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

Oct 22, 2011

Decisions of interest involving Government and Administrative Law

Decisions of interest involving Government and Administrative Law
Source: Justia October 21, 2011

Court: U.S. 1st Circuit Court of Appeals
Docket: 10-1865
October 18, 2011
Judge: Thompson
Areas of Law: Drugs & Biotech, Environmental Law, Government & Administrative Law
Plaintiff, engaged in treatment and disposal of regulated biomedical waste, had trouble with its shredder and obtained approval from the Puerto Rico Environmental Quality Board to use autoclaves. After a few years, an inspector recommended that plaintiff's facility be shut down and ordered a landfill to stop accepting plaintiff's waste. Unable to resolve the matter with EQB, plaintiff sought a federal court injunction. The injunctions were denied, but plaintiff resumed handling waste. When a second shredder broke, an inspector again ordered the landfill to stop accepting waste and rejected several proposals for dealing with accumulated waste. Plaintiff's suit alleges more favorable treatment of a competitor and other constitutional violations. The district court dismissed for failure to link allegations to any particular defendant. The First Circuit affirmed, finding failure to meet minimal pleading standards. The complaint failed the plausibility test "spectacularly."



Court: U.S. 2nd Circuit Court of Appeals
Docket: 10-485
 October 19, 2011
Judge: Hall
Areas of Law: Constitutional Law, Government & Administrative Law, Real Estate & Property Law, Zoning, Planning & Land Use
Plaintiff brought this action against the Village Defendants alleging a violation of his constitutional rights as a result of the Zoning Board of Appeals' denial of his application for a certificate of occupancy (CO) for his newly-built home. Specifically, plaintiff asserted that the Village Zoning law, Chapter IX, Section E was void for vagueness and that the Village Defendants violated his substantive due process rights by denying him a CO. The court held that Section E was unconstitutionally vague as applied to plaintiff's property because it provided inadequate notice of the elevation point on River Road from which plaintiff should measure the height of his house to determine compliance, and because it authorized arbitrary and discriminatory enforcement. The court also held that the ordinance's constitutionality was not otherwise saved by its core meaning because a reasonable enforcement officer could find that the height of plaintiff's house was in compliance with Section E's restrictions. Therefore, the court reversed the district court's grant of summary judgment in favor of the Village Defendants on plaintiff's void-for-vagueness claim and directed that court to enter summary judgment in favor of plaintiff on this claim. The court also vacated the grant of summary judgment in favor of the Village Defendants on plaintiff's substantive due process claim and remanded for further proceedings.



Court: U.S. 7th Circuit Court of Appeals
Docket: 10-3544
 October 17, 2011
Judge: POSNER
Areas of Law: Aviation, Government & Administrative Law, Government Contracts
Airlines, users of airports owned by the City of Chicago, have use agreements that make they city responsible for runway clearing. The airlines pay a per-landing fee, based on the city's actual expenses. In 1999 and 2000 the airports were crippled by severe snowstorms. The city obtained $6,000,000 in reimbursement from FEMA under the Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. 5121. Years later FEMA ordered the city to return the money, based on a provision of the Act concerning duplicate benefits. FEMA asserted that the use agreements entitled the city to reimbursement of costs from the airlines. After exhausting administrative remedies the city filed suit. The district court denied the airlines' motion to intervene. The Seventh Circuit reversed. Finding that the airlines have standing, the court stated that t would not be as "efficient to litigate this three-cornered dispute in two lawsuits rather than one."



Court: U.S. 8th Circuit Court of Appeals
Docket: 10-3212
 October 17, 2011
Judge: Bye
Areas of Law: Civil Rights, Constitutional Law, Election Law, Government & Administrative Law
Appellants, the Libertarian party and three candidates, challenged the constitutionality of North Dakota Century Code 16.1-11-36, contending that the statute as applied to them violated the First and Fourteenth Amendment and the Equal Protection Clause because it prevented appellants' names from appearing on the 2010 general election ballot despite their winning the party's primary. The court held that the burden imposed by the statute was not undue or excessive and the state had a compelling interest in having a minimum vote requirement before a candidate could appear on the general election ballot. Therefore, the court held that N.D.C.C. 16.1-11-36 was not unconstitutional on First or Fourteenth Amendment grounds. Furthermore, because the law applied equally to all candidates and did not result in unequal treatment, the court held that the statute did not violate the Equal Protection Clause. Accordingly, the court affirmed the district court.




Court: U.S. 8th Circuit Court of Appeals
Docket: 10-2601
 October 20, 2011
Judge: Per curiam
Areas of Law: Civil Rights, Constitutional Law, Government & Administrative Law
Plaintiff brought this action to enjoin the enforcement of the Nebraska Funeral Picketing Law (NFPL), arguing that it violated her First Amendment right to free speech. Plaintiff appealed a district court order denying her motion for a preliminary injunction. The court concluded that the district court correctly applied intermediate scrutiny. The court agreed that the district court was required to follow the court's precedent, which concluded that the government was unlikely to prove a significant interest in protecting funeral attendees. Therefore, the court held that because it was bound by the previous panel decision involving a similar statute, the same procedural posture on appeal, and the identical plaintiff, the court reversed the order denying a preliminary injunction and remanded.




Court: U.S. 10th Circuit Court of Appeals
Docket: 10-9536
 October 18, 2011
Judge: Seymour
Areas of Law: Business Law, Communications Law, Government & Administrative Law
Sorenson Communications, Inc. challenged the 2010-2011 rates set by the Federal Communication Commission (FCC or Commission) to compensate Video Relay Service providers, including Sorenson. Video Relay Service (VRS) is a type of telecommunication relay service (TRS), "which enables a person with a hearing disability to remotely communicate with a hearing person by means of a video link and a communications assistant." FCC regulations provide certain minimum standards that VRS providers must meet. Among these requirements, VRS providers must operate every day, twenty-four hours a day, and must answer 80 percent of all calls within 120 seconds. TRS customers do not pay to access the service. Instead, TRS providers are compensated by the TRS Fund at a rate determined by the FCC. The TRS Fund is financed by interstate telecommunications providers on the basis of interstate enduser telecommunications revenues. Until 2007, the Commission set VRS rates annually, which resulted in significant variation in compensation each year. In 2007, the FCC adopted a three-tiered rate structure for compensating VRS providers, with rates that declined as the number of minutes per month increased. Sorenson asked the FCC to stay its 2010 Order which retained the tiered structure of the 2007 order, but reduced rates on all tiers. Upon review, the Tenth Circuit denied Sorenson's petition for review because the Commission’s order was consistent with its statutory mandate and was not arbitrary or capricious.




Court: U.S. 10th Circuit Court of Appeals
Docket: 11-6021
 October 14, 2011
Judge: Kelly
Areas of Law: Civil Rights, Constitutional Law, Criminal Law, Government & Administrative Law, Injury Law
Payne County Jail Administrator Brandon Myers appealed a district court's order that denied his motion for summary judgment that asked for qualified immunity. While held as a pretrial detainee at the Payne County Jail, Plaintiff John David Palmer suffered from an infection of the flesh-eating methicillin-resistent staphylococcus aureus (MRSA) bacteria. The jail's medical transport officer took Plaintiff to Dr. Daniel Hill who did not diagnose Plaintiff as having MRSA, but drained the boils Plaintiff had developed, administered an injection of an antibiotic, and prescribed two more antibiotics for oral use at the jail. Dr. Hill advised that Plaintiff should return in two days for a follow-up visit, but warned that if Plaintiff developed a fever, he should be taken to the hospital. Ultimately, Plaintiff developed a fever, his condition worsened, and he alleged in his complaint against prison officials that their inattention or delay in taking him to the hospital caused him tremendous suffering and caused him to accumulate $24,000 in medical bills. Upon review of the trial court record and the applicable legal authority, the Tenth Circuit affirmed the district court's decision to deny Mr. Myers qualified immunity.




