New York laws bar asking prospective employees about their salary history and expands the definition of "equal pay for equal work"

In a press release issued October 7, 2019, New York State Governor Andrew M. Cuomo reminded all employers - public and private - who do business in New York State that effective October 8, 2019  New York State law prohibits unequal pay for substantially similar work on the basis of an individual's protected class status, bars asking prospective employees about their salary history and compensation and expands the definition of "equal pay for equal work."

These new measures track two executive orders signed by Governor Cuomo in 2018 prohibiting state entities from evaluating candidates based on wage history and requiring state contractors to disclose data on the gender, race and ethnicity of employees to provide pay transparency and advance pay equity statewide.

In addition, Governor Cuomo called on businesses in New York to conduct internal reviews of their pay policies and make adjustments as necessary in accordance with these new laws. 

Relying on hearsay evidence in an administrative proceeding

Although the New York State and Local Police and Fire Retirement System [System] conceded that the injury suffered by an applicant for accidental disability retirement benefits was an accident within the meaning of the Retirement and Social Security Law, the System rejected a State Trooper's [Trooper] application for such benefits based on a finding that he is neither permanently disabled nor permanently incapacitated.

Following a hearing, a Hearing Officer upheld the System's the denial these  applications. The Comptroller adopted the Hearing Officer's findings and decision and Trooper filed a CPLR Article 78 petition filing the Comptroller determination.

The Appellate Division initially observed that an applicant for disability retirement benefits bears the burden of establishing that his disability arose from an accident within the meaning of the Retirement and Social Security Law [RSSL], and the Comptroller's determination in this regard will be upheld if supported by substantial evidence. However, this issue was moot as the System conceded Trooper had suffered his injury as the result of an accident within the meaning of the RSSL.

Trooper's board-certified, treating orthopedic surgeon testified that Trooper is permanently disabled and, in his opinion, Trooper "was unable to work as a state trooper."

In contrast the System's board-certified orthopedic surgeon conducted an independent medical examination of Trooper and after a physical examination of Trooper, a review of his medical records and consideration of Trooper's "subjective complaints" opined that Trooper is not permanently disabled or incapable of performing the duties of a state trooper.

In response to Trooper's contention that the hearsay evidence contained in the report of the Retirement System's surgeon "cannot prevail over the credible, sworn testimony of his witness," citing Matter of Haug v State Univ. of N.Y. at Potsdam, 32 NY3d 1044, the Appellate Division explained that "hearsay is admissible as competent evidence in an administrative proceeding, and[,] if sufficiently relevant and probative[,] may constitute substantial evidence even if contradicted by live testimony"

Further, said the court, "it is not the role of this Court to weigh the evidence and substitute its judgment for that of the administrative factfinder," and as the record as a whole contains substantial evidence to support the denial of Trooper's application, the Comptroller's finding that petitioner is not permanently incapacitated will not be disturbed.

The decision is posted on the Internet at:

http://www.nycourts.gov/reporter/3dseries/2019/2019_07129.htm

New York State Comptroller Thomas P. DiNapoli's audit finds that residents of many long-term care facilities in the state lack access to ombudsman services

Under the federal Older Americans Act of 1965, to be eligible for certain federal grants, each state is required to establish an Office of the State Long-Term Care Ombudsman. In New York, this office is within the New York State Office for the Aging (NYSOFA) and serves as an advocate and resource for the elderly and persons with disabilities who live in long-term care (LTC) facilities.

Among their duties, ombudsmen identify, investigate and resolve complaints made by or on behalf of residents. There are about 1,500 LTC facilities in the state, housing more than 160,000 residents who have a need for ombudsman services, according to NYSOFA.

Many residents of long-term care facilities in New York state lack regular access to ombudsman services due to a decline in the number of volunteers* and a severe shortage of paid staff, according to an audit released October 3, 2019 by State Comptroller Thomas P. DiNapoli.*

DiNapoli’s auditors found that as of January 2019, only about 600 of the state’s LTC facilities have an assigned volunteer ombudsman, leaving the remaining 900 facilities to be covered by just 50 paid local staff, about half the minimum number recommended in NYSOFA’s guidelines, which are based on information from the Institute of Medicine.

Eleven of NYSOFA’s 15 regional programs fell short of the recommended minimum number of staff for the federal fiscal year (FFY) ended Sept. 30, 2018, and about 30 percent of facilities were not visited by an ombudsman during that period. New York City, the region with the highest number of residents and facilities, was recommended to have 28 staffers, but had only five.

New York’s paid staff per 2,000 beds ranked 39th compared to other states as of Sept. 30, 2017.

According to NYSOFA, the number of facilities associated with at least one complaint increased significantly – by about 84 percent – from 247 in the FFY ended Sept. 30, 2016 to 454 in the FFY ended Sept. 30, 2018. Nearly all complaints – 98 percent – arose from facilities that had been visited prior to the complaint, indicating that an ombudsman’s visit plays a role in a key part of the office’s mission: being accessible to residents who wish to air their concerns.

