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

October 01, 2018

Setting the number of justices on the United States Supreme Court and judges on the New York State Court of Appeals


Setting the number of justices on the United States Supreme Court and judges on the New York State Court of Appeals
Response to an inquiry from a NYPPL reader

The short answer to your question concerning determining the number of justices on the United States Supreme Court is the number of justices is set by Act of Congress as the Constitution of the United States does not provide for the number of justices sitting on the Court.

§1 of the Judiciary Act of 1789 provided that "That the supreme court of the United States shall consist of a chief justice and five associate justices, any four of whom shall be a quorum", i.e., six justices. 

From time to time the number of justices on the Supreme Court has been modified by Acts of Congress to reflect the growth of the United States and the increasing number of judicial circuits. 

For example, the "Seventh Circuit Act of 1807" statutorily increased the size of the Court from six Justices to seven. 

Subsequently the number of justices was increased to 9 in 1837 and then to 10 in 1863. In 1869, however, the Circuit Judges Act set the number of justices of the Supreme Court back to 9, and it has since remained 9 notwithstanding former President Franklin D. Roosevelt's attempt to increase the number of justices to "not to exceed 15."

In contrast, §2 of Article VI - Judiciary - of the Constitution of the State of New York, in pertinent part, provides:

a. The court of appeals is continued. It shall consist of the chief judge and the six elected associate judges now in office, who shall hold their offices until the expiration of their respective terms, and their successors, and such justices of the supreme court as may be designated for service in said court as hereinafter provided. The official terms of the chief judge and the six associate judges shall be fourteen years.

Five members of the court shall constitute a quorum, and the concurrence of four shall be necessary to a decision; but no more than seven judges shall sit in any case. In case of the temporary absence or inability to act of any judge of the court of appeals, the court may designate any justice of the supreme court to serve as associate judge of the court during such absence or inability to act. The court shall have power to appoint and to remove its clerk. The powers and jurisdiction of the court shall not be suspended for want of appointment when the number of judges is sufficient to constitute a quorum.

b. Whenever and as often as the court of appeals shall certify to the governor that the court is unable, by reason of the accumulation of causes pending therein, to hear and dispose of the same with reasonable speed, the governor shall designate such number of justices of the supreme court as may be so certified to be necessary, but not more than four, to serve as associate judges of the court of appeals.

Seeking interim relief in the course of a disciplinary action brought pursuant to §3020-a of the Education Law


Seeking interim relief in the course of a disciplinary action brought pursuant to §3020-a of the Education Law
Appeal of Educator, Decisions of the Commission of Education, Decision #17,507

Educator,* a tenured teacher, was suspended by the School Superintendent pending the service of disciplinary charges pursuant to Education Law §3020-a, requested that the Commissioner of Education grant Educator interim relief  in the form of “an immediate stay of [Educator's] suspension” permitting [Educator] to return to teaching.

Educator contended that following the suspension by the Superintendent the appointing authority, the school board [Board], failed to initiate charges at its next regular Board meeting thus violating Educator's tenure rights.  Educator also denied being involved in any in improper conduct and that any potential §3020-a charges would be without merit. Finally Educator asked the Commissioner to direct the Board  to expunge of any mention of the suspension from Educator's personnel file.

The Board asked that Educator's petition be dismissed as, indicating that:

1. It had voted to initiate charges against Educator pursuant to Education Law §3020-a and the Board's attorney had submitted an affidavit asserting that Educator "will be reassigned to duties ... during the pendency of the §3020-a proceeding;" 

2. Educator's personnel record contains no reference to the challenged suspension that could be expunged; and

3. The suspension of Educator by the Superintendent was appropriate because a  reasonable time between suspension and the filing of §3020-a disciplinary charges "is allowed."

Addressing the Educator's seeking the "expungement of the Superintendent’s suspension" from Educator's  personnel record, the Commissioner said such appeal must be dismissed as moot as the Commissioner will only decide matters in actual controversy and will not render a decision on a state of facts which no longer exist or which subsequent events have laid to rest.