Court: U.S. 10th Circuit Court of Appeals
Docket: 10-9569
 October 17, 2011
Judge: Holloway
Areas of Law: Criminal Law, Government & Administrative Law, Immigration Law
Appellant Gabriela Cordova-Soto petitioned the Tenth Circuit for review of a Department of Homeland Security (DHS) order reinstating her prior removal order under 8 U.S.C. 1231 (a)(5). Appellant is a native and citizen of Mexico, who entered the United States as a child and became a lawful permanent resident in 1991 at the age of 13. In 2005, DHS initiated removal proceedings against Appellant charging her as removable on three grounds: (1) as an aggravated felon; (2) as an alien convicted of two crimes involving moral turpitude; and (3) as an alien convicted of a controlled substance offense. Appellant had three Kansas state-law convictions, including a 2005 conviction for felony possession of methamphetamine for which she was sentenced to a suspended jail term of twenty months and eighteen months' probation. Appellant was found in 2010 in Wichita, Kansas and identified as an alien who had previously been removed. No criminal charges for illegal reentry were lodged against her, but DHS issued a Notice of Intent/Decision to Reinstate Prior Order, advising Appellant that she was subject to removal. Appellant argued to the Tenth Circuit that: (1) her underlying removal order was not lawful; and (2) her reentry into the United States after her previous removal was not illegal. On these bases she maintained that reinstatement of her previous removal order was precluded. Upon review of the DHS's determination and the applicable legal authority, the Tenth Circuit concluded Appellant failed to establish that DHS misconstrued the meaning of "reenters the United States illegally" in Sec. 1231 (a)(5): she was removed from the United States in 2005, and she admittedly reentered the country without the Attorney General's authorization shortly thereafter. Because she could not have entered the United States legally at that time, her reentry was illegal and she was therefore subject to reinstatement of her previous removal order. Accordingly, the Court denied Appellant's petition for review.




Court: U.S. 10th Circuit Court of Appeals
Docket: 11-9502
 October 18, 2011
Judge: Lucero
Areas of Law: Government & Administrative Law, Immigration Law, International Law
Petitioner Sushma KC sought review of a Board of Immigration Appeals’ (BIA) denial of her motion to reopen or reconsider its previous decision denying her asylum, withholding of removal, and protection under the Convention Against Torture (CAT). After arriving in this country, KC filed timely applications for asylum, but on June 23, 2008, an immigration judge (IJ) denied her applications, and ordered her to voluntarily depart or be removed to her native Nepal. In his oral decision, the IJ noted the threats she received: "the most recent and graphic of them was that her head would be cut off [by Maoist insurgents] unless she paid 300,000 rupees." The IJ concluded, however, that KC failed to satisfy the "one central reason" test (see 8 U.S.C. 1158(b)(1)(B)(i)) which required showing that one of the central reasons the Maoists targeted her was because of her political beliefs. KC appealed to the BIA, which upheld the IJ’s decision. The BIA concluded that "[t]he Immigration Judge reasonably determined based on the record as a whole that the Maoists’ demands for money were acts of extortion not related to the respondent’s political opinion." In addition, the BIA denied KC’s motion to remand her case to the IJ so that he could consider additional evidence concerning her husband’s disappearance. Because the BIA adopted the IJ’s analysis without further explanation, both to dismiss KC’s appeal and to deny reconsideration, the Tenth Circuit held that the BIA’s decision lacked "rational explanation." Accordingly, the Court held that the BIA abused its discretion, and remanded the case for further consideration. The Court affirmed the BIA in all other respects.




Court: U.S. Federal Circuit Court of Appeals
Docket: 10-5142
 October 14, 2011
Judge: O'Malley
Areas of Law: Commercial Law, Government & Administrative Law, Internet Law
The Information Security Management Act, 44 U.S.C. 3541–49, requires that federal agencies meet information security standards. Compliance is monitored by the Office of Management and Budget. The Department of Justice purchased a license for plaintiff’s compliance product. Plaintiff participated with DOJ in seeking designation as a "Center of Excellence." Without notifying plaintiff, DOJ developed an alternative product, accessing plaintiff's database to learn the system’s architecture. OMB selected DOJ as a Center of Excellence and required agencies to purchase from COEs. DOJ’s product substituted its alternative for plaintiff's software. Plaintiff filed, in district court, a Lanham Act claim; a common law unfair competition claim; and a breach of fiduciary duty claim. Months later, plaintiff filed, in the Court of Federal Claims, claims of: breach of oral or implied contract, breach of license agreement, and breach of duty of good faith and fair dealing. The district court dismissed all but the Lanham Act claim. The Claims Court dismissed all claims, applying 28 U.S.C. 1500, which precludes it from exercising jurisdiction over "any claim for or in respect to which the plaintiff … has pending in any other court any suit … against the United States." The Federal Circuit reversed, in part, reasoning that the license agreement claim does not arise from substantially the same facts as the district court claim.




Court: U.S. Federal Circuit Court of Appeals
Docket: 11-3103
 October 19, 2011
Judge: Reyna
Areas of Law: Government & Administrative Law, Labor & Employment Law
Plaintiff, employed by the federal government for almost 30 years, appealed from termination of her position with the VA. During her last months on the job she suffered depression and high blood pressure. The parties entered into a settlement in which plaintiff agreed to withdraw her appeal and forego all claims against the VA. An ALJ dismissed the appeal as settled. The March 2009 decision became final in April 2009. In November 2009, plaintiff filed a new appeal, seeking reinstatement. The appeal was docketed as a petition to enforce the agreement, but without allegation of noncompliance. The ALJ dismissed. The Board, unable to determine whether plaintiff's filing was an untimely appeal of the March decision or any basis for appeal, affirmed. The Federal Circuit affirmed. Plaintiff failed to show good cause for her untimely filing of the November 2009 appeal and the March 2009 decision implementing the agreement operated as a res judicata bar.




Court: Alabama Supreme Court
Docket: 1101198
 October 14, 2011
Judge: Woodall
Areas of Law: Family Law, Government & Administrative Law, Injury Law, Trusts & Estates
In May 2008, seven-year-old Jordan Alexander Robertson was placed in foster care at the home of Verlin Spurgeon and Carol Spurgeon. In June 2008, Jordan drowned in the Spurgeons' swimming pool. James Brakefield, as administrator of Jordan's estate, sued the Spurgeons, among others, in circuit court alleging that they had negligently and/or wantonly caused Jordan's death. The Spurgeons moved the circuit court for a summary judgment, alleging, among other things, that the claims were barred by the doctrines of parental, State, and State-agent immunity. The circuit court denied the motion. The Spurgeons petitioned the Supreme Court for a writ of mandamus to direct the circuit court to dismiss the claims against them. Upon review, the Supreme Court granted their petition in part and issued the writ to direct the circuit court to dismiss the negligence claims against the Spurgeons. In all other respects, the Court denied the petition.




