, Petitioner had not alleged sufficient facts to support removal of the trustee named in her appeal. Citing a number of earlier decisions of Commissioners of Education, Dr. Rosa observed that a school officer or member of a board of education may be removed from office "when it is proven to the satisfaction of the Commissioner that the officer or board member has engaged in a willful violation or neglect of duty under the Education Law" citing Education Law §306[1].

To be considered willful, the action of a board member or school officer must have been intentional and committed with a wrongful purpose. Even accepting Petitioner’s allegations concerning the trustee as true, Petitioner "does not allege that [the trustee named] acted with a wrongful purpose.

The Commissioner held that "The appeal must be dismissed and the application for removal must be denied."

* Petitioner was one of five candidates seeking election to the school board and was not elected. She also sought the removal of one of candidates elected to the board.  

** While the sample ballot listed candidates vertically, divided into two columns, the actual ballot listed candidates horizontally with an empty box under the name of the first three candidates and a bubble under the names of petitioner and the final candidate.

Click HERE to access the Commissioner's decision posted on the Internet.

Jun 13, 2023

Court considered employee's long unblemished service record in mitigating imposing the disciplinary penalty of dismissal "under the circumstances"

A tenured teacher [Educator], was charged with conduct unbecoming a teacher, misconduct, and insubordination for allegedly inappropriately restraining a female student who was trying to get past him. The matter proceeded to arbitration, resulting in a determination, after a hearing, finding Educator guilty of inappropriate conduct and the imposition of the penalty of termination of his employment with the school district. Educator then commenced a proceeding pursuant to CPLR Article 75 seeking to vacate the determination. Supreme Court denied Educator's petition and dismissed the proceeding. Educator appealed.

The Appellate Division held that there was a rational basis and evidentiary support for the finding that Educator committed the conduct with which he was charged by inappropriately restraining a female student who was trying to get past him. 

A video of the incident, which was admitted into evidence at the hearing, however, could be interpreted in more than one way. Citing Saunders v Rockland Bd. of Coop. Educ. Servs., 62 AD3d at 1013, the Appellate Division explained it must "accept the arbitrator's credibility determinations, even where there is conflicting evidence and room for choice exists".

Noting the decisions in Matter of Principe v New York City Dept. of Educ., 94 AD3d 431, affirmed 20 NY3d 963, the Appellate Division, in consideration of Educator's otherwise unblemished record of approximately 19 years as a teacher with the school district, opined "the penalty of termination of employment was so disproportionate to the offense as to be shocking to one's sense of fairness".

The Appellate Division then vacated the disciplinary penalty terminating Educator's employment and remitted the matter to the school district "for the imposition of a lesser penalty".

Click HERE to access the Appellate Division's decision posted on the Internet.

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A Reasonable Disciplinary Penalty Under the Circumstances.  The text of this NYPPL e-book focuses on court and administrative decisions addressing disciplinary penalties imposed on officers and employees in the public service in instances where the individual has been found guilty of misconduct and, or, incompetence. For additional information and access to a free excerpt from this e-book click HERE.

 

 

Jun 12, 2023

Attendance Rule providing "paid family leave" for employees in the Classified Service of the State as the employer designated Managerial or Confidential proposed

The New York State Department of Civil Service has proposed the adoption of a new  "consensus rule",* set out below,  to provide a grant of up to twelve weeks of paid family leave for a qualifying event for eligible employees** in serving in positions in the Classified Service*** of the State of New York as the employer designated Managerial or Confidential within the meaning of Article 14 of the Civil Service Law. Article 14 of the Civil Service Law is frequently referred to as the "Taylor Law".

* A proposed rule or regulation may be filed as a consensus rule or regulation if the agency concludes that the proposed rule or regulation is non-controversial based on its subject.

** Although not all employees of the State as the employer in the Classified Service are State officers, all officers of the State as the employer in the Classified Service are employees of the State. 

*** See Civil Service Law §40.

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Department of Civil Service

PROPOSED RULE MAKING NO HEARING(S) SCHEDULED

Paid Family Leave I.D. No. CVS-23-23-00001-P

PURSUANT TO THE PROVISIONS OF THE State Administrative Procedure Act, NOTICE is hereby given of the following proposed rule:

Proposed Action: This is a consensus rule making to add §28-1.19 to Title 4 NYCRR.  

Statutory authority: Civil Service Law, §6(1)

Subject: Paid family leave.

Purpose: To provide a grant of up to twelve weeks of paid family leave for a qualifying event for subject employees in M/C positions.

Text of proposed rule:

RESOLVED, That subject to the approval of the Governor, Section 28 of the Attendance Rules for Employees in New York State Departments and Institutions be and hereby is amended, with a new subdivision to read as follows: 


28-1.19 Paid Parental Leave

(1) Employees shall be granted up to twelve weeks of paid leave without charge to accruals for each qualifying event, defined as the birth of a child or placement of a child for adoption or foster care. Paid parental leave begins on the date of birth, the day of adoption or foster care placement or anytime thereafter within seven months. An employee’s eligibility to use paid parental leave ends seven months from the date of the qualifying event.

