ARTIFICIAL INTELLIGENCE IS NOT USED, IN WHOLE OR IN PART, IN THE SUMMARIES OF JUDICIAL AND QUASI-JUDICIAL DECISIONS PREPARED BY NYPPL

March 15, 2016

Use of video surveillance recording in disciplinary actions


Use of video surveillance recording in disciplinary actions
NYC Dept. of Environmental Protection v Gaicia, OATH Index #211/16

With the expanding installation of video surveillance equipment, video tape recordings are being used with increasing frequency in disciplinary actions.

The NYC Dept. of Environmental Protection [Department], alleged that one of its employees, Supervising Sewage Treatment Worker Nicholas Gaicia, had an oral altercation with a co-worker that also involved Gaici's throwing chairs and slamming doors.

The Department introduced a video surveillance recording into evidence, contending that  the video the showed the exchange between Gaicia and his co-worker. It also presented the testimony of three employees in support of the charges it had filed against Gaicia.

Gaicia testified in his defense and called four other employees as witnesses testify on his behalf.

OATH Administrative Law Judge [ALJ] John B. Spooner found that the video tape and the testimony presented by the employer failed to support the “incredible assertion that Gaicia was threatening” his co-worker. The ALJ also found that the allegations that Gaicia had thrown chairs and slammed doors set out in the Department's notice of discipline were not corroborated by the Department’s witnesses.

ALJ Spooner recommended that the disciplinary charges brought against Gaicia be dismissed and that he be reimbursed for the time he was suspended from his position without pay.   

The decision is posted on the Internet at:

The Discipline Book - A 458 page guide focusing on New York State laws, rules, regulations, disciplinary grievances procedures set out in collective bargaining agreements and selected court and administrative decisions concerning disciplinary actions involving state and municipal public officers and employees. For more information click on http://booklocker.com/5215.html 
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Cybercriminals hold computer files hostage for ransom


Cybercriminals hold computer files hostage for ransom
Source: Governing the States and Localities

Tod Newcombe, writing for Governing the States and Localities, points out the growing threat of cybercrime and just how vulnerable public entitites are to it.

As an example, Mr. Newcombe reports that “In June 2014, an officer with the Durham, N.H., Police Department opened what she thought was a digital fax attached to an email about an investigation she was working on. Instead, it was a type of malicious software that infected files throughout the entire police department’s network of computers. By the next morning, the entire system was in serious trouble.

“The officer had accidentally downloaded an extortion malware program popularly known as ransomware. It encrypts a computer’s files (meaning they can only be accessed by the cybercriminals) and then sends victims a digital ransom note, demanding money to decrypt them.”

The full text of Mr. Newcombe’s article is posted on the Internet at:

March 14, 2016

Professional Career Opportunities (PCO) eligible lists


Professional Career Opportunities (PCO) eligible lists
Source: NYS Dept. of Civil Service, Scott DeFruscio, Director of Staffing Services

The New York State Department of Civil Service has published new policies for agencies that choose to canvass the Professional Career Opportunities (PCO) eligible lists by email. These policies are designed to improve  timeliness and efficiency when canvassing a PCO eligible list.

Advisory Memorandum updates and replaces the section on Email Canvasses No. 14-03. and is posted on the Internet at: https://www.cs.ny.gov/ssd/pdf/am16-01.pdf

A public educational institution is not an “education corporation” within the meaning of New York State’s Human Rights Law


A public educational institution is not an “education corporation” within the meaning of New York State’s Human Rights Law
Garcia v City Univ. of N.Y., 2016 NY Slip Op 01271, Appellate Division, First Department

Supreme Court dismissed Minerva Garcia's disability discrimination claims brought against the City University of New York pursuant to New York’s Executive Law §296(4), the State’s Human Rights Law (HRL).

The Appellate Division, citing North Syracuse Central School District v New York State Division of Human Rights, 19 NY3d 481, sustained the lower court’s ruling explaining that the City University of New York is a public educational institutions*and not "education corporation[s] or association[s]" within the meaning of Executive Law §296(4).