Court: Georgia Supreme Court
Docket: S10G1902
 October 17, 2011
Judge: Hines
Areas of Law: Contracts, Government & Administrative Law, Injury Law, Insurance Law
This case arose from an automobile collision in which a police officer employed by the City of Newman was driving a City police car when it was struck by a motor vehicle owned and operated by the insured, who had $25,000 of motor vehicle liability coverage. The City had a Member Coverage Agreement (Agreement) with the Georgia Interlocal Risk Management Agency (GIRMA), established under OCGA 36-85-1 et seq. The officer subsequently sued the insured in tort and served a copy of the complaint on GIRMA to notify GIRMA that it might be held responsible as an uninsured motorist carrier pursuant to OCGA 33-7-11. The court subsequently granted a writ of certiorari to the court of appeals to consider whether that court properly determined that a municipality's motor vehicle liability coverage secured through an interlocal risk management agency was not statutorily obligated to satisfy the requirements for uninsured and underinsured motorist coverage that were applied to commercial insurance policies and private self-insurance plans. The court held that the district court reached the correct conclusion when it determined that there was no authority for the conclusion that an interlocal risk management program such as that offered by GIRMA must include uninsured motorist coverage pursuant to OCGA 33-7-11. Therefore, the Agreement was limited to its express terms and did not include the underinsured motorist protection that the police officer sought. Accordingly, the judgment was affirmed.




Court: Iowa Supreme Court
Docket: 090427
 October 14, 2011
Judge: Zager
Areas of Law: Government & Administrative Law, Utilities Law
Evercom Systems provided telephone services to inmates in correctional facilities throughout the country. When Evercom billed a customer for collect calls he did not accept, the customer lodged a complaint to the Iowa Utility Board. The Board imposed a civil penalty for a "cramming" violation based on improper billing for collect telephone calls under Iowa Code 476.103 and Iowa Admin. Code r. 199-22.23. The district court reversed the agency's decision and imposition of the civil penalty, concluding that the Board misinterpreted the law and that no cram occurred. The court of appeals reversed the district court and reinstated the civil penalty. The Supreme Court vacated the court of appeals and affirmed the district court, holding that Evercom's actions did not constitute a cram under rule 199-22.23. Remanded for dismissal.




Court: New York Court of Appeals
Docket: 148
 October 20, 2011
Areas of Law: Government & Administrative Law, Non-Profit Corporations
Plaintiff, the New York Coalition for Quality Assisted Living (NYCQAL), a not-for-profit association of members who operate adult homes and assisted living facilities that were regulated pursuant to 18 NYCRR Parts 485 through 48, commenced this action seeking a judgment declaring, among other things, that its guidelines were enforceable and enjoining defendants from violating such guidelines. The court held that the Appellate Division properly concluded that the guidelines impermissibly restricted advocate access to facility residents and violated 18 NYCRR 485.14 and the DOH's interpretation of that regulation. The Appellate Division had a sound basis for concluding that the guidelines, which called for facility representatives to serve as intermediaries between advocates and the residents and prohibited advocates from walking through the facility without the intention of visitng with a particular resident, conflicted with the regulations and the DOH's interpretation of them. Likewise, the Appellate Division properly concluded that the guideline providing that a vistors' failure to comply with any of the guidelines would "constitute reasonable cause to restrict access" conflicts with 18 NYCRR 485.14(g).




Court: New York Court of Appeals
Docket: 153
 October 18, 2011
Judge: Graffeo
Areas of Law: Government & Administrative Law, Injury Law
After her estranged boyfriend shot her, causing serious injuries, plaintiff sued the City of New York for failing to provide her with adequate police protection to prevent the attack. The primary issue on appeal was whether there was sufficient evidence in the record to establish the existence of a special relationship between plaintiff and the police. The court held that because plaintiff's proof was insufficient to establish a special relationship and demonstrate that the City owed her a special duty of care, the court agreed with the Appellate Division that the Supreme Court should have dismissed the negligence claims for failure to establish a prima facie case.




Court: North Dakota Supreme Court
Docket: 20110083
 October 20, 2011
Judge: VandeWalle
Areas of Law: Environmental Law, Government & Administrative Law, Real Estate & Property Law, Zoning, Planning & Land Use
Petitioner Alvin Peterson appealed and the State Engineer, Todd Sando, cross-appealed a district court judgment affirming in part and reversing in part a State Engineer order that determined there was an unauthorized dam on Petitioner's property in Walsh County and required Petitioner to construct a drainage ditch to maintain water impounded by the dam at a level of 1543.5 feet mean sea level. The primary issue in this case involved the determination of the natural elevation of land at the site of the dam for purposes of deciding if the land impounded sufficient water to necessitate a water or construction permit. Petitioner owned land in Walsh County, which, along with other land in the area, contains a slough in a closed basin. Sometime before 1973, Petitioner dug a ditch to drain the slough. In 1973, the United States Department of Interior, Fish and Wildlife Service, the holder of wetland conservation easement for the slough, required Petitioner to restore the drained wetland. In 2009, Petitioner's neighbor filed a complaint with the State Engineer alleging an unauthorized dam existed on Petitioner's land. The neighbor claimed Petitioner had raised the height of the ditch plug above the slough's natural overflow elevation, which resulted in the impoundment of additional water in the slough without necessary water or construction permits. Upon review, the Supreme Court affirmed the district court's judgment in part, and reversed in part, and affirmed the State Engineer's order. Specifically, the Court found that the district court's decision pertaining to costs was "a boilerplate, conclusory statement awarding the State Engineer 'costs as allowed by law,' and the State thereafter caused entry of a judgment that awarded [the Engineer] costs" without any delineation of those costs, or discussion of whether costs are allowed. "Under our jurisprudence disfavoring piecemeal appeals, [the Supreme Court] conclude[d] the State Engineer's failure to include any further delineation for costs in the final judgment constitutes a waiver of any costs it may have been entitled to in a proceeding before a district court acting as an appellate court in an administrative proceeding." Accordingly, the Court reversed the district court's order pertaining to costs, and declined the State Engineer's request to remand for a determination of the costs, if any, to which it may be entitled in the Engineer's cross-appeal. The Court affirmed the district court's order in all other respects.




Court: North Dakota Supreme Court
Docket: 20110127
 October 18, 2011
Judge: Maring
Areas of Law: Government & Administrative Law, Labor & Employment Law, Public Benefits
Petitioner Wanda Gottus appealed a district court judgment that affirmed a decision of Job Service North Dakota denying her unemployment benefits and concluding she was discharged for actions constituting misconduct. In January 2008, Petitioner began working as a cashier for Service Oil Inc. d/b/a Stamart. In addition to acting as a cashier, Petitioner's job duties included attending to the store's shelves, light cleaning, and other similar tasks. Petitioner's employment with Stamart ended in August 2010 when she was discharged for poor job performance. Petitioner subsequently filed for unemployment insurance benefits. Job Service initially approved Petitioner for unemployment benefits indicating she was not discharged for misconduct. Stamart appealed this decision, and a telephone hearing was held before an appeals referee. Testimony and evidence presented during the hearing revealed there were at least sixteen instances when Petitioner's job performance fell below the level expected of Stamart employees. The Job Service reviewed the record and affirmed the referee's decision. Petitioner argued on appeal her job performance was merely unsatisfactory but did not constitute misconduct. The district court rejected her argument and affirmed Job Service's decision. The Supreme Court concluded Job Service's findings of fact were supported by a preponderance of the evidence, and its conclusion that Petitioner's actions constituted disqualifying misconduct was supported by the findings.




Court: Oregon Supreme Court
Docket: S058915
 October 20, 2011
Judge: Kistler
Areas of Law: Government & Administrative Law, Real Estate & Property Law, Zoning, Planning & Land Use
The question before the Supreme Court in this case was whether a landowner holding a "Measure 37" waiver had a common law vested right to construct a residential subdivision that he had begun but not completed by the effective date of "Measure 49." Yamhill County found that the costs that the landowner had incurred were sufficient to establish a vested right to complete construction of the subdivision, and the circuit court upheld the county's decision on a writ of review. The Court of Appeals reversed the circuit court's judgment and remanded the case for further proceedings. The Court of Appeals started from the proposition that, in the context of Measure 49, a common law vested right turns primarily on the ratio between the costs that a landowner has incurred and the projected cost of the development. It reversed because the county had given too little weight to that factor. The Supreme Court allowed the landowner's petition for review to clarify the standard for determining when, in the context of Measure 49, a common law right to complete a development will vest. The Court then affirmed the Court of Appeals decision, although for different reasons than those stated in the Court of Appeals opinion.




