Witness creditability determinations

Witness creditability determinations

CSEA Local 1000 [Vaziri-Cohen] v Tioga County, 288 AD2d 802

In an administrative disciplinary action, the hearing officer's determination is frequently based on his or her evaluation of the credibility of witnesses testifying at the disciplinary hearing. In the Vaziri-Cohen appeal the Appellate Division considered the issue of credibility in determining if substantial evidence supported the disciplinary determination resulting in Vaziri-Cohen's dismissal.

Susan Vaziri-Cohen was terminated after being found guilty of charges that she had falsified agency records, repeatedly failed to follow her superior's instructions and made demeaning remarks to a co-worker about her supervisor.

The Hearing Officer recommended that Vaziri-Cohen be dismissed from service based on a finding that her conduct had “hindered the mission of the agency and hurt its credibility” and that she “remained unwilling to concede that her behavior was unacceptable.”

CSEA appealed, contending that the hearing officer's findings were not supported by substantial evidence. The Appellate Division disagreed and dismissed the appeal.

The court pointed out that here the finding of the hearing officer with respect to the first charge -- falsification of official records -- turned on issues of credibility and inferences drawn by the hearing officer from the evidence presented. Finding that the conclusion drawn by the hearing officer was supported by both direct and circumstantial evidence, the court sustained the hearing officer's finding. Noting that both Vaziri-Cohen and her supervisor testified during the disciplinary hearing, the court said that “it was within the province of the Hearing Officer to implicitly reject the credibility of [Vaziri-Cohen's] exculpatory explanation.”

As to the second charge -- Vaziri-Cohen's alleged failure to follow work orders -- her supervisor testified that despite several successive directives by him concerning the inclusion of certain information in a client's medical record over the course of one week -- Vaziri-Cohen failed to add the information as directed.

Vaziri-Cohen, on the other hand, testified that she had made the changes directed by her supervisor. The court said that this conflict in the testimony given at the disciplinary hearing raised an issue of credibility implicitly resolved by the Hearing Officer's ruling against her.

As to the charge alleging Vaziri-Cohen made disparaging remarks about her superior to a co-worker, the Appellate Division said that substantial evidence supported the hearing officer's conclusion that, under the circumstances, her comments were “irresponsible and denigrating” and obviates any claim that they were made in good faith.

According to the decision, “the unrefuted testimony, including [Vaziri-Cohen's] admission, established that ... [she] made a denigrating and explicit comment to a co-worker about her supervisor ....”

As to the penalty imposed, dismissal, the Appellate Division wrote that “in view of the nature of the misconduct and insubordination involved in these charges, we see no basis upon which to disturb the penalty of dismissal, which we do not find was so disproportionate [to the offenses to which she was found guilty] as to be shocking to one's sense of fairness,” citing the Pell standard [Pell v Board of Education, 34 NY2d 222].

Creditability was also an issue in the Pelayo case [Pelayo v Safir, App. Div., First Dept., November 27, 2001]. Henry Pelayo, a New York City police officer, was dismissed from his position after being found guilty of administrative disciplinary charges alleging that he “knowingly gave false material testimony in felony court proceedings, and that he provided false information concerning the events underlying [those] criminal proceedings in departmental ... forms.”

The court said that Pelayo “challenges to the credibility determinations of the Assistant Deputy Commissioner are unavailing since, in an Article 78 proceeding, the reviewing court may not weigh the evidence, choose between conflicting proof, or substitute its assessment of the evidence or witness credibility for that of the administrative fact-finder.”

Whistle blowing

Whistle blowing

Kahn v SUNY Health Center at Brooklyn, 288 AD2d 350

What is the whistle blower required to show in order to prevail? What is the targeted agency required to demonstrate in defending itself in a whistle blower case? These were among the issues considered by the Appellate Division when Mahmood Khan sued SUNY's Health Center at Brooklyn claiming it had violated Section 740 of the Labor Law.

In order to prevail in his Section 740 complaint, Kahn was required to plead and prove that the Health Center engaged in an activity, policy, or practice that constituted an actual violation of law, rule, or regulation. A critical factor in resolving this litigation concerned the nature of the proof required. The court said that an employee's good-faith reasonable belief that an actual violation of a law, rule, or regulation occurred is insufficient: he or she must show that there was a violation actually occurred.

Kahn had alleged that conditions in the Health Center's laboratories were unsafe due to poor air quality.

The Medical Center, however, produced affidavits and other proof demonstrating that during the period relevant to the Kahn's complaints of unsafe conditions, the Center's laboratories were not found to be in violation of any safety or health standards promulgated under the United States Occupational Safety and Health Act of 1970 or any regulations promulgated by the Department of Labor.

Accordingly, said the Appellate Division, the Health Center had come forward with sufficient admissible evidence to sustain its burden for granting its motion for summary judgment.