In North Syracuse Central School District the Court of Appeals said that the issue before it was whether a public school district is an "education corporation or association" as contemplated by Executive Law §296(4).”  The court concluded that it was not and, therefore, the New York State Division of Human Rights (SDHR) “lacks jurisdiction to investigate complaints against public school districts under that provision.”

Although SDHR asked the court to “liberally construe the ‘general purpose’ of the Human Rights Law, which is to ‘eliminate and prevent discrimination . . . in educational institutions’ [citing Executive Law §290(3)], and conclude that a public school district is an ‘education corporation or association,’” the court declined, stating that the Division’s argument overlooked a basic premise: “there must first be an underlying directive in the statute before this Court can apply such a construction”  and that  “it is evident from the legislative history that the term ‘education corporation or association,’ the origins of which can be traced to the Tax Law, refers to only private, non-sectarian entities that are exempt from taxation under [Real Property Tax Law] Article 4.”

The Appellate Division then noted:

1. Even if Ms. Garcia's were able to assert her claims under the HRL her complaint would have been dismissed as she did not make out a prima faciecase of unlawful disability discrimination having failed to present any medical evidence showing that she suffered from bipolar disorder, depression, or any other cognizable disability; and

2. Ms/ Garcia's proposed disability discrimination claims under the Americans with Disabilities Act (ADA) were similarly without merit as ADAclaims "are governed by the same legal standards" as disability discrimination claims under the HRL.

The decision is posted on the Internet at:

March 12, 2016

Selected reports issued by the Office of the State Comptroller during the week ending March 12, 2016


Selected reports issued by the Office of the State Comptroller during the week ending March 12, 2016
Click on text highlighted incolor to access the entire report 

DiNapoli: Audit Finds NYC Needs to Improve Income Verification and Enforcement at Mitchell-Lama Housing
Some residents of Mitchell-Lama apartments in New York City make far more than the program’s maximum allowed incomes and pay a modest monthly surcharge as their only penalty, according to an auditreleased by New York State Comptroller Thomas P. DiNapoli. The audit found the New York City Department of Housing Preservation and Development has not done enough to verify that residents are reporting their true income and are paying the correct surcharge when their income exceeds allowable limits.

School audits completed

Ardsley Union Free School District – Reserve Funds (Westchester County)
The district’s employee benefit accrued liability reserve exceeded the amount deemed necessary to pay employees for accrued and unused sick and vacation leave time when they leave district employment by almost $178,000. The district’s remaining reserve funds were funded at reasonable levels.

Babylon Union Free School District – Financial Condition (Suffolk County)
Over a four-year period, the district consistently overestimated appropriations and did not use 94 percent of appropriated fund balance, which allowed the district to circumvent the 4 percent statutory limit on unrestricted fund balance. In addition, the district did not have proper documentation for the establishment and use of three of its four reserve funds.

Berkshire Union Free School District – Financial Condition (Columbia County)
The district reported fund balance deficits for four consecutive fiscal years, in part, due to shortfalls in budgeted tuition revenue. To alleviate cash flow difficulties, officials issued revenue anticipation notes each of the past four fiscal years.

Cobleskill-Richmondville Central School District – Special Education Services (Schoharie County)
District officials provided cost effective special education services to its students and saved the district approximately $1.7 million in program and related services costs during 2014-15. The district also saved 13 other districts approximately $1.3 million during the same year as their authorized special education service provider.

East Meadow Union Free School District – Financial Condition (Nassau County)
The district overestimated expenditures by a total of approximately $29.4 million during fiscal years 2012-13 through 2014-15. The district used only 22 percent of its appropriated fund balance during this time frame. As a result, the district’s unrestricted fund balance has ranged between 5 and 6 percent of the ensuing year’s appropriations in each of the last three fiscal years, which exceeds statutory limits. 