Court: Pennsylvania Supreme Court
Docket: 29 WAP 2009
 October 19, 2011
Judge: Orie Melvin
Areas of Law: Government & Administrative Law, Injury Law, Insurance Law
In this discretionary appeal, the Supreme Court was asked to address whether the "regular use" exclusion in a personal automobile insurance police was valid to preclude payment of underinsured motorist benefits (UIM) to a police officer injured in the course of employment while operating his police vehicle for which the officer did not have an ability to obtain UIM coverage. Appellant Robert Williams was a Pennsylvania State Trooper seriously injured in an accident involving his police vehicle. At the time of the accident, Appellant maintained a personal automobile insurance policy with Government Employees Insurance Company (GEICO). He sought to recover UIM benefits from GEICO from the accident, but GEICO denied coverage citing the "regular use" exclusion contained in the policy. The trial court granted GEICO's motion to dismiss, and the Superior Court affirmed in an unpublished memorandum. Appellant argued on appeal that because of the special factual circumstances and challenges he faces as a state trooper, his insurer should have provided him with UIM coverage "despite the unambiguous policy exclusion because Pennsylvania has a strong public policy of protecting police officers and other first responders such that they are entitled to special treatment." Upon review, the Supreme Court concluded "Appellant's argument simply fails." The Court held that the trial and superior courts were correct in denying Appellant coverage under his UIM policy, and affirmed their decisions.




Court: Pennsylvania Supreme Court
Docket: 60, of the International Assocation of Fire Fighters, AFL-CIO, Aplt - Nos. 35 - 38 MAP 2010
 October 19, 2011
Judge: Saylor
Areas of Law: Arbitration & Mediation, Constitutional Law, Government & Administrative Law, Labor & Employment Law
Consolidating several appeals, the Supreme Court addressed the effect of a municipality's financial distress and recovery planning on an arbitration award agreed to pursuant to the Policemen and Firemen Collective Bargaining Act (Act). For approximately twenty years, the City of Scranton has been designated a distressed municipality under the Municipalities Financial Recovery Act. Pursuant to the Recovery Act, the City has its Commonwealth-mandated financial advisors who assist in creating a financial recovery plan (essentially a budget). In the most recent collective bargaining agreements between the City of Scranton and its Police and Firefighter Unions expired at the close of 2002. Negotiations as to future terms and work conditions for union members resulted in impasses. Accordingly, pursuant to the Act, arbitrators were selected to establish appropriate terms and conditions. Throughout the arbitrations, the City maintained that the arbitrators lacked legal authority to award relief impinging on the City's financial recovery plan. The City attempted to resist paying the ensuing award that resulted from the arbitration. The Commonwealth Court found that it was required to vacate the awards, holding that they did not conform to the City's Recovery Plan and would result in increased financial and operational burdens on an already distressed municipality. The Unions appealed to the Supreme Court. The Court focused on the distinction between the terms "arbitration award" and "arbitration settlement": the City argued that it was not mandated to pay "awards" but "settlements." The Supreme Court found the term "settlement" ambiguous, and the plain meaning could include the "award" given by the arbitrators in this case. Accordingly, the Court reversed the Commonwealth Court's order that the award negatively impacted the City's Recovery Plan.




Court: Pennsylvania Supreme Court
Docket: 16 WAP 2009
 October 19, 2011
Judge: Orie Melvin
Areas of Law: Contracts, Government & Administrative Law, Injury Law, Insurance Law
At issue before the Supreme Court was whether it was a violation of public policy to exclude from underinsured motorist coverage (UIM) a claim by an individual eligible for workers' compensation benefits. Appellant Frank Heller was severely injured from an automobile accident that happened during the course of his employment as a police officer for Sugarcreek Borough. Workers' Compensation covered his medical expenses and two-thirds of his salary. The Borough paid the remainder of Appellant's salary. Appellant's losses and damages far exceeded the policy limit from the tortfeasor's insurance carrier. Accordingly, Appellant notified his insurer of a potential UIM claim and sought UIM benefits from the Borough pursuant to a policy issued by the Pennsylvania League of Cities and Municipalities. Ultimately, Appellant's claim was denied. Upon review, the Supreme Court concluded that an exclusion in Appellant's workers' compensation policy violated public policy and was therefore unenforceable. The Court reversed the Commonwealth Court which held that the policy considerations favored the insurer: "Invalidating the workers' compensation exclusion would not force [the UIM insurer] to underwrite an unknown risk for which it did not receive compensation. The Borough voluntarily elected to purchase optional UIM coverage. .. [W]e find [Appellant's] assertion that the Borough purchased illusory coverage persuasive… the vast majority of all UIM claims likely will be made by Borough employees who are eligible for workers' compensation. The subject exclusion operates to deny UIM benefits to anyone who is eligible for workers' compensation."




Court: Pennsylvania Supreme Court
Docket: 49 EAP 2010
 October 19, 2011
Judge: Orie Melvin
Areas of Law: Government & Administrative Law, Injury Law, Insurance Law, Labor & Employment Law
At issue before the Supreme Court was whether an opinion rendered by a medical expert was sufficient to rebut the presumption of disease causation under the Pennsylvania Workers' Compensation Act. Joseph Kriebel worked for the City of Philadelphia as a firefighter from 1974 to 2003. He died in 2004 from liver disease caused by hepatitis C. His widow Appellant Patricia Kriebel, filed a claim petition under the Act in 2005, alleging that her husband contracted hepatitis C in the course of his employment. Appellant sought to raise the presumption of occupational exposure. In support of her claim, Appellant presented the testimony of her husband's treating physician. The City rebutted the presumption of disease causation with testimony of its own medical expert. Upon review, the Supreme Court held that an expert's opinion does not constitute substantial competent evidence where it is based on a series of assumptions that lack the necessary factual predicate. Since the medical opinions in this case were based on unfounded suppositions, they were legally insufficient to overcome the presumption of disease causation. The Supreme Court reversed the Commonwealth Court that held that the City overcame the presumption with its' medical expert's testimony, and reinstated the order of the superior court which held in favor of Appellant.




Court: Utah Supreme Court
Docket: 20081054
 October 18, 2011
Judge: Parrish
Areas of Law: Government & Administrative Law, Real Estate & Property Law, Zoning, Planning & Land Use
The Utah Department of Transportation (UDOT) condemned real property belonging to Admiral Beverage Corporation, and Admiral was entitled to compensation from the State for the taking of its property. During the condemnation proceedings, Admiral sought to introduce evidence of the fair market value of its property, including evidence of its damages arising from the loss of view and visibility of its remaining property. The district court ruled that evidence of the fair market value of Admiral's property was not admissible under the holding in Ivers v. UDOT. The court of appeals affirmed. The Supreme Court reversed, holding (1) the part of Ivers that allowed severance damages only for "recognized property rights" was too restrictive to accord the full protection of the Utah Constitution, was inconsistent with both Utah statutes and the Court's prior case law, and was therefore overruled; and (2) Admiral had the right to recover from UDOT for the decrease in the fair market value of its remaining property resulting from the condemnation.