(2) Paid parental leave is available for use once every twelve-month period.

(3) Employees using paid parental leave are deemed to be in leave without pay status for attendance and leave purposes.

(4) Paid parental leave must be taken in a single block of time and cannot be used intermittently. If an employee returns to work after using less than the full twelve week grant of paid parental leave, the employee can no longer use any paid parental leave for the same or another qualifying event within the same twelve month period, as computed from the date of the original qualifying event.

 

The text of proposed rule and any required statements and analyses may be obtained from: Jennifer Paul, NYS Department of Civil Service, Empire State Plaza, Agency Building 1, Albany, NY 12239, (518) 473-6598, email: commops@cs.ny.gov

Data, views or arguments may be submitted to: Eugene Sarfoh, Counsel, NYS Department of Civil Service, Empire State Plaza, Agency Building 1, Albany, NY 12239, (518) 473-2624, email: public.comments@cs.ny.gov. Public comment will be received until: 60 days after publication of this notice.

Consensus Rule Making Determination Section 6(1) of the Civil Service Law authorizes the State Civil Service Commission to prescribe and amend suitable rules and regulations concerning leaves of absence for employees in the Classified Service of the State.

On January 10, 2023, Governor Hochul announced that New York State will provide twelve weeks of Paid Parental Leave for unrepresented (Managerial/Confidential) executive branch state employees to bond with a newly born, adopted, or fostered child.

Effective February 14, 2023, Paid Parental Leave became available to any gestational, non-gestational, adoptive, or foster parent who meets certain eligibility criteria for unrepresented executive branch employees.

All other child care leave benefits, including sick leave accruals, family sick leave benefits, Family Medical Leave Act (FMLA), Income Protection Plan (IPP), and Paid Family Leave (PFL), remain unchanged and available for use when applicable.

Consistent with Commission practice, significant changes to State leave polices are incorporated, as appropriate, as amendments or additions to the Attendance Rules for Employees in New State Departments and Institutions (Attendance Rules). Accordingly, Paid Parental Leave is hereby added to Part 28 of the Attendance Rules, applicable to employees serving in unrepresented positions.

As no person or entity is likely to object to the rule as written, the proposed rule is advanced as a consensus rule pursuant to State Administrative Procedure Act (SAPA) §202(1)(b)(i). Employees in represented New York State positions will be eligible to obtain equivalent benefits through the collective bargaining process.

Job Impact Statement

By amending Title 4 of the NYCRR to provide for Paid Parental Leave for certain New York State employees serving in unrepresented positions, this rule will not negatively impact jobs or employment opportunities for eligible employees, as set forth in §201-a(2)(a) of the State Administrative Procedure Act (SAPA). Therefore, a Job Impact Statement (JIS) is not required by §201-a of such Act.

 

 

 

Jun 10, 2023

New York State Comptroller DiNapoli releases municipal and school audits

On June 8, 2023, New York State Comptroller Thomas P. DiNapoli announced the local government audits set out below were issued during the week ending June 10, 2023.

Click on the text highlighted in color to access the complete audit report.

Town of Dix – Supervisor’s Control of Cash (Schuyler County) The former supervisor did not ensure all cash in his custody was properly collected and disbursed and did not provide oversight of the bookkeepers, who performed all financial duties, including online banking. The board did not adopt written policies and procedures for cash receipts and disbursements and online banking. In 2020, the former bookkeeper received $1,254 in dental and vision insurance through the town and paid $126 of the premium cost. There was no documentation to support why she was entitled to receive these benefits. The findings regarding the former bookkeeper were referred to outside law enforcement for review.

Brighton Central School District – Procurement (Monroe County) District officials did not demonstrate that certain goods and services related to the 2021-22 capital improvement project (CIP) were procured in accordance with district policies, statutory requirements and good business practices. Of the nine CIP contracts totaling $4.4 million awarded to vendors, officials could not show they competitively awarded two contracts, totaling $2.8 million. Instead of using competitive bidding, officials used vendors who were granted awards from group purchasing organization contracts. However, officials could not demonstrate that they performed cost-benefit analyses to determine if using these vendors was in the district’s best interest.

Onondaga Cortland Madison Board of Cooperative Educational Services (BOCES) – Cash Management (2023M-40) Over an 18-month period, officials missed an opportunity for BOCES to realize additional interest earnings totaling $310,865. Officials did not develop and manage a comprehensive investment program or develop procedures for the operation of the investment program in compliance with the board investment policy. Officials also did not invest available funds throughout the audit period in an authorized cooperative municipal investment fund that offered higher interest rates. They did not prepare monthly cash flow forecasts or ensure interest rate quotes were solicited to maximize earnings.

North Salem Central School District – Network User Accounts (Westchester County) In addition to finding sensitive information technology (IT) control weaknesses, auditors found that district officials should have developed procedures for granting, changing and disabling network user accounts and ensured staff disabled 181 unneeded network user accounts. Seven of these users left the district between 2011 and 2019.