Although ombudsmen may be volunteers or paid staff, NYSOFA relies heavily on citizen-volunteer ombudsmen to visit the LTC facilities and make contact with their residents. Each regional program has a full-time, paid ombudsman coordinator who recruits, trains and supervises its volunteers. Still, recruitment and retention has been a problem. NYSOFA data show a 37 percent decrease in the number of volunteer ombudsmen during the three-year period ending Sept. 30, 2018. NYSOFA officials suggested that a restructuring of the program that resulted in larger service areas for a reduced number of local offices could have contributed to the decline, and cited other recruitment and retention challenges.

To help retain volunteers. NYSOFA said that some regional programs have begun paying a monthly stipend to some volunteers who work at least four hours per week conducting additional facility visits or entering data.

DiNapoli’s auditors also found issues with ombudsman training. A look at training records for 50 volunteers for one calendar year found that 31, or 62 percent, did not meet the annual training requirements. That included 12 volunteers who missed four of the six annually required in-person training sessions.

Office personnel use an electronic system to maintain all information required by the federal Administration for Community Living (ACL) through that agency’s National Ombudsman Reporting System (NORS). This includes information on complaints received and investigated as well as number of facilities covered by the office, number of staff and volunteers in each region, and related training activities.

Auditors determined that certain data maintained in NYSOFA’s computer system may not be reliable. They found, at the individual entry level, incomplete fields and differences with other supporting information – that may limit the data’s usefulness in analyzing results and trends. For example, a comparison of system complaint data to hard copy complaint documentation showed that 46 of the 66 system records reviewed either differed from the complaint form, had incomplete fields, or had both types of issues.

DiNapoli recommended that NYSOFA:

1. Improve the reliability of system-generated office data;

2 .Take steps to identify and understand reasons for the decline in volunteers and differences in regional program results;

3. Develop and implement strategies to improve access to ombudsman services, including access to volunteer ombudsmen;

4. Strengthen efforts to ensure that volunteer ombudsmen receive required annual training; and

5. Develop a long-term advocacy plan that is informed by reliable data and that identifies key advocacy goals and activities.

* Those interested in volunteering for the Long Term Care Ombudsman Program (LTCOP), please  call (855) 582-6769 or visit the NYS LTCOP website at: ltcombudsman.ny.gov. LTCOP will welcome your assistance.

NYSOFA officials agreed with the audit recommendations and indicated the actions they have taken so far to implement them. Their full response is included in the audit. Read the report, or go to: 

https://www.osc.state.ny.us/audits/allaudits/093020/sga-2020-18s48.pdf

Applying the terms of a settlement agreement settling a disciplinary action

During the course of Plaintiff's disciplinary hearing Plaintiff, represented by counsel, entered into a settlement agreement with the appointing authority [Employer] acting "on its own behalf and on behalf of its present and former ... employees." 

The settlement agreement provided that the Employer would discontinue the disciplinary proceeding and remove a letter of disciplinary charges from the Plaintiff's personnel file while Plaintiff agreed to retire from his employment with the Employer and to release the Employer and its employees "from all claims or causes of action he may have or claim to have . . . including any and all claims in any way arising out of, or related to, his employment with the Employer, or his separation from that employment."

Subsequently Plaintiff commenced an action to recover damages for defamation, alleging that the individuals [Defendants] named in his complaint, also employees of the Employer, had falsely accused him of actions that led to the disciplinary charges that were preferred by the Employer against him.

Defendants move to dismiss the complaint, submitting a copy of the settlement agreement that had been executed by the Plaintiff in connection with the discontinuance of the disciplinary proceeding that had been brought against him. Notwithstanding Plaintiff's argument to the contrary, Supreme Court granted the Defendant's motion "for failure to state a cause of action" and Plaintiff appealed.

The Appellate Division explained that [1] the terms of the release contained in the settlement agreement clearly and unambiguously encompass Plaintiff's action and [2] Plaintiff failed to allege any unlawful or wrongful threat by the Employer that could serve as the basis of a claim of duress, which was the only ground the plaintiff alleged to void the release. Thus, opined the Appellate Division, "the release executed by the [Plaintiff] should be enforced according to its terms."

The Appellate Division noted the following elements with respect to a release or settlement agreement that will be enforced by a court:

1. "A release is a contract, and its construction is governed by contract law;"

2.  "A party may move for judgment dismissing one or more causes of action asserted against him [or her] on the ground that . . . the cause of action may not be maintained because of . . . [a] release";

3 "Where . . . the language of a release is clear and unambiguous, the signing of a release is a jural act 'binding on the parties';"

4.  "Generally, a valid release constitutes a complete bar to an action on a claim which is the subject of the release"; and

5. "Although a defendant has the initial burden of establishing that it has been released from any claims, a signed release shifts the burden ... to the plaintiff to show that there has been fraud, duress or some other fact which will be sufficient to void the release."

The decision is posted on the Internet at:

http://www.nycourts.gov/reporter/3dseries/2019/2019_06588.htm

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The Discipline Book - A concise guide to disciplinary actions involving public officers and employees in New York State. For more information click on http://booklocker.com/books/5215.html