The Commissioner noted that with respect to Educator's request for interim relief seeking expungement of any mention of the suspension from the date on which it commenced "until the present," the appointing authority answer indicated that no letter, memorandum or other written document referencing Educator's suspension was prepared and placed in Educator's personnel file, which assertions were set out in the Board's verified answer and its attorney’s affirmation. The Commissioner declined to issue an order based on speculation that such a record might exist. 

Considering the alleged suspension of Educator, the Commissioner noted that in a reply affirmation, Educator's attorney acknowledged that the Board has the authority to suspend a tenured teacher such as [Educator] once it has filed §3020-a charges, but claimed that when the Board filed the disciplinary charges against Educator it took no action to suspend Educator and that Educator's continued suspension remained pursuant to actions taken by the Superintendent and thus was "illegal."** 

The Commissioner, citing Education Law §1711(2)(e), commented that the superintendent has statutory authority "to suspend ... [a] teacher or other employee until the next regular meeting of such board, when all facts relating to the case shall be submitted to such board for its consideration and action." Accordingly, said the Commissioner, "A suspension by a superintendent that extends beyond the next regular meeting of the board of education would be ultra vires."***

However, although the reply affirmation alleges that appointing authority did not take action to suspend Educator, Educator had not provided any evidence to corroborate that allegation.  The Commissioner said that she could not determine whether the appointing authority had taken any action on another date to suspend Educator with pay until a final resolution of the §3020-a proceeding.
 
Declining to order Educator's reinstatement "under these circumstances," the Commissioner observed that should Educator wish to continue to challenge the suspension, Educator's  recourse is to bring another appeal in an appropriate forum in which both parties would have a full and fair opportunity to address the legality of the suspension of the Educator after §3020-a charges were served upon him or her.

The Commissioner also explained that to the extent Educator seeks to challenge the merits of the suspension linked to a pending §3020-a proceeding, Educator's  claims must be dismissed for lack of subject matter jurisdiction.  The Commissioner explained that Education Law §3020-a, as amended by Chapter 691 of the Laws of 1994, divested the Commissioner of jurisdiction to review §3020-a determinations of hearing officers, both final and non-final, implying that the issue of whether Educator was lawfully suspended by the Board was a matter for the §3020-a hearing officer[s] to determine .

For these reasons the Commissioner ruled that Educator's appeal to the Commissioner must be dismissed.

* As this disciplinary action pursuant to Education Law §3020-a is currently pending and it has not be determined whether any eventual hearing will be public or private, the individual upon whom the disciplinary charges were filed is herein identified as “Educator” to preserve his or her confidentiality.

** Addressing a procedural issue, the Commissioner’s regulations do not contemplate submission of a reply affidavit or affirmation in lieu of a reply, as Educator has done in this proceeding. However the Commissioner said that she "nevertheless accepted it for consideration in this appeal, noting that the reply affidavit is in the nature of a reply, as it responded to the appointing authority's affirmative defenses.

*** An action in excess of the authority or power possessed by an entity or an official or officer of that entity.

The decision is posted on the Internet at:


September 28, 2018

Audits and reports were issued by New York State Comptroller Thomas P. DiNapoli during the week ending September 28, 2018

Audits and reports were issued by New York StateComptroller Thomas P. DiNapoli during the week ending September 28, 2018
Source: Office of the State Comptroller

Click on text highlighted in color to access the full report
 
City University of New York (CUNY): Controls Over CUNY Fully Integrated Resources and Services Tool (Follow-Up) (2018-F-4)
An initial audit released in September 2016 found that CUNY’s processes and controls did not adequately ensure that users had access only to functions that were necessary to meet their needs. In a follow-up, auditors found CUNY officials have made progress in addressing the issues identified in the initial report. Of the nine prior audit recommendations, one was implemented, six were partially implemented, and two were not implemented.

Department of Labor (DOL): Examination of Unemployment Insurance Willful Overpayments (2016-BSE1-02)
DOL did not consistently assess penalties in accordance with law and/or DOL procedures resulting in the failure to assess up to $311,775 in penalties—more than 10 percent of the penalty amount examined. This includes up to 1,679 penalties valued at $307,753 that were not assessed at all and up to 71 penalties valued at $4,022 that were under-assessed by DOL.