Hilton Central School District – Network Access Controls (Monroe County) In addition to sensitive network access control weaknesses, district officials did not establish written policies or adequate written procedures for managing network user account access, including adding or disabling user accounts and permissions. The district had 230 unneeded enabled network user accounts, including those for former students, former employees and others who were no longer providing services to the district.

Amherst Central School District – Network User Account Access and Application User Accounts and Permissions (Erie County) District officials did not adequately secure user account access to the network or properly manage user accounts and permissions in financial and student information applications, leading to a significant risk that network resources, financial data and student information could be inappropriately altered, accessed, or used. In addition to sensitive control weaknesses that were communicated confidentially, officials did not disable unnecessary network user accounts or revoke unnecessary network user account access. As many as 1,570 accounts were unneeded but were not disabled and four accounts had unnecessary network administrative access. The district also did not disable application user accounts or properly restrict permissions in the financial and student information applications.

West Webster Volunteer Firemen’s Association, Inc. – Cash Disbursements (Monroe County) The board did not ensure that cash disbursements were properly approved, accurately recorded, had adequate supporting documentation and were for association purposes. Auditors found that 138 disbursements (28%) totaling $39,929 did not have an itemized invoice or receipt (or other such documentation) and a documented, specific association purpose. Five disbursements totaling $1,308 were not recorded in the accounting records. In addition, the board did not adopt adequate bylaws or written policies or enforce compliance with the limited bylaws and policies that it adopted or establish adequate controls over disbursements, such as auditing all claims and reviewing bank statements and canceled check images.

 

Jun 9, 2023

A public employee is entitled to separate counsel to be paid for by the jurisdiction where representation by the jurisdiction's attorney may result in a conflict of interest

The Village Board of Trustees [Board] commenced a CPLR Article 78 proceeding to compel the Mayor of the Village [Mayor] to perform certain official duties. In his answer, Mayor sought a judgment declaring that he is entitled to separate counsel in this proceeding with reasonable fees to be paid by the Village. Supreme Court granted Mayor's counterclaim, declaring that Mayor was entitled to separate counsel in this proceeding, with reasonable fees to be paid by the Village. The Board appealed.

The Appellate Division held that Supreme Court properly declared that Mayor was entitled to separate representation in this proceeding without the requirement that he first comply with the procedures outlined in the Code of the Village relating to defense and indemnification of Village employees.

The Appellate Division conceded that an attorney generally may not be compensated for services rendered to a municipal officer, even if for the benefit of the municipality, unless the attorney has been retained in accordance with statutory authority. However, opined the court, "[n]otwithstanding lack of specific statutory authority, a municipal ... officer possesses implied authority to employ counsel in the good faith prosecution or defense of an action undertaken in the public interest, and in conjunction with ... his official duties where the municipal attorney ... was disqualified from ... acting", citing Cahn v Town of Huntington , 29 NY2d 451, among other decisions.

In this instance, the Village attorney was unable to represent Mayor due to a conflict of interest as he was representing the Board in the matter. Thus, said the court, Mayor was entitled to engage counsel who did not have a conflict of interest. Further, noted the Appellate Division, Board acknowledged as much when it approved of retention of "conflict counsel" for Mayor prior to the commencement of this proceeding when it became apparent that Mayor was taking a position contrary to the Board's.

The Appellate Division then observed, "As the Supreme Court properly determined, the amount the Village pays for [Mayor's] separate counsel shall depend upon [Mayor's] submission, and the Village's approval, of a claim for reasonable fees."

Click HERE to access the Appellate Division's decision posted on the Internet.

Jun 8, 2023

Veterans Internship Program Bill Passed by New York State Legislature to be delivered to the Governor

On June 7, 2023, Senator Jim Tedisco (R,C-44th Senate District) and Assemblymember Marianne Buttenschon (D-Utica/Rome) announced that both houses of the New York State Legislature have passed their bipartisan Veterans Internship Program (V.I.P.) legislation to enable honorably discharged veterans to participate in the legislature’s annual paid legislative internship program that could help lead them to future employment.

Tedisco and Buttenschon’s V.I.P. legislation (S.291/A.1347) sets aside 10 percent of the current legislative internship program positions in the Senate and Assembly for veterans to see the inner workings of the representative democracy they put their lives on the line to defend.

Veteran participants in the Veterans Internship Program would receive a stipend that’s equivalent to what graduate students currently receive in the Senate ($50,000) and Assembly ($17,000). The Senate and Assembly internship offices would work with county veterans services agencies to identify and recruit eligible candidates. There will be no additional cost to taxpayers to implement the V.I.P. law.

Click HERE for information about this Internship Program.

Jun 7, 2023

Local fire districts audits published by the New York State Comptroller

On June 6, 2023 New York State Comptroller Thomas P. DiNapoli announced the publication of the local fire district audits listed below.

Click on the text highlighted in color to access the full text of the audit. 