Court: Utah Supreme Court
Docket: 20090569
 October 18, 2011
Judge: Lee
Areas of Law: Government & Administrative Law, Real Estate & Property Law, Zoning, Planning & Land Use
L.C. Canyon filed an application with Salt Lake County to rezone several acres of its property to allow the construction of a residence on the property. The County Planning Commission recommended its approval to the Salt Lake County Council. The Council then passed an ordinance amending the zoning map to grant L.C. Canyon's requested rezoning. Before the ordinance was to take effect, the Council rescinded the rezoning ordinance. L.C. Canyon filed a complaint against the County, asserting that the Council had no authority to rescind the rezoning ordinance and that the rescission effected a taking of L.C. Canyon's property. The district court entered summary judgment against L.C. Canyon. The Supreme Court affirmed, holding (1) the County had a rational basis for its zoning decision, (2) the Council had the authority to rescind its rezoning ordinance before it became effective, and (3) because L.C. Canyon had only a unilateral hope that the rezoning ordinance ultimately would take effect, it had no viable takings claim.





Oct 21, 2011

To sue a union that is an unincorporated association, the complaint must allege that each member of the union authorized or ratified the conduct giving rise to the alleged misconduct

To sue a union that is an unincorporated association, the complaint must allege that each member of the union authorized or ratified the conduct giving rise to the alleged misconduct
Lahendro v New York State United Teachers Assn.. 2011 NY Slip Op 07343, Appellate Division, Third Department

The Brushton-Moira Central School District served disciplinary charges against a longtime tenured educator, Michael F. Lahendro, seeking his termination. Contending that the allegations set out in the charges were false, Lahendro met with an attorney and a labor relations specialist from New York State United Teachers Association and executed a demand for a disciplinary hearing in accordance with Education Law §3020-a [2][c].

NYSUT’s representatives assumed responsibility to file the demand with the district. but it was filed one day late and the district refused to accept it.

Lahendro did not seek permission to file a late demand but instead entered into a settlement agreement with the school district in which, among other things, he agreed to retire. Lahendro and his wife then commenced a lawsuit against NYSUT alleging it had breached its the duty of fair representation and negligence [Lahendro I].

NYSUT filed a motion to dismiss the action, which was denied by Supreme Court and it appealed the lower court’s ruling.

The Appellate Division first considered NYSUT’s argument that Lahendro failed to properly plead a breach of the duty of fair representation because where, as here, the union is an unincorporated association, the complaint must allege that each member of the union authorized or ratified the conduct giving rise to the breach.

Noting that the Court of Appeals held in Martin v Curran, 303 NY 276, that a voluntary unincorporated association "has no existence independent of its members" and that "for better or worse, wisely or otherwise, the Legislature has limited . . . suits against association officers, whether for breaches of agreements or for tortious wrongs, to cases where the individual liability of every single member can be alleged and proven" it vacated the lower courts ruling.

Although certain exceptions have been carved out from this general rule, the court said that one commentator has observed that, “although a claim of breach of the duty of fair representation may be brought either in court or before an appropriate agency (such as the Public Employment Relations Board), the reality in light of Martin is that most such claims must be brought before an agency to survive early dismissal, citing Rubenstein, Union Immunity From Suit in New York, 2 NYU Journal of Law & Business 641.

Finding that the Lahendros had alleged NYSUT and the Brushton-Moira Teachers Association were unincorporated associations but had not alleged, and acknowledged that they could prove, that all of the individual members of these defendants authorized or ratified the complained of conduct, the Appellate Division ruled that NYSUT motion to dismiss should have been granted.

As to the Lahendro’s second cause of action, the Court held that they have "no cause of action against [Lahendro's] union . . . for negligence arising out of the performance of duties assumed under the collective bargaining agreement; [their] sole remedy is an action for breach of fair representation" and this cause of action cannot survive NYSUT’s  motion to dismiss.

NYSUT had also filed a motion in Supreme Court to reargue its rejected motion to dismiss which was granted by the lower court. The Lahendros appealed that ruling [Lahendro II] and the Appellate Division, in a separate action [see 2011 NY Slip Op 07345], held that "individual defendants cannot be held liable for acts committed in their capacity as union representatives," citing Duane Reade, Inc. v Local 333 Retail, Wholesale, Department Store Union, 17 AD3d 277. It sustained the Supreme Court’s dismissal of the action against those defendants in their individual capacity and dismissed the Lahendros’ appeal.

Alleged malpractice was peripherally addressed in Lahendro II in that the court cited Mamorella v Derkasch, 276 AD2d 152. In Mamorella the Appellate Division considered a claim that a union provided attorney was guilty of malpractice.

Lucille Mamorella asked the Appellate Division  "to reject as against public policy the well-established rule that an attorney who performs services for and on behalf of a union may not be held liable in malpractice to individual union members where the services at issue constitute a part of the collective bargaining process."

The Appellate Division "declined to do so." The court said that "sound policy reasons as well as established precedent compel the conclusion that attorneys who perform services for and on behalf of a union may not be held liable in malpractice to individual grievants where the services the attorneys perform constitute a part of the collective bargaining process." The court cited Peterson v Kennedy, 771 F2d 1244, in support of its ruling.

A different standard, however, is applied in situations where the alleged malpractice action is brought by an individual against his or her personal “private attorney” rather than a "union provided attorney” as demonstrated in Tinelli v Redl, 199 F.3d 603; Affd. 121 S.Ct. 47.

Joseph Tinelli was served with disciplinary charges pursuant to Section 75 of the Civil Service Law. He retained an attorney, Frank Redl, to represent him in the matter. Following a two-day hearing, the hearing officer found Tinelli guilty of three charges of "misconduct and incompetence." The appointing authority adopted the findings of the hearing officer and imposed the recommended penalty: termination.

Tinelli appealed. According to the decision, Redl failed to take any "further action ... after the initial filing of the petition for Tinelli's appeal" in New York State Supreme Court. As a result, six months later Tinelli's "appeal expired." Tinelli sued Redl, contending that the attorney's (1) failure to perfect the Article 78 appeal and (2) his failure to ask the court for an extension of time to perfect the appeal, constituted malpractice.

The U.S. Circuit Court of Appeals decided that whether or not Redl's handling the appeal constituted malpractice depended on whether or not Tinelli's appeal would have been successful. In other words, if Tinelli would not have won the appeal regardless of the action or inaction of his attorney, there was no basis for holding the attorney liable for malpractice.

After reviewing the record, the circuit court said that "Tinelli's appeal would not have succeeded because the hearing officer's findings of misconduct and incompetence were supported by substantial evidence and because there was no abuse of discretion in recommending Tinelli's termination under the circumstances." The court dismissed Tinelli's claim, holding that his attorney could not be held liable for malpractice because he failed to perfect the appeal since Tinelli would not have been able to overturn either the administrative disciplinary determination or the penalty imposed.

Laherndro I is posted on the Internet at:

Qualified immunity of public officials in litigation


Qualified immunity of public officials in litigation
Sonnleitner v York, et al, 304 F.3d 704

Sometimes public officials are named as respondents in a lawsuit. The Sonnleitner case considers a qualified immunity defense available to such officials in connection with their being sued in either an official capacity, or in a personal capacity, or both.

Harold Sonnleitner served as a supervising nurse at the Winnebago Mental Health Institute, a state-run psychiatric facility in Wisconsin. Sonnleitner was charged with a number of work rule infractions. A predisciplinary hearing was held. Shortly thereafter Sonnleitner was demoted to a non-supervisory position.

Sonnleitner appealed to the Wisconsin Personnel Commission. The Commission determined that there was only evidence to support one work rule violation and that a five-day suspension without pay was the appropriate discipline.

The Institute implemented the five-day suspension without pay but did not reinstate Sonnleitner to his former supervisory position. Sonnleitner commenced an action in State Court in Wisconsin (1) to enforce the Commission's ruling and (2) for damages pursuant to 42 USC 1983, alleging the violation of his procedural due process rights under the Fourteenth Amendment. The State had the lawsuit transferred to federal court.