State Education Department: Programs for Little Learners (PFLL): Compliance With the Reimbursable Cost Manual (2017-S-87)
For the three fiscal years ended June 30, 2015, auditors identified $66,597 in ineligible costs that PFLL reported for state reimbursement, including $58,481 in personal service costs and $8,116 in other than personal service costs.

Department of Health (DOH) and the Office of Temporary and Disability Assistance (OTDA): Oversight of Hotels and Motels Used for Homeless Mixed-Use Temporary Residency (Follow-Up) (2018-F-12)
An initial audit report released in June 2017 concluded that, of the 80 hotels and motels auditors visited, 24 (30 percent) were in generally unsatisfactory condition, exhibiting problems such as mold; water damage; structural damage; and fire safety issues, such as exposed wiring and missing smoke detectors. Further, OTDA had not provided local Social Services Districts (SSDs) with sufficient guidance about corrective action plans to address unsatisfactory conditions. In a follow-up, auditors found that OTDA and DOH have implemented the joint recommendation contained in the original audit report, while OTDA has implemented two of its three recommendations.

Department of Health: Examination of Island Peer Review Organization (IPRO) (2018-BSE03-01)
DOH entered into a $79 million contract with IPRO to provide services related to Medicaid activities.  This contract and its amendments were not subject to approval by the Comptroller’s Office. IPRO entered into subcontractor agreements with five firms to help perform the services. Auditors found DOH approved payments to IPRO for subcontractor expenses that were not allowable under the contract. As a result of the audit, DOH prevented or recovered more than $133,000 in unallowable expenses. DOH has since strengthened their review of similar contract payments.

Department of Health (DOH): Medicaid Payments to Medicare Advantage Plan Providers (2016-S-54)
Auditors reviewed selected Medicare Advantage plan contracts offered by Fidelis and WellCare and, based on judgmental sampling, determined certain providers reported inflated Medicare Part C cost-sharing liabilities on 7,072 Medicaid claims resulting in overpayments of $770,935. Auditors determined three of the providers were overpaid 58, 74, and 79 percent of the total Medicaid payments they received for claims in the review. Auditors analyzed the remaining Part C cost-sharing claims billed by these providers during the audit period and found – if the rate of overpayment is consistent with the initial review – Medicaid potentially overpaid an additional $562,356 to these providers.

Find out how your government money is spent at Open Book New York. Track municipal spending, the state's 150,000 contracts, billions in state payments and public authority data. 
 


September 27, 2018

The availability of General Municipal Law §50-e(1)(b) rights to "defense and indemnification" to a municipal employees in an action brought in federal court


The availability of General Municipal Law §50-e(1)(b) rights to "defense and indemnification" to a municipal employees in an action brought in federal court
Richard Hardy  v Daley et. al., [New York City police officers in their personal rather than their official capacities], United States Court of Appeals, Second Circuit, C.V. 172906

The United States District Court, Southern District, dismissed Richard Hardy's amended complaint alleging sexual assault, intentional infliction of emotional distress, and failure to intervene federal civil rights claims with prejudice for failure to state a cause of action.

The Circuit Court sustained the district court's ruling with respect to the federal civil rights claims explaining that such a complaint must plead "enough facts to state a claim to relief that is plausible on its face ... and allow the court to draw the reasonable inference that the defendant is liable for the misconduct alleged."

Hardyʹs federal complaint, however, included New York State law claims, which the district court dismissed "failure to serve a timely notice of claim." The Circuit Court ruled that the district court had err in so doing.

Under New York law, explained the Circuit Court, service of a notice of claim is a condition precedent to tort actions against a municipal entity or its employees and these provision apply "to state law claims even when they are brought in federal court." In contrast, in actions commenced against a municipal employee but not against the employing municipal corporation,* the service of a notice of claim upon the corporation is "required only if the corporation has a statutory obligation to indemnify [the employee]" pursuant to §50-e(1)(b) of the General Municipal Law.

