77 Misc. 2d 904 | N.Y. Sup. Ct. | 1974
In an article 78 proceeding petitioners seek reinstatement to their positions as teachers. Petitioners are 5 teachers formerly employed in the school system of the 'City of Yonkers. Their claims raise two important issues in the area of academic freedom: (1) whether probationary teachers are entitled to a full plenary hearing at the administrative level prior to termination of their services; and (2) whether the respondent Board of Education has the power under section 3031 of the Education Law to grant tenure in the absence of a positive recommendation by the School Superintendent.
FACTUAL BACKGROUND
Petitioners are 5 of 7 teachers out of a group of 235 who were not granted tenure in the Yonkers School 'District in 1973. Apparently all petitioners were hired in September, 1970 for a three-year probationary period which expired on June 30,1973.
PROBATIONARY TEACHERS; FUNCTIONS OF BOARDS OF EDUCATION AND SUPERINTENDENTS; JUDICIAL REVIEW
The issues raised herein require a brief discussion regarding tenure and the respective functions of the Board of Education and School Superintendent. The primary purpose of tenure is to afford security to competent members of the education system (Matter of Boyd v. Collins, 11 N Y 2d 228). The tenure statutes as presently extant (Education Law, §§ 2509, 2573, 3012, 3013) were enacted to impose conditions on the Board of Education’s exercise of power in regard to hiring (Matter of McMaster v. Owens, 275 App. Div. 506). Prior thereto, boards had unlimited power to hire or refuse to hire teachers or renew their contracts (ibid). The cited sections are located
The superintendent’s primary function in regard to personnel is to screen all the candidates eligible for tenure and recommend the appointment of those who qualify by objective standards (Matter of Tischler v. Board of Educ., 37 A D 2d 261). Prior to 1972 it was well recognized that the board could not grant tenure in the absence of the positive recommendation of the superintendent (Matter of McMaster v. Owens, 275 App. Div. 506, supra; Matter of Gunthorpe v. Board of Educ., 41 Misc 2d 757; Matter of High v. Board of Educ., 169 Misc. 98, affd. 256 App. Div. 1074, affd. 281 N. Y. 815; Matter of Meehan, 11 Ed. Dept. Rep. 34; Matter of Marino, 11 Ed. Dept. Rep. 336; Matter of Porteous, 50 N. Y. St. Dept. Rep. 20; see Matter of Sechrest v. Board of Educ., 7 Misc 2d 297)
In matters regarding the discontinuance of a probationary teacher’s services, the Commissioner of Education initially took the view that the board had vast discretion which was not subject to his review (Matter of Williams, 53 N. Y. St. Dept. Rep. 164; Matter of Silver, 50 N. Y. St. Dept. Rep. 194). Similarly, the commissioner has refused to review the superintendent’s decision not to certify a probationary teacher for tenure (Matter of Payne, 42 N. Y. St. Dept. Rep. 382). However, it has been held that the courts in an article 78 proceeding will review the board’s denial of tenure upon claims of malevolent factors (Matter of Fallon v. Board of Higher Educ., 14 Misc 2d 9, affd. 9 AD 2d 766; see Hickey v. Carey, 86 N. Y. S. 2d 813, affd. 275 App. Div. 949; People ex rel. Graves v. Barber, 86 N. Y. S. 2d 532) where, for example, it is alleged that discontinuance was motivated by exercise of the teacher’s constitutional rights,
Boards of Education derive their powers from statutes (Smith v. Helbraun, 21 A D 2d 829) but it is uniformly held throughout the United States that they have vast discretion in personnel appointment and in the absence of violation of positive law the courts ordinarily will not review the wisdom or policy of a particular appointment or nonappointment (Matter of Council of Supervisory Assns. of Public Schools of N. Y. City v. Board of Educ., 23 N Y 2d 458; 3A Antieau, Independent Local Government Entities, § 30C.08; cf. Cleveland Bd. of Educ. v. LaFleur, 414 U. S. 632; Matter of Board of Educ. v. Nyquist, 31 N Y 2d 468).