 

Fort Hunter Fire District – Capital Reserve Funds (Montgomery County) The board did not properly manage the district’s three capital reserve funds. As a result, the board reduced its transparency of financial operations, and the public did not have an opportunity to exercise its rights to approve reserves by a vote. The board also did not properly establish the equipment capital reserve fund, develop a multiyear capital plan or clearly identify the source of funding for the capital reserves as a part of the budgeting process.

 

Hamlin Morton Walker Fire District – Pumper Truck Procurement (Monroe County) The board did not procure a $748,676 pumper truck in accordance with statutory requirements and good business practices. As a result, officials have less assurance that the purchase was made in the most prudent and economical manner. District officials could not show they sought competition or properly used a valid exception to the competitive bidding requirements.

 

Upper Jay Fire District – Board Oversight (Essex County) The board did not provide adequate oversight of district financial activities, which hindered its ability to monitor financial operations and increased the risk that improper claims could be paid. In addition, the board, as a whole, did not audit and approve claims for 57 check disbursements totaling $37,561 before payment and did not audit the treasurer’s 2021 records. While the treasurer is required to sign all checks, she signed only six of the 247 checks issued by the district during the audit period, and the remaining checks were signed by the chairman of the board or the commissioner. Also, the treasurer did not provide the board with monthly budget status reports.

 

Upper Jay Volunteer Fire Department – Financial Activities (Essex County) Department officials did not ensure financial activities were properly recorded and reported and funds were safeguarded, which hindered their ability to make informed financial decisions and increased the risk that errors or irregularities could occur. The treasurer did not properly record all financial transactions or prepare the required annual reports. Bank reconciliations were not prepared monthly, 43 deposits totaling $33,918 were not supported by adequate documentation, and 63 disbursements totaling $23,585 were not approved before payment.

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Jun 6, 2023

Voluntarily withdrawing from the labor market disqualifies an applicant seeking Workers' Compensation benefits

Claimant, a court reporter, sustained injuries when she fell from her chair at work resulting in the disturbing hardware from a lumbar fusion surgery earlier performed to address a non-work-related injury.

The hardware was later surgically removed and Claimant returned to work for the employer upon her physician's approval. Then terminated from her position, Claimant then worked sporadically as a freelance court reporter until she eventually ceased all employment. Ultimately the employer and its carrier [Carrier] raised the issues of Claimant's eligibility for Workers' Compensation Benefits.

After a hearing, a Workers' Compensation Law Judge [WCLJ] concluded that Claimant had causally-related wage losses and awarded benefits at temporary total disability rates and a comparable tentative rate for various dates over the relevant time periods, while "marking certain periods of time as lacking medical evidence" to support the claim. 

Carrier appealed and the Workers' Compensation Board [Board] reversed the WCLJ's ruling and denied Claimant's application for workers' compensation benefits. Essentially the Board held that Claimant's separation from employment was not causally-related within the meaning of the Workers' Compensation Law. Claimant appealed the Board's decision.

Citing Matter of Tomaine v City of Poughkeepsie Police, 178 AD3d 1256, the Appellate Division sustained the Board's determination. 

The court's decision also noted "Whether [Claimant] has voluntarily withdrawn from the labor market is a factual issue, and the Board's determination of that issue will not be disturbed if supported by substantial evidence."

The Appellate Division's decision further pointed out that in the event that a "claimant's loss of employment is due to a layoff — a factor other than his [or her] work-related injury — he [or she] bears the burden of establishing by substantial evidence that his [or her] disability contributed to his [or her] continued unemployment", citing (Matter of Gross v BJ's Wholesale Club, 29 AD3d 1051 and other decisions.

Noting that it is well settled that the Board, as the sole arbiter of the credibility of witnesses, has broad authority to resolve factual issues based on its determinations concerning the credibility of witnesses and drawing reasonable inferences from the evidence in the record. 

The Appellate Division opined that in the event the record evidence is inconsistent, "the Board is warranted in rejecting testimony that fails to find support in documentary or other impartial evidence".

As the Board had found Claimant's testimony "to be largely inconsistent and unsupported," the Appellate Division concluded that substantial evidence supported the Board's conclusion that Claimant's initial separation from employment and her continued unemployment thereafter was "voluntary and not due to her disability."

Click HERE to access the Appellate Division's decision posted on the Internet.

 

Jun 5, 2023

Administrative Law Judge recommended a 15-day suspension without pay for a correction officer who failed to disclose his possession of a handgun.

New York City Office of Administrative Trials and Hearings Administrative Law Judge Kevin F. Casey found that Respondent served as a military police officer with the National Guard and was authorized to possess a handgun as his service weapon. 

While federal law authorized Respondent to possess the handgun, it did not, however,  exempt him from the Employer’s requirement that employees disclose any firearms they possess and accurately complete certain personal information forms. 

In response to Respondent's failure to provide the required information to Employer, Judge Casey opined "An appropriate penalty should take into consideration petitioner’s interest in ensuring that all of its employees strictly comply with its firearm regulations as well as principles of progressive discipline, the facts of [the] case, and [the] respondent’s background." 