Gilbertsville-Mount Upton Central School District – Cafeteria Operations (Otsego County)
District officials have taken steps to effectively manage cafeteria operations by attempting to decrease expenditures and increase revenues. The district, however, did not perform a per-meal cost analysis to determine if lunch pricing is adequate.

Huntington Union Free School District – Financial Condition (Suffolk County)
From 2012-13 through 2014-15, total revenues exceeded expenditures by as much as $4.1 million and no amount of appropriated fund balance was used to finance operations. Because the district adopted budgets with overly conservative expenditure estimates, unassigned fund balance increased beyond the 4 percent statutory limit.

Ithaca City School District – Financial Condition (Tompkins County)
From fiscal years 2010-11 through 2014-15, the district increased its use of fund balance to support operating expenditures and total fund balance was reduced by $13.1 million, or 54 percent. Officials have since implemented a number of cost-saving measures to ensure the use of recurring revenues to support recurring expenditures.

Newfane Central School District – Financial Condition (Niagara County)
For fiscal years 2011-12 through 2014-15, the district annually appropriated more in fund balance than what was actually needed to fund operations. This practice allowed the district to circumvent the 4 percent statutory limit on unrestricted fund balance. In addition, the district overfunded two reserves by as much as $9.8 million.

Pleasantville Union Free School District – Financial Condition (Westchester County)
The district adopted budgets from 2010-11 through 2014-15 that overestimated expenditures and appropriated fund balance that was not used to fund operations. The district has not established a reserve fund policy stating how much would be set aside in each reserve, how each reserve would be funded or when each reserve would be used.

Poland Central School District – Procurement (Herkimer County)
District officials have established and implemented an effective system to ensure goods and services were purchased in accordance with the district’s procurement policy and applicable statutes.

Remsen Central School District – Fund Balances and Reserves (Oneida County)
Officials have not developed a reserve fund policy or multiyear financial and capital plans to help determine how the reserve funds fit into the district’s overall financial management strategy. The district has not used the more than $115,000 in the debt service fund to pay down debt.

Sullivan County Board of Cooperative Educational Services – Central Business Office Internal Controls (2015M-331)
District officials have established effective controls over cash disbursements and payroll, including segregating duties so that no individual controls all phases of a transaction. They also provide increased oversight by having independent staff review transactions for key business processes.

Tompkins-Seneca-Tioga Board of Cooperative Educational Services – Energy Performance Contract (2015M-315)
The board entered into an energy performance contract that guarantees an energy cost savings of $4.1 million over the 18-year contract term. In year one of the contract, the district saved a total of $181,586. If the district maintains these savings each year, it will be on track to reach the contract goal.


Municipal Audits completed

Niagara County – Golf Course Financial Operations (2015M-308)
County officials did not establish accountability over golf course sales. Consequently, golf course sales were not all recorded in the electronic point of sale system, cash receipts were not always deposited in a timely manner and cash on hand was not properly safeguarded.

Orient Fire District – Cash Reserves and Credit Cards (Suffolk County)
The board did not exercise appropriate oversight or establish sound policies and procedures related to credit card usage and did not provide sufficient oversight of travel and meal expenditures. The treasurer paid credit card claims prior to board approval.

City of Salamanca – Selected Financial Activities (Chautauqua County)
The city council did not develop a long-term financial plan, long-term capital plan or require a cash flow analysis to monitor and assess reported revenues for reasonableness. The comptroller did not provide the council with cash flow analyses and did not submit casino revenue claims in a timely manner to the Seneca Nation. The comptroller did not enforce the collection of overdue property tax payments in a timely manner and did not follow tax enforcement procedures prescribed by law.

Town of Ticonderoga – Financial Records and Reports (Essex County)
The supervisor’s clerk did not maintain complete, accurate and timely accounting records and the supervisor did not provide sufficient oversight of the clerk’s accounting duties. The town’s accounting records did not agree with the amounts reported on its 2013 and 2014 annual financial reports.