Finally, it is to be noted that as of 1968 “ no article 78 proceeding has apparently ever been successfully brought to force a superintendent to recommend a teacher for tenure ” (Albaum v. Carey, 283 F. Supp. 3, 8). In the cited case subdivision 2 of section 3012 of the Education Law was challenged as constitutionally vague. Judge Weinstein observed that an article 78 proceeding could be commenced to review the nonrecommendation of tenure whenever claims of constitutional violations were asserted (supra, pp. 5-9). A three-Judge court was convened to determine the constitutional question and it was held that the statutory guidelines “ competent, efficient and satisfactory ” passed constitutional muster. The complaint was dismissed. It
1972' CHANGES
In 1972 the United States Supreme Court decided two matters which directly affect the rights of nontenured teachers, and the State Legislature enacted a provision of seemingly vast import. On June 29', 1972 the Supreme Court decided Board of Regents v. Roth (408 U. S. 564) and Perry v. Sindermann (408 U. S. 593). In Roth it was held that a nontenured college professor was not entitled to the reasons or a hearing upon his employer’s refusal to rehire him at the expiration of the employment term. The court did note that the. Fourteenth Amendment provided for procedural due process prior to a deprivation of liberty or property. Liberty would be involved where the underlying charges concerned the person’s reputation, honor or integrity (408 U. S. 564, 573); or where the failure to re-employ created a stigma that foreclosed the teacher from obtaining similar employment (ibid.). In this regard the court stated that it could not indulge in an “ assumption ” that nonretention would cause difficulty in taking advantage of other employment opportunities (408 U. S. 564, 574, n. 13). Insofar as property rights were concerned the court stated that procedural due process applies only where the person had ‘1 a legitimate claim of entitlement to it ” (i.e., re-employment, 408 U. S. 564, 577). The court further observed that when these rights have been established the guidepost for the formality and procedural requisites of the hearing vary depending upon the nature of the interest at stake (408 U. S. 564, 570). In Perry it was held that the nontenured college teacher had established an entitlement to job tenure upon proof of constructive tenure, which required the employer to give him a statement of reasons and a hearing on the decision not to retain him. In an unrelated development, the State Legislature on June 2, 1972 enacted section 3031 of the Education Law, effective July 1, 1972 (L. 1972, ch. 866). The statute (which is quoted, infra) in essence provides that where a nontenured teacher is not recommended for tenure he may request written reasons therefor and respond in writing prior to board action.
ISSUES AND ARGUMENTS
Petitioners claim a constitutional right ‘1 to have a meaningful opportunity to refute the charges made by the Superintendent ”, which I interpret to mean a plenary hearing before the board. Petitioners also contend that they have a statutory
PROCEDURAL DUE PROCESS' OF LAW
The court shall consider the constitutional issues first. There is no direct challenge to any provision of the Education Law in this case which requires the presence of the Attorney-General (Executive Law, § 71). Furthermore, it should be observed that the Commissioner of Education lacks power to adjudicate constitutional questions (Bevan v. New York State Teachers’ Retirement System, 74 Misc 2d 443) and has refused to determine whether a hearing before the board is a constitutional requisite to board action (Matter of Slater, 12 Ed. Dept. Rep. 275).
It is clear that Roth and Sindermamn (supra) have undermined the ruling in Bailey v. Richardson (182 F. 2d 46, affd. 341 U. S. 918) which held that public employment was a privilege not subject to due process guarantees. Nontenured teachers do have constitutional rights if deprived of liberty or property as defined in the above decisions (Comment, 73 Col. L. Rev. 882 [1973]; 1972/1978 Annual Survey of Amer. Law, pp. 541-550). While probationary teachers have not acquired precisely the same rights as those with job tenure, Roth-Sindermann affords them equivalent power to preclude arbitrary action by the board (cf. Note, Developments in the Law — Academic Freedom, 81 Harv. L. Rev. 1045, 1078-1084, 1090-4093 [1968]). However, petitioners have failed to establish deprivation of their “ liberty ” or “ property ” rights. The court has read the reasons assigned by the superintendent why petitioners were not recommended for tenure.