When the federal district court granted the State's motion for summary judgment, Sonnleitner appealed.

One of the issues addressed by the Circuit Court of Appeals was the defense of "qualified immunity" raised by the individually named defendants, Stanley York and the other administrators, with respect to their being sued in their "personal capacity."

The court said that there were two tests that had to be met to determine whether or not the individual was entitled to claim qualified immunity with respect to being sued in a personal capacity.

The first test: did the official violate the individual's right to administrative due process.

The second test: did the plaintiff individual clearly establish his or her right to due process at the time of the alleged violation.

As Sonnleitner could not satisfy his burden of establishing the existence of any clearly established constitutional right to due process -- Sonnleitner conceded that he had not satisfied the procedural requirement to maintain his action in State Court -- the Circuit Court concluded that the individually named State defendants were entitled to qualified immunity with respect to their being sued in a personal capacity.

A second immunity issue presented for review by the Circuit Court: Could Sonnleitner maintain his lawsuit against the individually named defendants in their official capacity in order to obtain a federal court order to compel his reinstatement to his former supervisory position?

The court said that the Eleventh Amendment provides that:

The Judicial power of the United States shall not be construed to extend to any suit in law or equity, commenced or prosecuted against one of the United States by Citizens of another State, or by Citizens of any Foreign State.

This means, said the Circuit Court, the Eleventh Amendment generally bars federal courts from taking jurisdiction over lawsuits against state officials acting in their official capacities when the state is the real party at interest.

The decision notes that there are three specific exceptions to a state's Eleventh Amendment immunity to lawsuits in federal court:

1. When Congress has abrogated the state's immunity from suit through an unequivocal expression of its intent to do so through a valid exercise of its legislative power;

2. When a state "has properly waived its immunity and consented to suit in federal court"; and

3. When the plaintiff "seek[s] prospective equitable relief for ongoing violations of federal law."

Sonnleitner's complaint, said the court, asserts that the defendants, in their official capacity, are "depriving him of his right to return to a position as supervisor."

Concluding that Sonnleitner failed to respond to the State's arguments concerning the first two exceptions to state immunity, the court said it had no basis to conclude that either Congress has abrogated Wisconsin's Eleventh Amendment immunity or that Wisconsin has authorized this lawsuit through an act of waiver or consent.*

Turning to the third exception to a state's Eleventh Amendment immunity, the court said that Sonnleitner's complaint and reply brief arguably made allegations that are at least consistent with meeting this test. However, the Circuit Court decided that the complaint did not allege an ongoing violation of federal law or sought any relief properly characterized as prospective.

In summary, the court concluded that Sonnleitner's Fourteenth Amendment right to procedural due process might have been violated when he was demoted to a staff level nursing position.

The Circuit Court said that the resolution of this question ultimately hinges on material facts that are not in the record. However, it ruled that a remand for a trial on the merits was unnecessary in this instance.

Why not remand the case back to the district court for a trial? Because, said the court, the individual defendants being sued in their official capacity are entitled to qualified immunity since Sonnleitner did not satisfy his burden of demonstrating the existence of a clearly established constitutional right to a pre-demotion hearing with respect to all of the relevant charges.

Further, the court ruled that Sonnleitner's official capacity claims also failed because he did not alleged any ongoing violation of federal law.

The decision also reports that Institute officials rejected Sonnleitner's request to become a Unit Director, "reasoning that his pre-demotion position of Nurse Manager no longer existed and that it had no obligation to place him in another position." It said that it would be "full compliance with the Commission order by permitting Sonnleitner to remain in his current position at the Institute, where he was actually paid more money than in his former job." Sonnleitner had shielded himself from the adverse economic effect of his demotion by requesting a transfer to the night shift, where he earned a pay premium.

* The court said it "flatly" refused to undertake its own examination of Wisconsin and federal law to see if such a basis exists as it is not the court's responsibility to research and construct the parties' arguments.


Public accountability exception to the FLSA for “ghost employment”


Public accountability exception to the FLSA for “ghost employment”
Demos v City of Indianapolis, CA7, 302 F3d 698.

Alan L. Demos, an administrative employee, and Ronald Graham, a city executive, sued the City of Indianapolis claiming they were denied overtime pay and vacation time credits to which they alleged they were entitled under the Fair Labor Standards Act, 29 USC 201-219.

Demos and Graham contended that because the City's policy required that their pay be docked if they failed to work an eight-hour day, they were not salaried employees within the meaning of the Act. The district court rejected their argument, and the Circuit Court, Seventh Circuit, affirmed the lower court's ruling.

The reason given by the Circuit Court for holding that both Demos and Graham were not entitled to overtime compensation under the FLSA: they were excluded from the Act's coverage under to the Department of Labor's public accountability exception to its no docking of pay rule.

Persons who are employed "in a bona fide executive, administrative, or professional capacity" are exempt from the Act's overtime provisions. However, Department of Labor rules provided that if an employee's salary is docked for partial day absences, it is presumed that the employee is not paid on a salary basis and thus covered by FLSA.

Because some public jurisdictions are required by law to make payroll deductions in the event the individual is absent from work without charge to leave credits, the Department of Labor developed a regulation -- referred to as the public-accountability rule -- allowing government employers to dock an executive, administrative or professional employees salary if the docking is pursuant to a "system of public accountability." The regulations provides that:

An employee of a public agency . . . shall not be disqualified from exemption . . . on the basis that such employee is paid according to a pay system established by statute, ordinance, or regulation, or by a policy or practice established pursuant to principles of public accountability, under which the employee accrues personal leave and sick leave and which requires the public agency employee's pay to be reduced or such employee to be placed on leave without pay for absences for personal reasons or because of illness for not less than one workday when accrued leave is not used by an employee because accrued leave has been exhausted; or the employee chooses to use leave without pay.

Here the City cited Indiana's "Ghost Employment Statute,"* contending that the statute makes it publicly accountable for preventing non-working employees who do not request, or who are denied, leave time from receiving compensation.

In addition, the City argued that its Code of Ethics prevents it from paying employees for not working during a regularly scheduled workday, which, said the court, "is evidence of its public accountability."


* Indiana Code 35-44-2-4 provides that "a person employed by a governmental entity who, knowing that he has not been assigned any duties to perform for the entity, accepts property from the entity commits ghost employment, a Class D felony."

Sexual harassment and discrimination


Sexual harassment and discrimination
Robertson v Nassau County, NYS Supreme Court, Justice Lally [Not selected for publication in the Official Reports]

An individual alleges that he or she was the victim of unlawful discrimination at work. The Robertson decision sets out the basic requirements that the employee must satisfy in order to successfully sue an employer for alleged sex discrimination or harassment.

Citing the Court of Appeals' ruling in Totem Taxi v State Human Rights Appeal Board, 65 NY2d 300, Justice Lally said that although Section 296 of the Executive Law provides that it is an unlawful discriminatory practice for an employer, because of the sex of any individual, to discriminate against such individual in compensation or in terms, conditions or privileges of employment, the "employer cannot be held liable for an employee's discriminatory acts unless the employer becomes a party to it by encouraging, condoning, or approving it".

Robertson, a Nassau County Civilian Communications Operator was relived of her radio dispatch duties. She then complained that such action constituted discrimination against her solely because of her gender and that she has been forced to work in a hostile work environment where she has suffered sexual harassment.

