School district audits release by the New York State Comptroller during the week ending November 6, 2020

On November 6, 2020 New York State Comptroller Thomas P. DiNapoli announced the following school district audits have been issued.

Click on the text in color to access the full report.

SusquehannaValley Central School District – Information Technology (Broome County)- School district officials did not establish adequate information technology (IT) controls to protect against unauthorized use, access and loss. District officials did not properly manage user accounts including periodically reviewing and disabling unneeded network user accounts. Auditors also determined district officials did not maintain accurate, complete and up-to-date hardware and software inventory. Officials did not ensure that computers were free from malicious software. In fact, two malicious software applications were installed on district computers. Sensitive IT control weaknesses were communicated confidentially to officials.

White Plains City School District – Financial Management (Westchester County) - The school board and district officials did not adopt realistic budgets or maintain reasonable levels of fund balance. However, reserves were generally funded at reasonable levels and within legal limits. The district’s fund balance over the past five years grew to $97.9 million, the equivalent of 43 percent of the district’s annual budget. Some appropriations were overestimated in previous budgets and continued to be overestimated. District officials made year-end transfers totaling about $29 million to reserves. The transfers were made to stay within the statutory surplus fund balance limit and resulted in a lack of transparency because the taxpayers were not informed of the amounts that would be added to the reserves during the fiscal year.

 

 

Penalty imposed following a disciplinary arbitration challenged

The petitioner [Teacher] in this action brought pursuant to CPLR Article 75 challenged the penalty imposed by the arbitrator - termination - following a disciplinary hearing. Supreme Court vacated the penalty portion of the disciplinary arbitration award and remanded the matter to the Board of Education [Board] for the imposition of a lesser penalty. The Board appealed the court's order.

The Appellate Division unanimously reversed the Supreme Court's ruling, on the law, reinstated the penalty imposed by the arbitrator and dismissed the Article 75 proceeding.

Citing Matter of Pell v Board of Educ. of Union Free School Dist. No. 1 of Towns of Scarsdale and Mamaroneck, Westchester County, 34 NY2d 222, and other decisions, the Appellate Division opined that it did not find the penalty of termination of Teacher's employment shocking to one's sense of fairness "given the evidence of [Teacher's] pedagogical shortcomings, documented by supervisors and a peer evaluator, and his lack of improvement during two school years."

In particular, the court noted Matter of Russo v New York City Dept. of Educ., 25 NY3d 946, cert. denied 577 US 957, in which the termination of an Educator was sustained after three years of unsatisfactory performance ratings "notwithstanding [the educator's] 18 years of satisfactory teaching."

The decision is posted on the Internet at http://www.nycourts.gov/reporter/3dseries/2020/2020_06349.htm.

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Judicial review of arbitration awards is extremely limited

A detective [Plaintiff] applied for General Municipal Law §207-c line of duty disability  benefits. The Employer's claims manager denied Plaintiff's application as untimely. Ultimately the Plaintiff's Union [PBA] demanded that the matter be submitted to arbitration pursuant to the relevant provision set out in the controlling collective bargaining agreement [CBA] between the Employer and the PBA 

The arbitrator interpreted the disputed provisions of the CBA and found that the claims manager's denial of the application as untimely was not reasonable.

Employer then filed a CPLR Article 75 petition seeking a Supreme Court order vacating the arbitration award. PBA then cross-petitioned the court to confirm the award. The Supreme Court denied the Employer's petition and granted the PBA's cross petition. The Employer appealed the court's ruling.

Citing Wien & Malkin LLP v Helmsley-Spear, Inc., 6 NY3d 471and other decisions, the Appellate Division observed that "A court may vacate an arbitration award on the ground that the arbitrator exceeded his [or her] powers within the meaning of CPLR 7511(b)(1)(iii) only where the arbitrator's award violates a strong public policy, is irrational, or clearly exceeds a specifically enumerated limitation on the arbitrator's power."

The court then explained that for the purposes of Article 75 an arbitrator "exceeds his or her powers ... if the award gives a completely irrational construction to the provisions in dispute and, in effect, makes a new contract for the parties."