The ALJ recommended the imposition of a 15-day suspension without pay on the Respondent for failing to disclose his possession of a handgun to his Employer.  

Judge Casey's findings and recommendation are set out below:

  ______________________________________________________
 

NEW YORK CITY OFFICE OF
ADMINISTRATIVE TRIALS AND HEARINGS
In the Matter of
DEPARTMENT OF CORRECTION
Petitioner
- against -
ANDRE ANDERSON
Respondent
______________________________________________________
 

REPORT AND RECOMMENDATION
KEVIN F. CASEY, Administrative Law Judge


Petitioner, the Department of Correction, brought this disciplinary proceeding against
respondent, Correction Officer Andre Anderson, under section 75 of the Civil Service Law. The petition alleges that, on or about July 25, 2020, respondent failed to notify petitioner that he had purchased and possessed several personal protection firearms (Pet. Ex. 1).1

Respondent denied the charge.

At a two-day trial, held via video-conference and concluded on February 23, 2023,
petitioner relied on documentary evidence and testimony from two of its employees, Firearms Instructor Villafane and Investigator Hall. Respondent testified in his own behalf, offered documentary evidence, and called another witness, Army National Guard Sergeant Villanueva.

For the reasons below, I find that petitioner proved that respondent failed to provide required notice regarding one firearm. Thus, the charge should be sustained, in part.

1 At the trial’s outset, petitioner dismissed two related charges concerning statements made by respondent to investigators in January and December 2021 (Pet. Ex. 1; Tr. 6-7).

BACKGROUND

Introduction

Petitioner authorized respondent to carry a Glock 9mm pistol as an off-duty personal
handgun (Tr. 148-50; Resp. Exs. E, F). Respondent, who is also a military police officer with the National Guard, is authorized by the Army to own a SIG Sauer 9mm handgun as a service weapon (Tr. 102, 140-41; Resp. Exs. A, B, C). Federal law allows respondent to carry the SIG Sauer handgun while off-duty (Id.). See Law Enforcement Officers Safety Act of 2004 (“LEOSA”), 18 USCS § 926B (Lexis 2023).

The main contested issue is whether respondent committed misconduct when he failed to notify petitioner that he purchased and possessed the SIG Sauer handgun. Petitioner contends arms Policy and Procedures Directive 4511R-B mandates that employees cannot possess any personal handgun without the Department’s permission (Tr. 7; Pet. Ex. 2 at § IV(A)(2)). In addition, petitioner asserts that Operations Order 5/01 requires all employees to disclose firearms that they own when they complete annual employee personal information forms (Tr. 7; Pet. Ex. 5 at § IV(C)(III)(a), (b)). Respondent notes that petitioner’s firearms policy narrowly defines personal handguns and does not refer to military-authorized firearms (Tr. 17-18). Thus, respondent maintains that he was not required to obtain petitioner’s authorization to purchase his SIG Sauer handgun and he was not required to notify petitioner about that weapon (Tr. 18-19).

Though the military authorized respondent to obtain and possess the SIG Sauer handgun, petitioner’s Operations Order 5/01 imposes a broad obligation on all employees to disclose “Personal Protection Firearms” and “Other Firearms” (Pet. Ex. 5 at § IV(C)(III)(a), (b) and Attachment, Form 25). Because the evidence established that respondent failed to disclose his personally-owned SIG Sauer 9mm on his annual employee personal information form, he violated Operations Order 5/01.


Evidence

Most of the material facts are undisputed and all of the witnesses at trial appeared to testify credibly about events as they perceived and recalled them. According to a report prepared by petitioner’s investigators, respondent was in an off-duty car accident on July 25, 2020. His vehicle was rear-ended by another vehicle. The driver of the other vehicle drove away from the scene. Respondent called 911 and drove after the other vehicle. When the other vehicle became involved in a second accident, the driver fled on foot. A passenger got out and approached respondent, who identified himself as an officer, displayed his Department-issued handgun, and handcuffed the passenger. The police arrived, the passenger was released, and no arrests were made (Pet. Ex. 4 at 1).

On the day of the off-duty incident, petitioner’s investigators confiscated respondent’s personal protection firearm, the Glock handgun (Hall: Tr. 57; Pet. Ex. 4 at 2). 

Investigators also learned that day that respondent owned two other guns, the SIG Sauer handgun and a Smith and Wesson rifle (Hall: Tr. 62-63; Pet. Ex. 4 at 2). Petitioner authorized respondent to buy his Glock handgun in September 2017 and he disclosed that weapon on his annual personal information forms (Hall: Tr. 58-59; Pet. Exs. 6-7). Respondent purchased the Smith and Wesson rifle in December 2018 and his SIG Sauer handgun on April 2, 2020 (Hall: Tr. 61-62; Pet. Ex. 4 at 2). He did not seek petitioner’s authorization to purchase those two weapons and did not disclose them on his employee personal information forms (Hall: Tr. 58-59; Pet. Exs. 6, 7).