As examples of employer discrimination and harassment because of her gender, Robertson alleged that she had been:

1. Falsely accused of incompetence;

2. Improperly charged with lacking required certifications;

3. Given assignments in contravention of her seniority;

4. Denied training and overtime opportunities;

5. Verbally abused by her superior, Sergeant O'Shea;

6. Subjected to surveillance during her breaks;

7. Had her work station relocated against her wishes; and

8. Had not been allowed to have coffee at her workstation.

Nassau asked the court to dismiss Robertson's complaint, contending that there was no evidence any of the events described by Robertson "had anything to do with [her] gender" nor was there any evidence indicating any hostile work environment or sexual harassment.

Justice Lally pointed out that in order to establish a claim of gender-based discrimination, Robertson had to show that she was discriminated against with regard to compensation, terms, conditions or privileges of employment based upon her gender under circumstances that give rise to an inference of unlawful discrimination. Here, however, the court said that "[t]here is no evidence to support [Robertson's] complaint that she was mistreated on account of her gender."

Further, Justice Lally commented that even assuming that Robertson's allegations were sufficient to establish a prima facie case of gender bias, Nassau County had set out a valid reason for relieving Robertson of her radio dispatch duties.

According to the ruling, the County's action was justified because Robertson had withheld important information from supervisors "by both personally judging its importance and because she viewed some of her supervisors as inexperienced and not worthy of being kept informed."
Further, said the court, although Robertson complained that she was discriminated against because of her gender "in that she was monitored, watched, followed and yelled at" by Sergeant O'Shea, she failed to show that his conduct towards her was related to her gender.

Justice Lilly noted that "Sergeant O'Shea monitored all operators' calls and that, as a supervisor, it was his responsibility to do so." As to Robertson's complaint that she was prevented from having food and/or drink at her workstation, the Court said that this reflected Police Department policy rather than a limitation uniquely applied to her. Commenting on Robertson's sexually hostile work environment claim, the court said that to survive summary judgment, Robertson had to show that:

1. She is a member of a protected class;

2. The conduct or words upon which her claim of sexual harassment is predicated were unwelcome;

3. The conduct or words were promoted simply because of her gender;

4. The conduct or words created a hostile work environment which affected term, condition or privilege of her employment; and

5. Nassau County is vicariously liable for such conduct because it condoned such conduct by its supervisory employees.

Again, said the court, Robertson failed to meet this burden, concluding that "[t]here is no evidence at all that the alleged mistreatment [of Robertson] by Sergeant O'Shea, even if characterized as hostile, was prompted by [Robertson's] sex and therefore, the conduct cannot be characterized as discriminatory under the law."

Lawyers and blogging

Lawyers and blogging
Source: Washington Post

Attorneys and law firms that maintain blogs might find the article by Catherine Ho published in The Washington Post on October 9, 2011, of interest. Ms.Ho's lead sentence: “Virginia lawyers who blog about their cases, beware: the state bar may come after you for inappropriate advertising.”.

The item is posted on the Internet at:


Oct 20, 2011

Why the Law Is So Perverse by Professor Leo Katz -- a NYPPL book review

Why the Law Is So Perverse by Professor Leo Katz -- a NYPPL book review
Published by the Chicago University Press - http://press.uchicago.edu/ucp/books/book/chicago/W/bo11518130.html

From time to time a ruling is handed down by a judicial or a quasi-judicial panel that may be characterized as a decision in search of an opinion because of the diverse views expressed by the judges explaining their rationale for their conclusions. Indeed, it may be necessary to create a Venn diagram -- a schematic diagram used in logic theory to depict collections of sets and represent their relationships -- to understand what some might term the paradoxes in the decision.

In his most recent book, Why the Law Is So Perverse, Professor Leo Katz, Frank Carano Professor of Law at the University of Pennsylvania Law School, considers a variety of interesting approaches to determining “the law of the case” or perhaps more accurately, what are the elements in play that result in “the law of the case.”

The titles of a number of the book's chapters such as “Why Does the Law Spurn Win-Win Transactions?” and "Things We Can’t Consent To, Though No One Knows Why", illustrate the types of conundrums or paradoxes in the law that Professor Katz addresses. Other chapters discuss such issues as “Why Is the Law So Full of Loopholes?” and “Why Is the Law So Either/Or?”

Using examples involving a variety of areas of the law including criminal law, election law and property law, leavened by ethical and societal considerations, Professor Katz sets out intriguing examples of “what is” and suggests alternative views as to “what could be” or, possibly, “what should be.”

The first line in Professor Katz’s introduction to this work sets the tone when he states that There are ideas that are preposterous on their face, and yet one is hard pressed to say why. This book is about such ideas.

The following excerpt provides a taste of what the reader will encounter in exploring this volume:

The criminal code contains a long list of specific offenses (murder, theft, rape, etc.) as well as a separate list of defenses (self-defense, insanity, etc.). This kind of division into offenses and defenses is characteristic of most areas of law. Usually the prosecutor, or the plaintiff, has the burden of proving that the defendant is guilty of the offense, and it then falls to the defendant to show that he was acting in self-defense or out of insanity or whatever. Now, one might wonder why things are set up that way. One might for instance define murder not as it currently is, as an intentional killing, but as an intentional killing other than in self-defense or while insane. One might then require the prosecution to make the case not merely that the defendant killed intentionally but that he was not acting in self-defense and that he was sane.

Professor Katz explains: This, then, is the groove into which I will be stepping, the perspective from which I will be proceeding—legal doctrines thought of as instances of multicriterial decision making.

This concise work is thought provoking and provides the reader with insights that both the law professional and the interested layperson will find illuminating and, perhaps, trigger considering approaches to the legal issue at hand that an advocate could use in analyzing and then arguing, or defending, his or her position or rebutting his or her opponent's arguments.

In essence, Professor Katz challenges the reader to think about what is often accepted as “black letter law” and ask him or herself to identify the true issues and the ethical considerations involved and consider the existence of an alternative theory that demands evaluation. In other words, Professor Katz invites his readers to think outside the box.

Why the Law Is So Perverse, 250 pages, may be ordered from the University of Chicago Press, http://press.uchicago.edu/ucp/books/book/chicago/W/bo11518130.html and is available as a hard cover book or as an e-book.

Reviewed by Harvey Randall
Editor and General Counsel, NYPPL

Termination of an individual serving a disciplinary probationary period controlled by the terms of the stipulation providing for the disciplinary probation

Termination of an individual serving a disciplinary probationary period controlled by the terms of the stipulation providing for the disciplinary probation
Matter of Unified Court Sys. of the State of N.Y. v New York State Ct. Clerks Assoc., 2006 NY Slip Op 30641(U), [Not selected for publication in the Official Reports]

The issue before Judge Lippmann: may a union bring a contract grievance over the alleged breach of a stipulation setting a disciplinary action entered into by the parties after negotiations based on the union's collective bargaining agreement as distinguished from an alleged breach of the collective bargaining agreement itself is to be made by this court or by the arbitrator.

The stipulation provided for a disciplinary probation and thus the employee could be terminated without a hearing or any of the other procedural safeguards afforded by Article 24 of his collective bargaining agreement if he breached any of the limitations set out in the stipulation.

When the employee was summarily terminated without notice without specifying which of the several limitations he had breached, the union filed a contract grievance contending that the summary termination without notice "plainly breached both the spirit and the express terms of the stipulation,” claiming that the employee “had not violated the terms of the stipulation. The grievance was denied and the union demanded arbitration.

The Unified Court System filed an Article 75 petition seeking to stay arbitration, arguing that “under applicable law and court rules it had every right to fire [the employee], a probationary employee, as it did, and that the underlying grievance was not a contract dispute but rather a disciplinary matter affecting only one union member, whose only proper avenue of redress was to bring an Article 78 proceeding.”