A municipality, however, is required to indemnify its employee only if his or her liability arose as the result of an act or omission constituting conduct "within the scope of his [or her] employment and in the discharge of his [or her] duties." Noting that Hardyʹs state law tort claims against defendants in their individual capacities are founded on alleged conduct that would be well beyond the scope of employment the Circuit Court explained that such allegations "would, by definition, have constituted 'intentional wrongdoing' [whereby] defendants would not have a right to indemnification by their public employer" otherwise available to such employees pursuant to §50-e(1)(b) of the General Municipal Law.

Accordingly, the Circuit Court found that Hardyʹs state law tort claims were not procedurally barred for failure to file a notice of claim and remanded the case is "for further proceedings consistent with this ruling."

* Service of the notice of claim upon an officer, appointee or employee of a public corporation shall not be a condition precedent to the commencement of an action or special proceeding against such person. If an action or special proceeding is commenced against such person, but not against the public corporation, service of the notice of claim upon the public corporation shall be required only if the corporation has a statutory obligation to indemnify such person under this chapter or any other provision of law. The defendants are New York City police officers being sued in their personal rather than their official capacities and the City of New York is not a defendant in this action.

The decision is posted on the Internet at:

September 26, 2018

Appealing summary judgment in favor of the employer in an action involving alleged a racially hostile work environment and retaliation claims


Appealing summary judgment in favor of the employer in an action involving alleged a racially hostile work environment and retaliation claims
Berrie v. Bd. of Educ. of the Port Chester-Rye Union Free Sch. Dist. et al., USCA, Second Circuit, 17-2045-cv

Gregory Tyrone Berrie, the Plaintiff in Action I, alleged that the Port Chester-Rye Union Free School District [Board] had subjected him to a racially hostile work environment and retaliated against him following his filing complaints pursuant to Title VII of the Civil Rights Act of 1964 (“Title VII”) and the New York State Human Rights Law (“NYSHRL”), and against all named defendants pursuant to 42 U.S.C. §§1981 and 1983.

Sustaining the district court's granting the employer's motion for summary judgment dismissing Berrie's action, the Circuit Court of Appeals indicated that, with respect to the issues presented to it on appeal, it would address them "only as necessary to explain [its] decision to affirm" the lower court's disposition of the matter. Among the issues address by the Circuit Court were the following:

1. Consideration to be given to hearsay statements in the record. Although certain statements are hearsay as presented in the record, the court observed that such evidence could be presented in admissible form as live testimony from the students. Thus, said the court, it "could consider them on summary judgment."

2. Failure to address certain references in the record. The court noted that there were references in the record concerning certain incidents that Berrie did not discuss in his briefing and the Circuit Court concluded that "it appears" they are not part of Berry's claims.

3. Hostile work environment claims. As to Berrie’s hostile work environment claims, the Circuit Court said that district court reasoned that Defendants’ conduct was not sufficiently severe or pervasive to constitute a hostile work environment. With respect to the Board, the district court concluded that the Board had met its burden to establish the Faragher/Ellerth affirmative defense.*

As to Berrie’s retaliation claims, the district court concluded that Berrie had shown no adverse employment action against him that was causally related to Berrie’s complaints of discrimination.

Reviewing the district court’s grant of summary judgment de novo, the Circuit Court said that it would “resolve all ambiguities and draw all permissible factual inferences in favor of the non-moving party, and will affirm summary judgment only if the moving party shows that there is no genuine dispute as to any material fact and the movant is entitled to judgment as a matter of law.” Further, the Circuit Court, citing Lyons v. Lancer Ins. Co., 681 F.3d 50, said “[t]he mere existence of a scintilla of evidence in support of the [non-movant’s] position will be insufficient” to defeat summary judgment."

With respect to Barry's "hostile work environment claims, the court explained:

a. “To establish a hostile work environment claim . . . a plaintiff must . . . show that the workplace is permeated with discriminatory intimidation, ridicule, and insult, that is sufficiently severe or pervasive to alter the conditions of the victim’s employment and create an abusive working environment” and such mistreatment must have occurred “because of [the] employee’s protected characteristic, such as race or national origin,” although the protected characteristic need not be “the only motivating factor.”

b. “A hostile environment claim must be evaluated on the basis of the cumulative effect of the abusive conduct” by examining the totality of the circumstances, including: the frequency of the discriminatory conduct; its severity; whether it is physically threatening or humiliating, or a mere offensive utterance; and whether it unreasonably interferes with the victim’s job performance.”

c. The hostile and abusive conduct alleged must be severe or pervasive both subjectively to the plaintiff and objectively to a “reasonable person.”

d. In considering the totality of the circumstances, there must be “some circumstantial or other basis for inferring that incidents [race-]neutral on their face were in fact discriminatory."

