Rao v. Gunn
Rao v. Gunn
Opinion of the Court
OPINION OF THE COURT
Memorandum.
The judgment of Supreme Court appealed from and the order of the Appellate Division brought up for review should be reversed, with costs, and the determination of the New York City Transit Authority reinstated.
Petitioner, a permanent civil service employee of the New York City Transit Authority, was properly notified, pursuant to Civil Service Law § 75 (2), that the Transit Authority was initiating a disciplinary proceeding against him. He was unable to attend the scheduled hearing, however, because he was in the custody of the Department of Mental Hygiene, having been found not responsible for the stabbing death of his wife by reason of mental disease or defect (see, CPL 330.10, 330.20). We conclude that the Hearing Officer, after granting three adjournments, did not err in proceeding with the hearing in petitioner’s absence when it became clear that petitioner would be unable to attend in the foreseeable future.
The disciplinary charges were based on the same events that led to petitioner’s indictment, trial, verdict, and eventual involuntary commitment. His conduct, while not criminally culpable, justified both his commitment and the termination of his employment. That conduct was fully explored and was established beyond a reasonable doubt in the criminal proceeding, the transcript of which was admitted into evidence at the disciplinary hearing. Thus, petitioner had been given an opportunity to challenge the factual basis for the disciplinary charges in another forum with the fullest scope of procedural rights.
Though given the opportunity to reopen the hearing, petitioner never suggested what exculpatory evidence, if any, he might adduce if he were allowed to appear at the hearing. Nor did he make any attempt to reopen the hearing or otherwise challenge the Hearing Officer’s recommendation after he was released from in-patient treatment, but before the recommendation was approved by the Transit Authority several months later.
Our point is not, as the dissent suggests, that petitioner’s right to a hearing depends on his ability to establish an adequate defense on the merits. But "[underlying the neces
On the other hand, the Transit Authority had a legitimate and strong interest in resolving petitioner’s employment status promptly (see, Matter of Economico v Village of Pelham, supra, at 126). By the time the hearing was held, petitioner had been in the custody of the Department of Mental Hygiene and unable to carry out his duties for more than 22 months. Further delay would have imposed an unreasonable burden on the Transit Authority.
The dissent, ironically, faults the Transit Authority for waiting even this long, calling the administrative inconvenience "self-imposed” (dissenting opn, at 765), and suggesting that, because the agency delayed to some degree, it was obligated to wait indefinitely. In our view, however, the Transit Authority’s willingness to endure some delay, quite possibly in an effort to accommodate petitioner’s situation, should not preclude the argument that further delay would result in undue hardship. A contrary rule would only encourage precipitous action, rather than caution and accommodation.
In short, the risk of error under the procedures used was minimal, and the additional procedural protection sought by petitioner would have imposed substantial administrative and fiscal burdens on the Transit Authority with no apparent countervailing benefit to petitioner (see, Mathews v Eldridge, 424 US 319, 335). Under these circumstances, therefore, petitioner’s due process rights were not violated.
Dissenting Opinion
(dissenting). The narrow issue in this appeal is whether an agency of the State violates constitutional guarantees of due process of law when it takes a citizen’s property without hearing him, knowing he wishes to be heard but cannot, because another agency of the State prevents him
The facts are not in dispute. Petitioner was indicted and tried for manslaughter, second degree, for the October 13, 1979 stabbing death of his wife. On July 23, 1980 he was acquitted by reason of mental disease or defect and committed to the care of the Commissioner of Mental Hygiene. He remained hospitalized until December 2, 1983. At the time of the homicide, petitioner was employed as a token clerk by the Transit Authority with permanent status. As such he had a property right to his employment which could not be taken from him without due process of law (Matter of Economico v Village of Pelham, 50 NY2d 120, 125; Matter of Simpson v Wolansky, 38 NY2d 391; see, Board of Regents v Roth, 408 US 564). Thus, on January 5, 1982, some 18 months after the conclusion of the criminal trial, the Transit Authority instituted disciplinary proceedings to terminate his employment by mailing notice of the charges to petitioner at South Beach Psychiatric Center, where he was confined, and ordering him to appear at a hearing to be held on January 21, 1982. Petitioner responded that the Center would not permit him to leave but that his father, who was not a lawyer, would appear on his behalf. The Authority also sent a notice to the hospital and petitioner’s physician advised it that petitioner could not leave the hospital grounds. The hearing was adjourned three times, until May 27, 1982 when the Hearing Officer proceeded with the hearing in petitioner’s absence. No witnesses were called; instead, a copy of the transcript of the criminal trial was received in evidence and the authority rested. The Hearing Officer stated that he would hold the record open "until about June 15, 1982” in the event petitioner was released. More than two years later, in July 1984, the Authority adopted the Hearing Officer’s recommendation and removed petitioner from his job. Petitioner claims that termination without giving him an opportunity to be heard violated his constitutional rights to due process of law.