Upper Mohawk Valley Memorial Auditorium Authority – Procurement (Oneida County)
The two procurement policies in effect during the audit period did not provide adequate guidance for purchases when competitive bidding was not required. Auditors found authority officials did not obtain required quotes for eight purchases totaling $140,737.

Family Medical Leave Act [FMLA] postings from selected LawBlogs


Family Medical Leave Act [FMLA] postings from selected LawBlogs
Click on text highlighted incolor to access the posting 
Source: FMLA Law News Update: Posted by fmlalawMarch 11, 2016 

Employment – FMLA – Retaliation
Massachusetts Lawyers Weekly
Where a jury found for a plaintiff on a retaliation claim under the Family and Medical Leave Act, the evidence was sufficient to support that finding.

Compensation.BLR.com
A workplace scenario where the Family and Medical Leave Act (FMLA) and the Americans with Disabilities Act (ADA) may both apply.

New York Daily News Readers split on paid family leave
Rochester Business Journal
Of the 53 percent who favor paid family leave, 28 percent support paid family leave law for
New Yorkif it aligns with the federal FMLA provisions.

March 11, 2016

Seniority for the purposes of layoff and reinstatement from a preferred list set out in "settlement agreement"


Seniority for the purposes of layoff and reinstatement from a preferred list set out in "settlement agreement"
Giardina v New York City Health and Hosp. Corp., 2016 NY Slip Op 01402, Appellate Division, First Department

City Laborer Antonio Giardina was laid off from his position. Giardina’s union subsequently challenged the way the “retention date” of City Laborers, including Giardina’s, for the purposes of layoff had been determined by the employer. The union, on behalf of affected City Laborers, including Giardina, then entered into a stipulation of settlement with the employer that set the “retention date” for the Labors.

Giardina filed an Article 78 petition seeking to annul the determination that resulted in his being laid off after his position had been abolished. Supreme Court dismissing the proceeding brought by Giardina, which ruling the Appellate Division unanimously affirmed.

Noting that Giardina had personally ratified the settlement which advanced his retention date by more than nine years and moved his name from No. 49 to No. 23 on the preferred list, the Appellate Division explained that only two vacancies had occurred since his layoff and  Laborers senior to him had been reinstated to those position. As Giardina was unable to identify any Laborer who should have been displaced by him or any vacancy that occurred to which he should have been appointed from the preferred list, the court held that Supreme Court was correct in dismissing his petition.

Significantly, the positions to which the stipulation of settlement applied apparently were in the Labor Class.* 

As the Appellate Division held in City of Plattsburgh v Local 788, 108 AD2d 1045, this element – an individual’s seniority for the purposes of layoff – may neither be diminished or nor impaired by the terms of collective bargaining agreement with respect to incumbents of positions in the Competitive Class.

In Plattsburgh the issue concerned the application of a contract provision negotiated pursuant to the Taylor Law to determine seniority in a layoff situation.

The collective bargaining agreement between Plattsburgh and the Union provided if there were to be demotions in connection with a layoff, the "date of hire" was to be used to determine an employee's seniority. However, the "date of hire" might not necessarily be the same date required to be used to determine an individual's service for seniority purposes in layoff situation under State law, typically the individual's date of initial permanent appointment in public service.

For example, assume Employee A was provisionally appointed on January 1, and Employee B was provisionally appointed February 1, of the same year. Employee B, however, was permanently appointed on March 1 of the same year, while Employee A was permanently appointed a month later, on April 1. Under the terms of the Local 788 collective bargaining agreement Employee A would have greater seniority for layoff purposes than Employee B. §80 of the Civil Service Law, however, provides that the date of an individual's most recent, uninterrupted "permanent appointment" determines his or her seniority for the purposes of layoff and so, under the Civil Service Law, Employee B would have greater seniority than Employee A.

This was the problem in the Plattsburgh case. The City laid off M rather than another worker, R. Although M had been employed by the City for a longer period than R, R had received his permanent appointment before M was permanently appointed.

