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Oct 18, 2010

Free Speech protections for public employees

Free Speech protections for public employeesFry v McCall, USDC SDNY, 945 F. Supp. 655

In the Fry case, a federal district court judge was asked to determine if a public official’s statements concerning matters alleged to be of “public concern” served as a shield against his or her removal from the position.

Patricia C. Fry sued State Comptroller Carl McCall complaining that she had been dismissed from her position as Director of the Bureau of Budget Analysis with the Office of the State Deputy Comptroller because she spoke out on a matter of public concern and that her discharge deprived her of her First Amendment right to free speech in violation of 42 USC. Section 1983.

Fry alleged that she had been terminated because she had questioned reports concerning a New York City “budget crisis” in 1993 and 1994 and that the Comptroller discharged her because she expressed skepticism about the accuracy or integrity of those reports.

The Comptroller, on the other hand, contended that Fry “had become insubordinate to her supervisor, disruptive at staff meetings, unwilling to cooperate in the preparation of the OSDC reports, and abusive toward a colleague.” In addition, the Comptroller argued that even if he had discharged Fry because of her statements, this “did not violate her First Amendment rights because the State’s interest in the effective and efficient operations of the [agency] outweighed any free speech rights [Fry] may have had.”

The court said that to win her Section 1983 claim for wrongful termination based on a First Amendment violation, Fry was required to prove by a preponderance of the evidence (a) that the speech at issue was constitutionally protected, and (b) that it was a “substantial” or “motivating” factor in the decision to terminate her employment. Judge Koeltl concluded that “Fry has failed to prove by a preponderance of the evidence that her expressions of concern [regarding the reports] were a ‘substantial’ or ‘motivating’ factor in the decision to dismiss her.”

The decision notes that there are a number of relevant factors to be considered in such cases, including [a] the time, manner, and place of the speech; [b] the extent of the disruption caused by the employee’s conduct; [c] the responsibilities of the employee and [d] whether the employee held a policymaking position....” Significantly, the court observed that “[a] high-ranking policy-making employee does not have, and never has had, a First Amendment right to refuse [her] employer’s directive to promote agency policy.”

In Vezzetti v. Pellearini, 22 F.3d 483, the Second Circuit Court of Appeals, which has jurisdiction over New York State, set out a number of guidelines for determining “policymaker status.” To resolve the issue, the courts should determine whether the individual:

(1) Is exempt from civil service protection,

(2) Has some technical competence or expertise,

(3) Controls others,

(4) Is authorized to speak in the name of the policymakers,

(5) Is perceived as a policymaker by the public,

(6) Influences government programs,

(7) Has contact with elected officials, and

(8) Is responsive to partisan politics and political leaders.

The court said that Fry satisfied all of these eight criteria with respect to the issue of her “policymaker” status. Under the Pickering balancing test [see Pickering v Board of Education, 391 U.S. 563], said the court, the Comptroller “justifiably terminated Ms. Fry, a policymaking employee whose behavior not only threatened to become disruptive, but had already become disruptive, in order to preserve the efficiency and effectiveness of the OSDC.”

Having found that Fry “failed to demonstrate that Comptroller McCall, or indeed any state employee, acting under color of state law, deprived her of her right to free speech in violation of the First Amendment”, dismissed her action on the merits and closed the case.
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Hearing officer may not the attorney of a party to draft findings of fact and determination to the attorney of a party in the proceeding

Hearing officer may not the attorney of a party to draft findings of fact and determination to the attorney of a party in the proceeding
LePore v McCall, 262 AD2d 919

This decision illustrates the fact that a hearing officer is responsible for making findings of fact and conclusions of law necessary to support his or her determination and recommendation. These tasks may not be delegated to another, much less to one of the parties involved in the action.

Anthony LePore, a Village of Nyack police officer, was involved in an automobile accident on May 11, 1989 while at work. Although he returned to duty in June 1989, his subsequent attendance at work was “sporadic,” due to his claim of pain and limited mobility. LePore ultimately stopped working on December 15, 1989.

In August 1994, LePore filed applications with New York State Policemens’ and Firemens’ Retirement System [PFRS] seeking accidental disability retirement benefits, or, in the alternative, performance of duty disability retirement benefits. PFRS “administratively” disapproved both of his applications in April 1995 and LePore filed a timely request for an administrative hearing and redetermination.

Hearings were held in May and August 1996 before a PFRS-appointed hearing officer. LePore’s medical experts testified that the injuries that he suffered from the automobile accident are permanent. PFRS’ medical expert testified that there were “no findings to state with any degree of medical certainty that [LePore’s] accident was the competent producing cause of his current condition.”