In post-Roth-'Sindermann decisions in this State by the Commissioner of Education (Matter of Shapiro, 12 Ed. Dept. Rep. 158) and the courts (Matter of Brown v. Board of Educ., 42 A D 2d 702; Board of Educ. v. Chautauqua Cent. School Dist. Teachers Assn., 41 A D 2d 47, 52; Matter of Baronoff v. Board of Educ., 72 Misc 2d 959; Socha v. Chiuchiolo, N. Y. L. J,, May
SECTION 3031 OF THE EDUCATION LAW
Before reaching the issues regarding section 3031 of the Education Law it is necessary to mention certain other facets of this case that appear in the papers. At least one petitioner complains in his written response to the board that he was not evaluated on one occasion during his probationary term as required under the collective bargaining agreement. Respondents correctly note that such contractual violation is irrelevant on the tenure question (Matter of Hauppauge Classroom Teachers Assn. v. Millman, 35 A D 2d 844, app. dsmd. 28 N Y 2d 483). Additionally, while the parties do not allege that the relevant notice provisions of the Education Law, including section 3031, were violated, it appears that the board meeting was adjourned at least once, that the superintendent’s written reasons may not have been furnished within the statutory seven-day period, and that one of the petitioners submitted his response only three days prior to the meeting (rather than no later than seven days prior thereto). These violations may be disregarded as mere irregularities (Matter of Hazard v. Board of Educ., 16 A D 2d 481; Matter of Brida v. Ambach, 69 Misc
Section 3031. of the Education Law was added by chapter 866 of the Laws of 1972 and provides:
“ Notwithstanding any other provision of this chapter and except in cities having a population of one million or more, boards of education and boards of cooperative educational services shall review all recommendations not to appoint a person on tenure, and, teachers employed on probation by any school district or by any board of cooperative educational services, as to whom a recommendation is to be made that appointment on tenure not be granted or that their services be discontinued shall, at least thirty days prior to the board meeting at which such recommendation is to be considered, be notified of such intended recommendation and the date of the board meeting at which it is to be considered. Such teacher may, not later than twenty-one days prior to such meeting, request in writing that he be furnished with a written statement giving the reasons for such recommendation and within seven days thereafter such written statement shall be furnished. Such teacher may file a written response to such statement with the district clerk not later than seven days prior to the date of the board meeting.
“ This section shall not be construed as modifying existing law with respect to the rights of probationary teachers or the powers and duties of boards of education or boards of cooperative educational services, with respect to the discontinuance of services of teachers or appointments on tenure of teachers.”
Petitioners, in their brief, set forth excerpts from the memorandum in support of the legislation. These quotations state in essence that the section is designed to afford additional procedural safeguards to teachers regarding their employment future, to enable probationary teachers to secure reasons for “ adverse action concerning their employment” and to enable teachers whose services are to be discontinued ‘1 an opportunity to respond in writing ”. There is absolutely no requirement in the statute, nor statements in the memorandum in support of the section, that such teachers be afforded a hearing. Mr. Justice
The next question and the crux of this case is whether section 3031 confers upon the board the power to grant tenure in the absence of a positive recommendation by the superintendent. There is little case law construing this recently enacted provision but my colleagues, Justices Dempsey and Beisheim, have had occasion to discuss the section. Both jurists have held that the notice requirements of section 3031 do not apply where the superintendent recommends tenure which is subsequently not granted by the board (Matter of Sonnenreich v. Board of Educ., Index No. 14572/72 [Sup. Ct., Westchester County, Jan. 11, 1973, Dempsey, J.]; Opert v. Board of Educ., 76 Misc 2d 1025; see Matter of Saderholm, 12 Ed. Dept. Rep. 207). Subsequently, in Matter of Brown v. Board of Educ. (76 Misc 2d 923) Justice Beisheim found it unnecessary to reach the issue presented here since he concluded that petitioner stated a cause of action for reinstatement based on impermissible reasons. The case is highly significant, however, because it holds that an article 78 proceeding is proper to review the superintendent’s decision not to recommend the teacher for tenure.
Three recent opinions from the Department of Education discuss section 3031 and must .be analyzed. In Matter of Waterman (13 Ed. Dept. Rep.-, No. 8714, Sept. 10, 1973) Acting Commissioner Ambach held that section 3031 did not apply where the superintendent notified the probationary teacher that she would not be recommended for tenure and her services would terminate upon expiration of the probationary period. The acting commissioner noted that the superintendent’s refusal to recommend is not a ‘£ recommendation ’ ’ within the meaning of subdivision 2 of section 3013 of the Education Law. It was held (p.-) ££ The refusal of the superintendent to make an affirmative recommendation that tenure be granted is not a recommendation, but rather a final act, and the board of education has no power to take any action at all in the absence of an
I cannot agree with the commissioner’s restrictive interpretation of the statute. In the memorandum in support of the statute, its provisions were summarized as providing for notification, written reasons and time to respond “ when tenure is not to be granted at the end of the probationary period ”. The conclusion reached in McGrath is commendable, for the statute literally read is equivocal as to whether dismissals “ during ” probation are encompassed therein; and the commissioner’s decision which affords teachers additional procedural rights in such circumstances is in accord with the spirit of the statute. Yet, the statute plainly refers to “ recommendations ” not to grant tenure. The quoted word is a misnomer in the statutory context because superintendents do not recommend persons for nontenure; rather they notify said persons that tenure will not be recommended and then forward to the board those names of persons recommended for tenure. Nonetheless, the board is aware of those persons not recommended for tenure and often, as here, passes a formal resolution terminating their services at the end of the probationary period.