Investigator Hall testified that petitioner’s rules and regulations require all employees to disclose all firearms that they possess (Tr. 60). Hall stated that respondent should have disclosed the SIG Sauer handgun on his 2020 employee personal information form, filed with petitioner on April 22, 2020, and he should have disclosed the Smith and Wesson rifle on the 2019 and 2020 forms (Tr. 69, 71-72).

During an MEO 16 interview in December 2021, Hall learned that respondent owned a Springfield handgun (Hall: Tr. 84; Pet. Ex. 4 at 1-2). Respondent also stated during the interview that, under Directive 4511R-B, he did not need petitioner’s authorization to purchase handguns that were authorized by the military (Pet. Ex. 8 at 1-2). According to respondent, the directive only applied to Department-authorized “carry” or “recreational” handguns (Id. at 2-3).

Firearms Instructor Villafane testified about petitioner’s firearms rules and regulations (Tr. 26-27, 35). He explained that it was important for the Department to know about all firearms possessed by members of service in the event that a weapon is lost or discharged (Tr. 28). According to Villafane, all firearm transactions had to be disclosed, even for unauthorized firearms (Tr. 28, 31). Villafane stated that a personal handgun is one purchased with the officer’s own money (Tr. 47). Thus, in his view, a handgun purchased by an officer for military service is a “personal handgun” (Tr. 48).

Respondent testified that his Glock handgun is a “personal handgun” authorized by and disclosed to petitioner (Tr. 148-50; Resp. Exs. E, F, G). However, respondent said that his military commanding officer authorized him to purchase the SIG Sauer handgun for use as a military police officer (Tr. 141). Respondent introduced documents showing that he is a Qualified Federal Department of Defense Law Enforcement Officer, who is authorized by federal law to carry a firearm while off-duty (Tr. 141, 143; Resp. Exs. A, B).

After the off-duty incident on July 25, 2020, petitioner confiscated respondent’s SIG Sauer handgun (Tr. 144). On April 27, 2021, an Army legal officer wrote to petitioner requesting return of that weapon because respondent, who was on active duty, needed it in connection with his service as a military police officer (Resp. Ex. C). When petitioner failed to return the SIG Sauer handgun, respondent received permission from his military commander to purchase a Springfield handgun (Tr. 145-46; Resp. Ex. D). 

Though respondent continued to maintain that he was not required to disclose to petitioner that he purchased or possessed military-authorized handguns, he testified that he reported the purchase of the Springfield handgun to petitioner to avoid any problems (Tr. 155, 158).

Respondent introduced a copy of a June 17, 2021, memorandum that he sent to the warden of his facility, disclosing the purchase of the Springfield handgun (Tr. 153-54, 160; Resp. Ex. H). A copy of the memorandum was also attached to a letter that respondent’s attorney sent to the New York City Law Department on June 22, 2021 (Resp. Ex. H). Investigator Hall testified that he did not see a copy of the memorandum when he reviewed respondent’s personnel file in November 2021 (Tr. 90-91, 119, 121).

As for the Smith and Wesson rifle, respondent acknowledged that he purchased it with his own funds, kept it at home, and did not use it for his military service (Tr. 161-62). In response to questioning by petitioner’s counsel, respondent agreed that a rifle or a shotgun is a firearm (Tr. 162, 167-68). 

National Guard Sergeant Villanueva, who is also a New York City Police Department detective, testified that he has supervised respondent in the military for 15 years (Tr. 128, 134).

Villanueva confirmed that, because of his military credentials, respondent is authorized to carry a firearm while off-duty (Tr. 124-26, 132). Based upon his reading of Directive 4511R-B and his understanding of federal law, Villanueva agreed with respondent that the directive does not apply to firearms authorized by the military (Tr. 130-33). 

Villanueva acknowledged that he only read the directive on the day of trial and he did not give respondent any advice regarding petitioner’s reporting requirements (Tr. 132-34, 137).

ANALYSIS

The petition alleges that “on or about July 25, 2020,” in his residence, respondent “was in possession of several personal protection firearms which he had purchased and failed to notify the Department” in violation of Directive 4511R-B and Department rules, including Rule 3.20.030 (failure to abide by the provisions of any order) (Pet. Exs. 1, 3).

To prevail under section 75 of the Civil Service Law, petitioner must prove the charge by a preponderance of the credible evidence. See Dep’t of Correction v. Hall, OATH Index No. 400/08 at 2 (Oct. 18, 2007), aff’d, NYC Civ. Serv. Comm’n Item No. CD 08-33-SA (May 30, 2008). Here, the evidence showed that respondent failed to report at least one firearm, his SIG Sauer handgun.