After hearing all of the testimony presented, the hearing officer issued his decision recommending that LePore’s applications be denied. He sent the decision to PFRS with a request that PFRS’s attorney draft “the findings of fact, conclusions of law and final determination.” The hearing officer did not send a copy of his decision or his request to LePore’s attorney.

PFRS’s attorney complied by preparing the findings of fact and conclusions of law as requested and returned the “decision” with the “findings and conclusions of law” to the hearing officer. The hearing officer signed and returned the decision to PFRS’s attorney on July 25, 1997 for review by the Comptroller. On August 29, 1997, copies of the hearing officer’s determination and the Comptroller’s decision rejecting LePore’s applications were sent to LePore’s attorney.

Complaining that the hearing officer’s action (a) denied him “due process” and (2) constituted a “clear and flagrant violation of State Administrative Procedure Act (SAPA) Section 307 (2), which prohibits ex parte communications [communication between the tribunal and only one of the parties to the proceeding], LePore appealed.

PFRS attempted to persuade the Appellate Division to affirm the Comptroller’s decision because “the hearing officer did not differ significantly from the final determination ultimately rendered by [the Comptroller].”

The Appellate Division rejected PRFS’s contentions, finding that “the procedure employed not only violated SAPA Section 307 (2) but also created such an appearance of impropriety and bias to warrant an annulment of the determination” . The court returned the decision to the Comptroller for a de novo determination [new decision] based on the record presented.

The lesson here is that although the entity that appointed the hearing officer may, based on the record, accept, reject or modify the hearing officer’s findings and recommendation, the findings and recommendation must be the actual “work product” of the hearing officer.
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Hearing officer, not the attorney of a party, may draft findings of fact and determinations in the proceeding

Hearing officer, not the attorney of a party, makes the findings of fact and determination in the proceeding
LePore v McCall, 262 AD2d 919

This decision illustrates the fact that a hearing officer is responsible for making findings of fact and conclusions of law necessary to support his or her determination and recommendation. These tasks may not be delegated to another, much less to one of the parties involved in the action.

Anthony LePore, a Village of Nyack police officer, was involved in an automobile accident on May 11, 1989 while at work. Although he returned to duty in June 1989, his subsequent attendance at work was “sporadic,” due to his claim of pain and limited mobility. LePore ultimately stopped working on December 15, 1989.

In August 1994, LePore filed applications with New York State Policemens’ and Firemens’ Retirement System [PFRS] seeking accidental disability retirement benefits, or, in the alternative, performance of duty disability retirement benefits. PFRS “administratively” disapproved both of his applications in April 1995 and LePore filed a timely request for an administrative hearing and redetermination.

Hearings were held in May and August 1996 before a PFRS-appointed hearing officer. LePore’s medical experts testified that the injuries that he suffered from the automobile accident are permanent. PFRS’ medical expert testified that there were “no findings to state with any degree of medical certainty that [LePore’s] accident was the competent producing cause of his current condition.”

After hearing all of the testimony presented, the hearing officer issued his decision recommending that LePore’s applications be denied. He sent the decision to PFRS with a request that PFRS’s attorney draft “the findings of fact, conclusions of law and final determination.” The hearing officer did not send a copy of his decision or his request to LePore’s attorney.

PFRS’s attorney complied by preparing the findings of fact and conclusions of law as requested and returned the “decision” with the “findings and conclusions of law” to the hearing officer. The hearing officer signed and returned the decision to PFRS’s attorney on July 25, 1997 for review by the Comptroller. On August 29, 1997, copies of the hearing officer’s determination and the Comptroller’s decision rejecting LePore’s applications were sent to LePore’s attorney.

Complaining that the hearing officer’s action (a) denied him “due process” and (2) constituted a “clear and flagrant violation of State Administrative Procedure Act (SAPA) Section 307 (2), which prohibits ex parte communications [communication between the tribunal and only one of the parties to the proceeding], LePore appealed.

PFRS attempted to persuade the Appellate Division to affirm the Comptroller’s decision because “the hearing officer did not differ significantly from the final determination ultimately rendered by [the Comptroller].”

The Appellate Division rejected PRFS’s contentions, finding that “the procedure employed not only violated SAPA Section 307 (2) but also created such an appearance of impropriety and bias to warrant an annulment of the determination” . The court returned the decision to the Comptroller for a de novo determination [new decision] based on the record presented.

The lesson here is that although the entity that appointed the hearing officer may, based on the record, accept, reject or modify the hearing officer’s findings and recommendation, the findings and recommendation must be the actual “work product” of the hearing officer.
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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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