The board is given the power to “ review ” those cases in which persons are not recommended for tenure. The commis
The board “ is given broad direction to take into account the intangible subjective factors that are impossible to enumerate but which are inherent in the choice of a permanent teaching staff for carrying on the work of1 the school district ” (Matter of Tischler v. Board of Educ., 37 A D 2d 261, 263-264). Thus, the board may affirm its prior resolution or reverse itself and grant tenure, in any of the individual cases before it, as in the sound exercise of its discretion it deems advisable. This task, one solely within the prerogative of the superintendent insofar as recommendations for tenure are concerned, may not be delegated (cf. Board of Educ. v. Associated Teachers of Huntington, 30 N Y 2d 122; also, see, Matter of Associated Teachers of Huntington v. Board of Educ., 33 N Y 2d 229). The court is aware of the principle that tenure provisions are in derogation of the common law and must be strictly construed (Matter of McMaster v. Owens, 275 App. Div. 506, supra). Furthermore, the general revision of the Education Law in the middle and late 1940’s which added the tenure provisions as they presently appear and which seemingly required the favorable recommendation of the superintendent as an absolute condition precedent to board action (ibid.), does not aid respondents. Statutes have hidden meanings (Williams v. Williams, 23 N Y 2d 592) and the 1972 legislation, in giving the board review power without modifying existing law regarding board power, changed the law in this respect without fundamentally altering the criterion
The board’s failure herein to review, without knowledge that it had the power to grant tenure, is fatal to its determination. Of course, the defect in not adhering to the statute is not sufficient for the court to award tenure (Rendell v. Alioto, 42 A D 2d 597) and the matter must be remitted for de novo review.
Accordingly, the petition is granted to the extent that the determination is annulled and the matter remitted to the board for review pursuant to section 3031 of the Education Law.
. Former subdivision 1 of section 2573 of the Education Law provided for a probationary period of three years. This was increased to five years by Laws of 1971 (eh. 116, § 10, eff. May 9, 1971). The new period was suspended until October 1, 1971 (L. 1971, eh. 1102). However, the five-year period is not applicable to teachers appointed for a probationary term prior to May 9, 1971 (L. 1972, ch. 953, § 16). Therefore, former subdivision 1 of section 2573 is applicable to this case.
. It is significant that in the first three cases cited, McMaster, Gunthorpe and High, which are often relied upon by the Commissioner of Education for the statement asserted in the opinion, the Superintendent in fact recommended tenure and the pronouncement of the principle was made preliminarily to resolution of the other issues presented. Nevertheless, the commissioner has repeatedly reaffirmed the principle mentioned.
. The reasons set forth are as follows:
Anderson (1) ineffective student control techniques
(2) inability to organize meaningful instruction
(3) inability to plan and structure instructions to meet the needs of individual students
(4) teaching techniques directionless in terms of goals and objectives that students can understand
*911 Hollender (1) inadequate teaching skills
(2) ineffective classroom management and student record keeping
(3) inability to individualize instructional program
(4) inappropriate use of instructional material
(5) inadequate student control techniques
Hunter (1) insensitive to needs of students
(2) inadequate curriculum planning
(3) ineffective organizational techniques
(4) inability to motivate students
Ramos (1) reluctance to follow standard procedures in terms of written reports on case studies
(2) inability to cooperate within the district guidance-psychologist-social worker team
(3) inability to follow through on assigned student case studies and families who require social work service
(4) failure to adhere to required time schedule
(5) irrelevant use of professional time
(6) ineffective participation in total school program
White (1) lack of adequate instructional planning
(2) failure to perform duty assignments satisfactorily
(3) unsatisfactory methodology and classroom performance