Ultimately the Union demanded that the matter be submitted to arbitration, contending that under the seniority provision in the collective bargaining agreement, R should have been laid off. The City, on the other hand, argued that Civil Service Law §80 controlled and thus M, rather than R, had to be laid off first and sought to stay the arbitration of the grievance.

Plattsburgh obtained a court order prohibiting arbitration. The court said that §80 of the Civil Service Law "reflects a legislative imperative" that the City was powerless to bargain away.

As the Court of Appeals held in County of Chautauqua v. Civil Service Employees Ass'n, 8 N.Y.3d 513, “Once such an informed decision as to which positions are to be [abolished] is made, §80(1) obligates the employer to respect the seniority rights of its employees."

* §80 of the Civil Service Law controls with respect to the suspension or demotion of employees in the Competitive Class in the event of a layoff while §80-a of the Civil Service Law controls with respect to the suspension or demotion of employees of State as the employer serving in positions in the Non-competitive Class in the event of a layoff. §81 sets out the procedures to be followed with respect to reinstatement from preferred lists established pursuant to §§80 and 80-a.

The Giardina is posted on the Internet at:
http://www.nycourts.gov/reporter/3dseries/2016/2016_01402.htm
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The Layoff, Preferred List and Reinstatement Manual - a 645 page e-book reviewing the relevant New York State laws, rules and regulations, and selected court and administrative decisions involving layoff and related matters. For more information click on http://booklocker.com/5216.html
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March 10, 2016

A party seeking to modify an arbitration award must comply with the relevant provisions of Article 75 of the Civil Practice Law and Rules


A party seeking to modify an arbitration award must comply with the relevant provisions of Article 75 of the Civil Practice Law and Rules
Board of Educ. of the City Sch, Dist. of the City of New York (DOE) v United Fedn. of Teachers, 2016 NY Slip Op 01592, Appellate Division, First Department

Supreme Court vacated a supplemental arbitration award; the Appellate Division unanimously affirmed the lower court’s ruling. The Appellate Division said the Supreme Court had “properly vacated the supplemental arbitration award because the parties failed to comply with the procedure set forth in CPLR 7509.”

§7509 permits a modification of an arbitration award by arbitrator[s] and requires that the party seeking the modification to apply for it within 20 days of the delivery of the award by submitting a written application to the arbitrator.* A copy of the application must be served on the other parties to the arbitration.

In the event there is any objection to the modification requested, the objecting party or parties must served the objection on the  arbitrator[s]  and  other parties to the arbitration within ten days of receiving the request for the modification.

Addressing another issue, the Appellate Division found that the arbitrator had exceeded his powers by "rendering wholly new determinations on matters not addressed in the original award."

* In addition a party involved in the arbitration may ask a court to modify an arbitration award as permitted by §7511(c) of the CPLR.

The decision is posted on the Internet at:
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The essentials elements of processing a complaint alleging retaliation constituting unlawful discrimination


The essentials elements in processing a complaint alleging retaliation constituting unlawful discrimination
Troge v State Div. of Human Rights, 2016 NY Slip Op 01337, Appellate Division, Second Department

In the Troge decision the Appellate Division sets out the basics with respect to litigating a complaint alleging retaliation in violation of the State's Human Rights Law where the individual suffered an adverse personnel action because of the individual's engaging in a protected activity .

First, in order to establish a prima facie case of retaliation, the individual is required to show that:

(1) he or she had engaged in protected activity, 

(2) his or her employer was aware that he or she participated in such activity, 

(3) he or she suffered an adverse employment action based upon his or her activity, and 

(4) there is "a causal connection between the protected activity and the adverse [personnel] action" alleged to have suffered by the individual.

Assuming the individual is able to make this initial showing, the burden would shift to the Employer to present legitimate, independent, and nondiscriminatory reasons to support its action[s] or decision[s].