Judge Lippmann said that it was well established that generally, "[absent a statute or rule to the contrary, a probationary employee may be discharged without a hearing and without a statement of reasons," provided there was no showing that the termination was for a constitutionally impermissible purpose, in bad faith, or in violation of law. [see Reynolds v. Crossou, 183 AD2d 48.]

However, said the court, although the dubbed a probationary employee, here the individual is not a probationer in this class nor subject to those legal tenets. Rather his status as a probationary employee stems solely from the stipulation, rather than from the normal course of the hiring process, thereby limiting the Court System's right to terminate him.

After exploring the several arguments made by the parties, Judge Lippmann denied the Unified Court System’s application for a stay of arbitration and granted the union’s cross-motion seeking arbitration as provided for in the collective bargaining agreement.

Significantly, UCS did not identify the reason or reasons leading to summarily terminate the individual. Judge Lippmann said that to the extent that the employee “could have brought an Article 78 proceeding challenging the factual determination “ underlying his termination, such an action was “an impossibility since … at no time was [the individual] formally notified of the reason for his termination.

The seminal case addressing disciplinary probation issue presented to Judge Lippmann is Taylor v Cass, 122 A.D.2d 885, 505 NYS2d 929. Taylor, a Suffolk County employee, won reinstatement with full retroactive salary and contract benefits after the court found that he was improperly dismissed while serving a disciplinary probation.

The terms of his probation provided that Taylor could be terminated without any hearing if, in the opinion of his superior, his job performance was “adversely affected” by his “intoxication on the job” during the next six months.

Taylor, however, was subsequently summarily terminated without a hearing for “failing to give a fair day’s work” and “sleeping during scheduled working hours.”

The Appellate Division said the dismissal was improper because Taylor was not terminated for the sole reason specified in the earlier settlement: -- intoxication on the job.

Designation of employees as managerial


Designation of employees as managerial
PEF and State of New York, 35 PERB 4047

PERB's Director of Public Employment Practices and Representation Monte Klien ruled that incumbent of the position must participate in the policy making process on a regular basis in contrast to merely serving as a high level supervisor in order for the individual to be designated managerial.*

The Public Employees Federation [PEF] objected to having the incumbent of the position of Forester 4 in the State Department of Environmental Conservation designated managerial and thereby excluded from the State's Professional, Scientific and Technical Unit represented by PEF.

Although the incumbent, Bruce Williamson, performed high-level supervisor duties and made recommendations that were used in formulating policy, this was not found sufficient to justify designating him managerial within the meaning of the Taylor Law. Kline pointed out that PERB has consistently followed the Legislature's caution that "employees be excluded from bargaining units only upon a very clear exercise of managerial responsibilities" and it is the employer's burden to present evidence "which compels such exclusion."

Kline said that "[w]hile an employee need not be the ultimate decision maker to be designated a policy formulator, the employee must participate with regularity in the process by which policy making decisions are made." The Department of Environmental Conservation was unable to demonstrate this factor to Kline's satisfaction and he ruled that the Forester 4 position encumbered by Williamson should be included in the unit represented by PEF.

* Although there it a tendency to refer to “managerial” or “confidential” positions, it is the incumbent of the position, rather than the position itself, that is designated “managerial” or “confidential”. For example, Section 201.7(a) of the Civil Service Law provides, in pertinent part, as follows: “Employees may be designated as managerial only if they are persons ... who ….” See, also, paragraphs (e), (f) and (g) of §201.7 that also define “managerial” in terms of incumbents of certain positions in contrast to designating the positions themselves as “managerial.”

Creating a negotiating unit


Creating a negotiating unit
Teamsters Local 264 and Town of Cheektowaga, 35 PERB 4020

In considering the petition filed by Local 264 seeking represent a proposed collective bargaining unit consisting of part-time court officers employed by the Town of Cheektowaga, PERB Administrative Law Judge [ALJ] Lynn Fitzgerald ruled that the part-time court officers should be included in the bargaining unit represented by the Cheektowaga Employees Association [CEA].

Local 264 had argued that the eight part-time court officers did not share "a community of interest" with the employees in the unit represented by CEA. It contended that “because CEA has no part-time employees, there is an inherent conflict between court officers and CEA employees, who are all full-time employees with benefits," and the part-time court officers who do not receive such benefits.

The ALJ said that PERB "has long held that, in the creation of bargaining units, it is not sufficient that the petitioned for unit is appropriate; instead, the question is whether the unit is the `most appropriate,' and, further, whether it provides for the creation of the largest possible unit which permits for effective negotiations."

What is the "most appropriate" unit? Citing Hewlett-Woodmere Union Free School District, 24 PERB 4043, Judge Fitzgerald said that:

It is well settled that the "most appropriate unit" is the largest one permitting for effective and meaningful negotiations; only diverse employee interests, either actual or potential, warrant the establishment of smaller units.

Significantly, the ALJ noted that the court officers' duties did not entail their being engaged in any law enforcement responsibilities that might otherwise justify their placement in a separate or different negotiating unit.

In County of Erie and Eric County Sheriff, 29 PERB 3031, PERB held that there is a unique community of interest among law enforcement personnel who are engaged in the full range of law enforcement activities such as the prevention and detection of crime and the enforcement of the general criminal law of the State.

Workfare with a public agency not public employment


Workfare with a public agency not public employment
McGhee v City of New York, NYS Supreme Court, Ia Part 5, Justice Stallman, 2002 N.Y. Slip Op. 50332(U), [Not selected for publication in the Official Reports]

According to the ruling by Justice Stallman in the McGhee case, individuals receiving public welfare benefits while working for the City of New York under a Work Experience Program [Workfare] are not employees for the purposes of bringing a lawsuit under the State's Human Rights Law.

McGhee alleged that she had been sexually harassed during a Workfare assignment. The City, contending that Workfare participants are not employees, moved to dismiss McGhee's complaint.*

Justice Stallman dismissed McGhee's complaint. The court decided that under the facts of this case, McGhee's Workfare participation did not create any employment relationship between the participants and the City.

The court noted that "in a different context," the Court of Appeals concluded that Workfare participants were not "employees," citing Brukhman v Giuliani, 94 NY2d 387.

In Brukhman, the Court of Appeals ruled that the prevailing wage provision of the State Constitution -- Article I, Section 17 -- does not apply to Workfare participants because participation in the Workfare program is the statutory "condition of continued receipt of public assistance grants."

Section 330.5 of the Social Services Law specifically list certain limited circumstances under which Workfare participants are deemed "public employees" and categories of "work activities" under which public assistance recipients are to be given the benefits and protections of similarly-situated employees. None applied to McGhee.

However, McGhee did have a possible remedy available to her. Justice Stallman pointed out that she "could have filed a grievance concerning the alleged sexual harassment with the New York City Human Resources Administration, the local service district under the Social Services Law" and if dissatisfied with its ruling, she could have "appealed to the State for a fair hearing."

* A federal court had previously dismissed McGhee's Title VII harassment claim after finding that she was not an employee within the meaning of the Personal Responsibility and Work Opportunity Reconciliation Act. This Act mandated adoption of "Workfare" programs by public entities.

NYPPL Publisher Harvey Randall served as Principal Attorney, New York State Department of Civil Service; Director of Personnel, SUNY Central Administration; Director of Research, Governor’s Office of Employee Relations; and Staff Judge Advocate General, New York Guard. Consistent with the Declaration of Principles jointly adopted by a Committee of the American Bar Association and a Committee of Publishers and Associations, the material posted to this blog is presented with the understanding that neither the publisher nor NYPPL and, or, its staff and contributors are providing legal advice to the reader and in the event legal or other expert assistance is needed, the reader is urged to seek such advice from a knowledgeable professional.

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