To protect officers and the public, petitioner has a compelling interest in regulating and monitoring its employees’ purchases and possession of firearms. See Dep’t of Correction v. Fleming, OATH Index No. 228/85 at 14 (Nov. 5, 1987). One reason for monitoring firearm transactions is that petitioner administers a provision of the Penal Law that exempts correction officers, who are peace officers, from having to apply to local police for permission to carry handguns. See Dep’t of correction v. Katanic, OATH Index No. 2117/10 at 4-5 (Oct. 15, 2010), appeal dismissed, NYC Civ. Serv. Comm’n Item No. CD 11-03-D (Mar. 2, 2011); see also Penal Law §§ 265.20(a)(1)(c), 400.00(3)(b) (discussing procedures governing exemptions for peace officers). Petitioner administers that exemption by requiring correction officers to apply for permission from their command to buy such guns, registering those guns, and forwarding required forms to the State Police (Pet. Ex. 2 at § IV(A)(2)).

Petitioner does not merely administer the licensing exemption. Directive 4511R-B states that it is petitioner’s policy to “monitor all firearm transactions made by members of the Department by maintaining a personal firearms record” and petitioner’s “comprehensive record shall list all individual firearm transactions for each member” (emphasis added) (Pet. Ex. 2 at §I(B)(6)). There are sound reasons for this policy. If an officer is involved in a domestic violence incident, if a weapon is lost or misplaced, or if the officer is medically or psychologically unfit to possess a firearm, petitioner needs to locate firearms possessed by the officer (Tr. 28, 131; Pet. Ex. 2 at § IV(F)(1).

In addition to Directive 4511R-B, Operations Order 5/01 requires all employees to submit annual employee personal information forms, where they are to disclose firearms that they own (Pet. Ex. 5 at § IV(C)(III)(a), (b)). The order applies to all of petitioner’s employees and specifies that failure to complete the disclosure form accurately, “shall be construed a refusal and the staff member will be made the subject of disciplinary action” (Id. at §§ II, IV(D)).

The federal LEOSA statute allows respondent to possess a firearm while off-duty. See 18 USCS §926B. But the statute does not relieve respondent of his duty to comply with Operations Order 5/01, which requires accurate completion of the employee personal information form.

Petitioner had a right to request that information and respondent had a duty to provide it. See Katanic ̧ OATH 2117/10 at 16; cf. Dep’t of Correction v. LaSonde, OATH Index No. 2526/11 at 18-20 (Aug. 18, 2011), adopted, Comm’r Dec. (Sept. 9, 2011) (officers have a constitutional right to remain silent, but that does not preclude petitioner from disciplining an officer for failure to answer questions during an MEO 16 interview). As respondent notes, Directive 4511R-B does not mention military-authorized firearms.

The section of the directive concerning Firearm Transactions begins by stating that it refers to the acquisition and transfer of “personal handguns and departmental firearms” (Pet. Ex. 2 at §IV). And the directive classifies “personal handguns” into two categories: “carry” handguns authorized by the Department and “recreational” handguns. The directive defines those terms as follows:

Personal Handgun: Any handgun owned by a member of service that is authorized by the department for use as either a “carry” or “recreational” purpose.

Carry Handgun: A personally owned 9mm semiautomatic pistol or .38 caliber revolver meeting factory and Department specifications that the member has been authorized to
carry by the Department.

Recreational Handgun: A personally owned handgun that is used solely for recreational
purposes (e.g., hunting, target shooting, collecting). (Pet. Ex. 2 at § I(C)(2)(a), (b)). The directive further states a commanding officer’s authorization is required to possess a recreational handgun and recreational handguns must be unloaded and carried in a case to and from their legal areas of use (Id. at § I(C)(2)(b)). Prior authorization is not required to purchase or possess a recreational long arm (Id.).

Respondent stresses that Directive 4511R-B narrowly defines “personal handguns” (Tr. 19). But that argument ignores the fact that Operation Order 05/01 is separate and more comprehensive. It requires employees to disclose “Personal Protection Firearms” and “Other Firearms” (Pet. Ex. 5 at § IV(C)(III)). There is no dispute that respondent’s SIG Sauer 9mm handgun is a firearm and he purchased it before he submitted his 2020 employee personal information form. Thus, respondent violated Operation Order 5/01 by failing to disclose that he possessed his SIG Sauer handgun.

As for respondent’s Smith and Wesson rifle, it is unclear whether it is a “firearm” that he was required to disclose. Where an agency’s rules are subject to “reasonable differing interpretations,” the benefit of doubt should be given to the employee because rules must clearly put the employee on notice of the conduct that would be a violation. See Dep’t of Correction v. Page, OATH Index No. 1358/96 at 24 (Mar. 17, 1997), adopted, Comm’r Dec. (April 22, 1997).

Here, there was conflicting evidence as to what constitutes a firearm. Neither Directive 4511R-B nor Operation Order 5/01 define “firearm” (Pet. Exs. 2, 5). Directive 4511R-B distinguishes between recreational long arms and handguns by stating that prior authorization is not required to purchase or possess a long arm (Pet. Ex. 2 at § I(C)(2)(b)). Elsewhere, the directive states that, in some situations, petitioner may confiscate “all of an employee’s firearm(s) including long arms,” which implies that long arms are a subset of firearms (Id. at § IV(F)(10)(d)(iv)). Firearms Instructor Villafane defined a firearm “something designed to cause death or serious physical injury” (Tr. 47). And respondent said “yes” when petitioner’s counsel asked whether a rifle is a firearm (Tr. 162).