Due process is not a static concept and its extent varies depending on a variety of considerations. Generally, three distinct factors are considered: "[f]irst, the private interest that will be affected by the official action; second, the risk of an erroneous deprivation of such interest through the procedures used, and the probable value, if any, of additional or substitute procedural safeguards; and finally, the Government’s interest, including the function involved and the fiscal
The majority does not deny petitioner was entitled to be heard, but it finds appropriate the procedure the Authority followed in this case. Applying the Mathews factors on an ad hoc basis, it holds respondents cannot be faulted because the Authority adjourned the hearing three times, it was not clear petitioner would be able to appear in the foreseeable future and because it held the Hearing Officer's recommendation for three months so petitioner could move to reopen upon his release. More importantly, however, addressing the second and third Mathews factors, it finds the case for petitioner’s removal conclusive because the facts had been established at the criminal trial, and petitioner offered no exculpatory evidence to contradict those facts, and the burden on the agency by further delay justified its actions. I do not find these reasons persuasive.
A due process right to be heard requires an opportunity to be heard "at a meaningful time and in a meaningful manner” (Armstrong v Manzo, 380 US 545, 552). The opportunity provided petitioner was not "meaningful” within the spirit of the Constitution. Indeed, the Authority made little effort to hear his side of the case although it was fully informed of petitioner’s desire to attend and his inability to do so. Petitioner responded to the notice of hearing by promptly writing the Authority, stating his desire to appear and noting that he was unable to do so. He arranged for his father to attend the hearing, and his father told the Hearing Officer that petitioner desired to appear and present his side of the story. Petitioner continued to preserve this position by insuring that someone appeared on his behalf on each adjourned date. His good faith in requesting further adjournments, based on his doctors’ advice that he would soon be able to participate, is
Knowing of pétitioner’s concern and of his confinement the Authority nevertheless decided to proceed in petitioner’s absence without advising him that further adjournments would not be granted, requesting that he submit a written statement in response
Nor do I agree with the contention that petitioner’s presence at the hearing was unnecessary because misconduct had been conclusively established at the criminal trial. Before acting, the Authority had the burden of establishing two things — whether petitioner was chargeable with misconduct and, if so, the appropriate penalty (see, Civil Service Law § 75). Although it could have based a determination of misconduct on the findings of the criminal court (see, Matter of Brockman v Skidmore, 39 NY2d 1045; see also, Villanueva v Simpson, 69 NY2d 1034), it was not bound by them. It clearly had discretion to find petitioner not responsible and to impose a lesser sanction than removal. But whether it chose to do so or not, petitioner was entitled to be heard before these questions were resolved so that he could attempt to show that he was not responsible for killing his wife, as the criminal jury had found, that any sickness or disability he suffered had been removed and that he was, as his doctors’ attested, able to return to
Finally, the Authority’s action cannot be justified by the burden or inconvenience imposed on it. I agree that public agencies are constrained to move expeditiously, to maintain staff and avoid unnecessary expense. But the record makes clear that any burden resulting from delay in this case was self-imposed. Even if the Authority chose to await the outcome of the criminal proceedings, it could have scheduled the hearing as soon as petitioner’s trial was over. It did not do so but waited an additional 18 months before commencing this proceeding and then over two years more after the Hearing Officer closed the hearing and issued his recommendation of dismissal before terminating petitioner’s employment. Under the circumstances, the Authority’s claim that it could not wait beyond May 27 to hear petitioner’s side of the story, particularly when it failed to take any effort to accommodate petitioner’s known difficulties, is entitled to little consideration.
There is no question of what constitutional due process, as
Chief Judge Wachtler and Judges Kaye, Alexander, Ti-tone, Hancock, Jr., and Bellacosa concur in memorandum; Judge Simons dissents and votes to affirm in an opinion.
Judgment appealed from and order of the Appellate Division brought up for review reversed, etc.
Although the notice originally sent petitioner did notify him of the right to respond to the charges in writing, it also "ordered petitioner to attend the hearing under penalty of insubordination”. The inference is unmistakable: his absence would severely prejudice his case.
Reference
- Full Case Name
- Salvatore D. Rao v. David Gunn, as President of the New York City Transit Authority
- Cited By
- 5 cases
- Status
- Published