In contrast, said the court, Kahn failed to make the requisite factual showing to defeat the motion. He did not allege an actual violation of any specific law, rule, or regulation either in his complaint or his affidavit submitted in opposition to the defendant's motion for summary judgment.

The court rejected Kahn's “uncorroborated and unsubstantiated opinion that the laboratories were unsafe” holding that it amounted to no more than “a reasonable belief of a possible violation.” This, without proof, will not support a cause of action to recover damages under Labor Law Section 740.

Disability as a defense in disciplinary actions

Disability as a defense in disciplinary actions

Matter of Schlitz v Cavanagh, 2007 NY Slip Op 50026(U), Supreme Court, Suffolk County

The significant issue in the Schlitz case concerned the interplay of two different provisions of the Civil Service Law:

1. Serving disciplinary charges against an individual pursuant to Section 75; and

2. Placing an employee on leave pursuant to Section 72, which is triggered in cases of an employee’s inability to perform the duties of the position because of non-work related disease or disability.

In Penebre v Dzaluk, 51 AD2d 574, the Appellate Division ruled that §75 charges for misconduct should not have been served on a police officer but that the employer should have proceeded under §72, Ordinary Disability Leave instead. Penebre, said the court, “had performed successfully as a police officer for 13 years before his behavior markedly changed.” He became depressed and inattentive.

Under these circumstances, the Appellate Division said that serving Penebre with §75 charges for misconduct was misplaced. The court indicated the rather than initiate disciplinary action, the appointing authority should have utilized Section 72 which provides for the placement of an employee on a leave because of a disability, other than a disability resulting from an occupational injury or disease, in the event it is determined that he or she is unable to satisfactorily perform the duties of the position because of that disability.

Schlitz was served with disciplinary charges pursuant to Section 75. Before the conclusion of the disciplinary hearing, however, Schlitz was placed on Section 72 leave.

A physician was employed by the Town and asked to determine whether or not Schlitz was suffering from a mental health issue that affected his ability to perform his duties satisfactorily. The physician’s opinion, “given within a reasonable degree of medical certainty,” was that "any past misbehavior on the part of Mr. Schlitz would not have been because of a psychiatric condition."

Ultimately, Schlitz was found guilty of various instances of misconduct and the penalty imposed was demotion.

Schlitz appealed but withdrew his claim regarding the Section 75 determination by conceding that there was substantial evidence to justify the findings of misconduct and the penalty imposed. Instead, Schlitz contended that the Town knew that he was suffering from depression and that the filing disciplinary charges against him under these circumstances amounted to unlawful workplace discrimination against a person with a disability.

In addition, Schlitz argued that his employer was required to present the evidence of his depression at the §75 hearing as a defense, or in mitigation of the misconduct charge, on his behalf.

Justice Mayer ruled that Town was within its rights to conduct the §72 proceeding and suspend the §75 hearing pending the results of Schlitz’s medical evaluation. Further, said the court, once the Town had evidence that the misconduct alleged in the §75 charges and specifications were not due to mental disability, it had the right to move forward under §75.

As to Schlitz’s claim that he was the victim of “unlawful workplace discrimination against a person with a disability,” the court said that the medical evidence in this case was that Schlitz’s acts of misbehavior were not caused by a psychiatric condition. Justice Mayer ruled that “there is no admissible proof that the petitioner is, or ever was, mentally disabled, and the claim of workplace discrimination perpetrated by the Town by bringing the charges of misconduct against an allegedly disabled person is, therefore, without merit.”

In contrast to discipline/termination procedures, the basic concept underlying the use of Section 72 in disability related situations is the separation/rehabilitation/reinstatement of the employee.

Section 72.1 sets out the procedures to be followed by the appointing authority before an employee may be placed on leave for ordinary disability involuntarily.

Section 72.3 describes the appeal procedures, including recourse to the courts pursuant to Article 78 of the Civil Practice Law and Rules, available to an individual involuntarily placed on disability leave following a Section 72.1 hearing.

Section 72.5 provides an exception to the basic requirement that a Section 72.1 hearing must be concluded before the employee may be placed on Section 72 disability leave involuntarily based on the appointing officer determination that there is a "potential danger" if the employee is permitted to continue on the job.

If the employee is absent of Section 72 leave for more than twelve consecutive months, the appointing officer may, but is not required, to terminate the individual in accordance with the provisions set out in Section 73 of the Civil Service Law.

Employee terminated for cause may grieve the employer’s denying the individual post-employment health insurance benefits

Employee terminated for cause may grieve the employer’s denying the individual post-employment health insurance benefits
Matter of Union- Endicott Cent. School Dist. v Union-Endicott Maintenance Workers' Assn., 2011 NY Slip Op 05167, Appellate Division, Third Department

George Kolmel, was employed as a maintenance worker for some 35 years by the Union-Endicott Central School District.  In May 2009 Kolmel submitted a letter of resignation setting out an effective date of September 30, 2009.