The Appellate Division then opined that, contrary to the City's contention, "the arbitrator's interpretation of the CBA was not irrational, and did not effectively rewrite the agreement." Further, said the court, "the arbitrator did not exceed a specifically enumerated limitation on his authority by construing the CBA's terms in light of testimony as to the past practices of the [Employer] and the [PBA].

Agreeing with the Supreme Court's determination denying the Employer's petition to vacate the arbitration award and granting the PBA's cross petition to confirm the arbitration award, the Appellate Division affirmed the lower court's ruling and awarded the PBA "one bill of costs."

The decision is posted on the Internet at http://www.nycourts.gov/reporter/3dseries/2020/2020_06254.htm

 

AELE case notes, publications, and seminars alert for November 2020

Gender Discrimination in Correctional Policies. New November AELE Law Journal article, https://www.aele.org/law/2020all11/2020-11MLJ301.pdf

Jail & Prisoner Legal Issues Seminar---Attend Live or Virtually On Demand.  A 3.5-day updated seminar on "Jail & Prisoner Legal Issues." A first: You can attend the seminar live or virtually on demand! The seminar will become available on Monday, January 25, 2021 and will remain open for 60 days. Another first is online registration and payment.  https://aele.org/jail-law-seminar.html 

November Law Enforcement Liability Reporter: This issue has cases on assault and battery: handcuffs, dogs, false arrest/imprisonment: warrant, false arrest/imprisonment: unlawful detention, firearms related: intentional use, malicious prosecution, and public protection: hostages. http://www.aele.org/law/2020all11/LR2020NOV.pdf

November Fire, Police & Corrections Personnel Reporter:This issue has cases on arbitration procedures, collective bargaining: in general, disciplinary punishment, First Amendment, F.L.S.A.: administrative & executive exemption, handicap/abilities discrimination: reasonable accommodation, pay disputes, retaliatory personnel actions, workers’ compensation.  http://www.aele.org/law/2020all11/FP2020NOV.pdf

November Jail and Prisoner Law Bulletin: This issue has cases on COVID-19, First Amendment, medical care, Prison Litigation Reform Act: exhaustion of remedies, prison and jail conditions: radon, prisoner discipline, prisoner suicide, religion, sex discrimination, and sexual assault. http://www.aele.org/law/2020all11/JB2020NOV.pdf

 

AELE also offers more than 36,000 case summaries, divided into 700+ topics:

1. Law enforcement civil liability at http://www.aele.org/law/Digests/civilmenu.html

2. Employment law and discipline at http://www.aele.org/law/Digests/emplmenu.html

3. Jail and prisoner legal issues at http://www.aele.org/law/Digests/jailmenu.html

4. Electronic control weapons at http://www.aele.org/law/Digests/ECWcases.html

New York State's Productivity Enhancement Program for certain State officers and employees in the Executive Branch of government

New York State's Productivity Enhancement Program (PEP) allows eligible officers and employees of the State of New York as the employer represented by the Civil Service Employees Association, representedby District Council 37 and Managerial/Confidential employees in the Executive branch of State government to exchange previously accrued annual leave (vacation) and, or, personal leave for a credit to be applied to their employee contribution for NYSHIP health insurance premiums on a biweekly basis. The PEP program for 2021 is set out in the "Program Description" posted on the Internet at  https://www.cs.ny.gov/attendance_leave/pb20-06.pdf.

The enrollment period for 2021runs from Monday, November 2, 2020 through Monday, November 30, 2020.

 

Application for accidental disability retirement benefits rejected on finding that the alleged disability was not suffered in the performance of the applicant's duties.

Plaintiff in CPLR Article 78 action appealed Supreme Court's dismissal of her petition seeking to have the court annul the New York City Employees' Retirement System's [NYCERS] determination denying Plaintiff's application for accidental disability retirement [ADR]. Plaintiff appealed.

Citing Borenstein v New York City Employees' Retirement System, 88 NY2d 756, the Appellate Division sustained Supreme Court's ruling, concluding that the denial of Plaintiff's application for ADR was "not arbitrary and capricious, but [was] based on credible evidence in the record."