The Circuit Court found that "several of Berrie’s most substantial allegations are unsupported by the record evidence, or else not attributable to discriminatory animus."

Accordingly, the court held that summary judgment was warranted on Berrie’s hostile work environment claims.

With respect to Barry's retaliation claims, the Circuit Court said it evaluates retaliation claims under the burden-shifting framework articulated in McDonnell Douglas Corp. v. Green, 411 U.S. 792.

4. Unlawful retaliation claims. To establish a prima facie case of unlawful retaliation, “an employee must show that (1) he was engaged in protected activity; (2) the employer was aware of that activity; (3) the employee suffered a materially adverse action; and (4) there was a causal connection between the protected activity and that adverse action.”

A materially adverse action is one that “produces an injury or harm” in that it “well might have dissuaded a reasonable worker from making or supporting a charge of discrimination” and "retaliatory actions need not be a “materially adverse change in the terms and conditions of employment.”

In contrast, the court observed that “trivial harms—i.e., those petty slights or minor annoyances that often take place at work and that all employees experience—are not materially adverse.” Further, “[m]aterial adversity is to be determined objectively, based on the reactions of a reasonable employee.”

To establish causation, a plaintiff may rely on evidence “that the protected activity was followed closely by discriminatory treatment, or [use] other circumstantial evidence such as disparate treatment of fellow employees who engaged in similar conduct” and/or “evidence of retaliatory animus directed against the plaintiff by the defendant.” However, said the Circuit Court, "[t]emporal proximity alone is generally insufficient after about three months."

Accordingly, the Circuit Court, Berrie did not establish a prima facie case of retaliation, and summary judgment was warranted on Berrie’s retaliation claims.

5. Evidentiary ruling by the federal district court. With respect to Barry's objections to certain evidentiary rulings made by the lower court underlying its granting the Defendant's motion for summary judgment as constituting an "abuse of discretion" the Circuit explained that "[a] district court abuses its discretion when it bases its ruling on an erroneous view of the law or on a clearly erroneous assessment of the evidence, or renders a decision that cannot be located within the range of permissible decisions.”

Under the controlling local rule, Local Rule 56.1(c), a fact asserted in the moving party’s statement “will be deemed admitted unless controverted . . . by the opposing party.”

As the district court noted, Berrie had the opportunity "to take discovery and his counterstatement failed to impugn the motives and counter the testimony of witnesses whose testimony defeated his claims."

Accordingly, the Circuit Court ruled that the district court did not abuse its discretion in deeming admitted facts that Berrie failed to properly dispute.

* This defense takes its name from the two US Supreme Court decisions that created it: Faragher v. City of Boca Raton, 524 U.S. 775 (1998) and Burlington Industries, Inc. v. Ellerth, 524 U.S. 742 (1998). Typically Faragher-Ellerth has been relied upon by defendants in action involving claims of hostile work environment sexual harassment but has cited in defending against claims of hostile work environment harassment not alleged to constituted sexual harassment.

The decision is posted on the Internet at:

CAUTION

Subsequent court and administrative rulings, or changes to laws, rules and regulations may have modified or clarified or vacated or reversed the information and, or, decisions summarized in NYPPL. For example, New York State Department of Civil Service's Advisory Memorandum 24-08 reflects changes required as the result of certain amendments to §72 of the New York State Civil Service Law to take effect January 1, 2025 [See Chapter 306 of the Laws of 2024]. Advisory Memorandum 24-08 in PDF format is posted on the Internet at https://www.cs.ny.gov/ssd/pdf/AM24-08Combined.pdf. Accordingly, the information and case summaries should be Shepardized® or otherwise checked to make certain that the most recent information is being considered by the reader.
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NYPPL Blogger 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.
New York Public Personnel Law. Email: publications@nycap.rr.com