The school district, however, disregarded his resignation letter pursuant to 4 NYCRR 5.3 (b)* and filed disciplinary charges against him pursuant to Civil Service Law §75. Following the §75 hearing on the disciplinary charges, but before a decision was rendered, the Union-Endicott Maintenance Workers Association filed a grievance on behalf of Kolmel alleging that the school district violated the CBA by conditioning Kolmel's entitlement to retirement health insurance benefits upon the outcome of the disciplinary proceeding by electing to  disregard Kolmel's letter of resignation and pursue disciplinary charges against him.**

The disciplinary hearing officer sustained the charges against Kolmel and recommended his termination. The Board of Education adopted the hearing officer’s findings and recommendations and terminated Kolmel. It then denied his grievance on the ground that, since he was terminated from employment, he was not a "retiree" for purposes of retirement health benefits under the CBA.

The Union filed a demand for arbitration but the school district filed a petition pursuant to Civil Practice Law and Rules §7503, seeking a court order to stay the arbitration of the grievance.

Supreme Court denied the school districts motion to stay arbitration, finding that there was no public policy prohibiting arbitration of the issue of Kolmel's entitlement to post-employment health benefits and that the dispute was one which the parties had agreed to arbitrate under the CBA.

In considering the school district’s appeal of the Supreme Court’s ruling, the Appellate Division said that: "The court's role in reviewing applications to stay arbitration is . . . a limited one," citing Matter of Enlarged City School Dist. of Troy [Troy Teachers Assn, 69 NY2d 905.”

Further, said the court, in considering the school district’s appeal, it applies a “two-pronged test” for determining whether a grievance is arbitrable, and must decide:

1. Is there is any statutory, constitutional or public policy prohibition against arbitration of the grievance; and

2. If no such prohibition exists, the court must determine if the parties in fact agreed to arbitrate the particular dispute by examining their collective bargaining agreement.

As to the public policy issue, the Appellate Division said that the school district argues that “public policy prohibits arbitration of the matter since determination of Kolmel's employment status is governed by 4 NYCRR 5.3(b), which provides that "when charges of incompetency or misconduct have been or are about to be filed against an employee, the appointing authority may elect to disregard a resignation filed by such employee and to prosecute such charges and, in the event that such employee is found guilty of such charges and dismissed from the service, his [or her] termination shall be recorded as a dismissal rather than as a resignation."

Essentially the school district contended that “to allow an arbitrator to determine whether Kolmel retired or was dismissed for purposes of receiving retiree benefits under the CBA would violate the policy considerations embodied in 4 NYCRR 5.3(b) in that it would defeat its authority to disregard petitioner's resignation and ignore Kolmel's status as a dismissed employee under the regulation.”

The Appellate Division disagreed, explaining that “[I]t is well settled that 'there is no prohibition against arbitrating a dispute originating from the terms of a collective bargaining agreement concerning health insurance benefits for retirees,'" citing Matter of Peters v Union-Endicott Cent. School Dist., 77 AD3d at 1239.”

The school district, said the court, had not identified any statute, precedent or public policy that prohibits arbitration of a dispute over the provision of contractual post-employment retirement benefits to an employee who has committed a crime or otherwise engaged in misconduct. Further, although 4 NYCRR 5.3 (b) provides for an employee's termination under these circumstances to be recorded as a dismissal rather than a resignation, no law or policy requires an employee's status under 4 NYCRR 5.3 (b) to be determinative of that employee's status under the CBA.

The Appellate Division concluded that “The issue of the effect, if any, of Kolmel's status as a dismissed employee pursuant to 4 NYCRR 5.3 (b) — as well as his alleged misconduct — as it pertains to his entitlement to benefits goes to the merits of the grievance, not to its arbitrability.”

The Appellate Division also rejected the school district’s argument that Kolmel had no right to arbitration under the CBA as a dismissed employee, noting that the broad arbitration clause permitted the Union to demand arbitration if dissatisfied with the decision at Stage 3 of the grievance process. Moreover, said the court, issues such as a school district's relationship to retired or discharged employees and the question of whether such former employees are covered by the grievance procedure are for the arbitrator to decide.

* N.B. 4 NYCRR 5.3(b) applies to employees in the classified service of the State and public authorities, public benefit corporations and other agencies for which the Civil Service Law is administered by the State Department of Civil Service, provides: 4 NYCRR 1,  Application of Rules, states that “Except as otherwise specified in any particular rule, these rules shall apply to positions and employments in the classified service of the State and public authorities, public benefit corporations and other agencies for which the Civil Service Law is administered by the State Department of Civil Service” [emphasis supplied]. However, many local civil service commissions and personnel officers have adopted a similar rule.

** Kolmel otherwise met the requirements to receive retirement health benefits under the CBA.

The decision is posted on the Internet at:
http://www.courts.state.ny.us/reporter/3dseries/2011/2011_05167.htm