If the Employer meet that burden, the individual would then have to show that the reasons given by the Employer in its defense were "pretext" to camouflage an act of unlawful discrimination.

Darlene Troge was employed by the Town of Southampton as Director of Workplace Policy and Compliance [DWPC], a position that required her to investigate complaints of job discrimination and harassment. After a Deputy Town Supervisor demanded that Troge produce her notes of an investigation of a workplace dispute between two employees, one of whom was Troge’s supervisor, she filed an internal complaint with the Town alleging that the Deputy Town Supervisor had created an "offensive" work environment.

The Town investigated Troge’s complaint and dismissed it. A month later the DWPC position was abolished by unanimous vote of the Town Board and Troge was terminated.  Contending that she had been terminated in retaliation for her filing her “internal complaint” alleging "an offensive work environment," Troge filed a complaint pursuant to Executive Law Article 15 against the Town and Town Supervisor Anna Throne-Holst [the Town].

At a hearing before the State Division of Human Rights [SDHR] the Town submitted proof of the Town's need to reorganize and consolidate different departments within the Town government for financial reasons, leading to the termination of employees. In addition, the Town offered proof of their discontent with the petitioner's job performance. Troge testified that she filed the internal complaint after “opposing requests that she perceived to be in furtherance of discrimination directed against her supervisor” and that she was fired in retaliation of that action.

A Division of Human Rights Administrative law judge [ALJ], following the hearing, found that

[1] Troge failed to establish a prima facie claim for retaliation, and

[2] Even if Troge had established a prima facie claim of unlawful discrimination, the Town had shown that its actions were motivated by "fiscal, non-discriminatory reasons."

Troge filed objections to the ALJ’s findings and determination. The SDHR’s Commissioner issued a final order adopting the ALJ's findings and recommendations and dismissed Troge’s complaint. Troge then filed a CPLR Article 78 petition challenged the Commissioner’s determination.

The Appellate Division said that the review of an administrative determination made after a hearing by a court is limited to considering whether the administrative determination was supported by substantial evidence. Substantial evidence, said the court is “such relevant proof as a reasonable mind may accept as adequate to support a conclusion or ultimate fact."

Notwithstanding Troge’s contention to the contrary, the Appellate Division ruled that there was substantial evidence to support the Commissioner’s determination that the Troge was not subjected to retaliation, explaining that she failed to establish that she had been subjected to an adverse employment action that was taken because of her having engaged in a protected activity.

Essentially the court found that Troge had not been able to demonstrate that the abolishment of her position by the Town constituted a retaliatory firing and the reasons given by the Town in support of its action was “subterfuge.”

The decision is posted on the Internet at:

March 09, 2016

Employee has the burden of proving alleged misconduct by the arbitrator prejudiced his or her rights or the integrity of the process


Employee has the burden of proving alleged misconduct by the arbitrator prejudiced his or her rights or the integrity of the process
Collazo v Suffolk County, 2016 NY Slip Op 01321, Appellate Division, Second Department

Maria Callazo initiated an Article 75 CPLR proceeding in Supreme Court seeking to vacate an arbitration award that recommended certain disciplinary action be taken against her with respect to her employment with the County. The Appellate Division affirmed Supreme Court’s dismissal of Callazo’s petition.

Contrary to the Callazo's contention, the Appellate Division said that Supreme Court correctly determined that Callazo “failed to show by clear and convincing evidence that any misconduct on the part of the arbitrator prejudiced her rights or the integrity of the arbitration process.” In addition, the Appellate Division noted that the disciplinary charges filed against her were timely served within 18 months of her alleged misconduct in connection with her employment.

The decision is posted on the Internet at:
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The Discipline Book - A 458 page guide focusing on New York State laws, rules, regulations, disciplinary grievances procedures set out in collective bargaining agreements and selected court and administrative decisions concerning disciplinary actions involving state and municipal public officers and employees. For more information click on http://booklocker.com/5215.html 
_______________________________


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