The court noted NYCERS' findings that:

[1] Plaintiff was neither physically nor mentally incapacitated based on her medical and mental health records, an independent psychiatric examination, and her interview before NYCERS' Medical Board;

[2] There was no contemporaneous evidence showing the circumstances of a physical assault on Plaintiff by her coworker as described by the Plaintiff during the administrative proceeding on the date she set out in her application for ADR; and

[3] The alleged physical and psychological injuries caused by the alleged physical assault did not result from an accident or arise in the course of Plaintiff's performance of her duties.

As to Plaintiff's claim that she was deprived of due process, the Appellate Division said that allegation "is belied by the record showing that she was given an adequate opportunity to present her case before [the NYCERS]."

The decision is posted on the Internet at

http://www.nycourts.gov/reporter/3dseries/2020/2020_06229.htm.

 

Governor Cuomo releases guidelines on testing protocol for schools to reopen in red or orange micro-cluster zones

On October 31, 2020, Governor Andrew M. Cuomo released guidelines for schools to reopen in red and orange micro-cluster zones in order to help keep schools in focus areas open to in-person instruction. The guidelines require mass testing in schools before they reopen followed by vigilant symptom and exposure screening conducted daily. Impacted schools can reopen as early as Monday. However students and faculty must be able to provide a negative COVID-19 test result prior to going back to the classroom.  

New York State will provide rapid test kits for schools wishing to participate.

"In the micro-cluster zones, we've been working with schools in the red and the orange zones. The schools, private schools, Catholic schools, yeshivas, want to be open in the red and orange zones, and we've been working with them to try to find ways to keep people safe but allow children to go to school," Governor Cuomo said. "We have agreed with them on a protocol that keeps people safe and allows children to be educated."

In order for a school to reopen in a red or orange micro-cluster zones, schools must:

Remain closed for at least 4 calendar days after the zone designation is announced (48 hours to ensure lack of infectious contact in the school, and additional time for testing), and may re-open as early as the 5th calendar day.

Ensure that no person may attend in-person on the campus without first receiving a negative test result, this applies to faculty/staff as well as students.

Schools may reopen after these steps are taken, with students and faculty/staff who are positive or close contacts of positive cases appropriately excluded from school grounds. Additionally, the test result must be no more 7 days past the date of specimen collection on the day in-person learning reopens and date of specimen collection must be after date the zone was established.

After a school reopens in a red or orange micro-cluster zone, vigilant symptom and exposure screening must be conducted daily and must follow the below guidelines:

25% of the in-person learning school community (both students and faculty/staff) must be tested per week.

The school should ensure that it provides opportunities to test on school grounds, or otherwise facilitates testing and accepts test results from healthcare providers.

If the school does not hold a testing event or provide testing on school grounds, test results provided to the school as part of the 25% testing of the population must be received within 7 days from the date of specimen collection and specimen collection must be after the school reopens.

Each week the 25% of the school population tested must be composed of unique individuals who have not previously been tested for the surveillance screening, as part of the weekly 25% testing until the fifth week of weekly testing at which point the individuals who participated in the first week of testing should be tested again.

Members of the school community who test positive must isolate according to established guidelines.

Contact tracing must be performed to ensure that contacts to newly identified positive individuals are quarantined according to established guidelines.

New York State will provide schools with rapid test kits if requested. The schools must provide certified personnel (with necessary laboratory permits) to do the tests, and all results must be entered into ECLRS and reported on the school survey to the NYS COVID-19 Report Card.

Schools that cannot meet the reopening requirements must remain in remote learning for the duration of the zone designation. If the 25% of the school population random sampling generates a minimum of 9 cases, or if for a sample size of more than 300 weekly tests, achieves a positivity rate of 2% (6 cases or more depending on size) in New York City, or 3% (9 or more cases) outside of the city, then the school will be required to close. Reopened schools that fail to comply with these requirements could be subject to Section 16 orders, or other fines and penalties.