In summation, petitioner relied on the Penal Law’s definition of “firearm,” which includes “a rifle having one or more barrels less than sixteen inches in length” or an assault weapon, which is defined as a semiautomatic rifle, with the ability to accept a detachable magazine, and a folding or telescoping stock (Tr. 195-96). See Penal Law §§ 265.00(3), (22)(a)(i). Petitioner argued that respondent’s Smith and Wesson rifle qualified as a firearm because it was a semi-automatic rifle with a telescoping stock (Tr. 195-96). However, there was no evidence offered to support that argument. The parties did not present evidence regarding the rifle’s barrel length or other features.

Based on this lack of evidence, petitioner failed to prove that respondent’s rifle was a firearm that he was required to disclose.

The evidence also failed to show that respondent purchased or possessed a Springfield handgun on or about July 25, 2020, as alleged in the petition (Pet. Ex. 1). Instead, the evidence showed, that respondent purchased a Springfield handgun in mid-2021, to replace the SIG Sauer that petitioner confiscated July 2020. I credited respondent’s claim that, in an abundance of caution, he sent a memorandum to the warden of his facility in June 2021 advising her that he had purchased the Springfield handgun. At the time, there was an active dispute between the Army and petitioner regarding respondent’s authority to possess a military-authorized firearm.

Thus, it made sense for respondent to send the memorandum to avoid further problems. Respondent’s testimony was corroborated by a copy of the memorandum that he offered in evidence. Though petitioner’s investigator did not see the memorandum in respondent’s personnel folder in November 2021, that testimony falls short of proving that the memorandum was never submitted.


FINDINGS AND CONCLUSIONS

 
1. On or about July 25, 2020, respondent committed misconduct by failing to disclose to petitioner that he purchased and possessed a SIG Sauer firearm.

2. Petitioner failed to prove that, on or about July 25, 2020, respondent committed misconduct by failing to disclose to petitioner that he purchased and possessed other firearms.


RECOMMENDATION


I requested and received a summary of respondent’s personnel history. Petitioner hired respondent in 2016 and assigned him to an Emergency Services Unit in 2018 (Tr. 138-39).

There are no prior proven charges of misconduct on his record and he has a very good attendance history. Indeed, he only took three sick days in all of 2020, during the height of the COVID pandemic. Respondent has also served in the National Guard for 16 years (Tr. 140). Petitioner now seeks a 30-day suspension (Tr. 207). That is excessive.

Petitioner’s penalty request was based, in part, on the assumption that it had proved that respondent failed to provide the required notifications for several firearms. Because the proven charge is that respondent failed to notify petitioner about one firearm, a lesser penalty would be appropriate. In non-use of force cases, the penalties for failure to submit an accurate report range from a ten-day suspension to termination of employment, depending on the employee’s  background and the degree of deception. See, e.g., Dep’t of Correction v. Vives, OATH Index No. 817/05 at 14-15 (June 9, 2005), aff’d, NYC Civ. Serv. Comm’n Item No. CD 06-40-SA (Aug. 1, 2006) (ten-day suspension imposed where long-term correction officer, with good work record and minimal disciplinary history, failed to obey three orders and made improper entry falsely indicating that she had turned in a radio); Dep’t of Correction v. Centeno, OATH Index No. 2031/04 at 6-7 (Mar. 16, 2005) (20-day suspension recommended where officer, who had no record of prior discipline, made false or misleading statements during MEO 16 interview regarding another officer’s loss of a gun); Katanic, OATH. 2117/10 at 16-21 (termination of employment recommended where firearms instructor deliberately and actively concealed possession of five personal protection firearms and three long-arms, including two illegal assault weapons, repeatedly made false statements about those weapons, and disobeyed orders to surrender weapons).

As petitioner noted, this case is not nearly as egregious as Katanic (Tr. 193-94). 

Respondent did not engage in deliberate deception. When approached by investigators on July 25, 2020, he disclosed and surrendered his firearms. During the MEO 16 interview and at trial, he consistently explained his sincerely held views about his reporting requirements. Though respondent’s views were incorrect, and he failed to fill out his 2020 employee personal information form accurately, he is an asset to the Department. An appropriate penalty should take into consideration petitioner’s interest in ensuring that all of its employees strictly comply with its firearm regulations as well as principles of progressive discipline, the facts of this case, and respondent’s background.

Accordingly, I recommend a penalty of 15 days’ suspension without pay.

Kevin F. Casey
Administrative Law Judge
April 6, 2023


SUBMITTED TO: LOUIS A. MOLINA
Commissioner


APPEARANCES:

JOHN MCNIFF, ESQ.
RICCA RAMEY, ESQ.
Attorneys for Petitioner


JOEY JACKSON LAW, PLLC.
Attorneys for Respondent
BY: JOEY JACKSON, ESQ.

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