2 Conn. App. 551 | Conn. App. Ct. | 1984
Lead Opinion
The sole issue of this appeal1 is whether two lawyers who were members of the board of trustees of a privately endowed high school could, without a denial of due process rights accorded by the
The plaintiff teacher, upon receiving written notice that a termination of her contract was under consideration, requested a hearing before the board of trustees of the high school pursuant to General Statutes (Rev. *553
to 1983)
A member of a school board, when participating in an administrative hearing to determine if a tenured teacher's contract should be terminated, is acting in a quasi-judicial capacity. Catino v. Board of Education,
Since a tenured teacher has a constitutionally protected property interest in his or her employment, the question, in the context of this case, becomes what constitutes an impartial hearing panel sufficient to satisfy constitutional due process. Due process requires a fair hearing before a fair tribunal which principle applies with equal vigor to administrative adjudicatory proceedings. Gibson v. Berryhill,
In order to determine if the board in this case was constitutionally impartial, it is first necessary to determine what guidelines for disqualification prevail in an administrative hearing relating to a termination of a tenured teacher's employment contract. Differing standards for disqualification apply to different administrative hearings. Allen, "Disqualifying Agency Decision Makers," Litigation, Winter 1981, p. 15. Administrative hearings may be categorized as quasi-judicial, legislative, prosecutorial, or rulemaking.5 *555
The parties in the present case rely almost entirely, in their briefs, on Connecticut cases relating to the disqualification of members of zoning commissions, zoning boards, and planning commissions. Such cases provide helpful guidelines for the necessity of disqualification in some administrative hearings. The disqualification of members of such boards and commissions has been governed by specific statutes since the leading case of Low v. Madison,
A recent case, which does not discuss disqualification of a public official in terms of due process and which does not involve the application of General Statutes
Federal case authority is consonant with Connecticut cases. A line of federal cases, beginning in 1926, discuss general principles relating to the due process requirements of administrative hearings. All agree that due process is violated when there has been an impermissible risk of bias, or a lack of entitlement to an impartial and disinterested tribunal. Schweiker v. McClure,
During the period 1969 to 1979, "the Supreme Court has proceeded case-by-case in determining whether due process applies to various functions of administrative agencies, and in determining the specific process required." Note, "Due Process and Ex Parte Contacts in Informal Rulemaking," 89 Yale L.J. 194, 200 (1979).
The case of Simard v. Board of Education,
Although cases involving disqualification of members of zoning and planning boards and commissions have been relied upon by the parties for their respective positions, it is equally helpful to examine those statutes, rules and decisions which relate to the disqualification of judges, since boards of education, acting pursuant to General Statutes
"The same considerations which have led to the development of rules as to the disqualification of judicial officers for bias or prejudice, based on personal interest or the like, have been generally recognized as applicable to administrative officials as well, insofar as they act in a judicial or quasi-judicial capacity." Annot., 10 A.L.R. 3d 694, 696; 1 Am.Jur.2d, Administrative Law 63 through 69; see also Gibson v. Berryhill,
The rules which apply to administrators, however, are not always the same as those which apply to judges because administrators often perform functions which are foreign to judges. Any determination of whether there is impropriety or the appearance of impropriety on the part of a member of an administrative board is linked to the subsidiary determination of whether the board is acting in a legislative, prosecutorial or judicial role. "When an administrator acts as a judge, not a prosecutor or legislator, he must conduct himself like a judge. That means impartiality; the standard for judges set forth in
The constraints which ought to be imposed on administrators may be examined by making an analogy between the disqualification rules which apply to judges and those which, by derivation, should apply to those administrators who act as judges. Strauss, "Disqualifications of Decisional Officials in Rulemaking," *560
80 Colum. L. Rev. 990, 997 (1980). A judge usually determines issues in a case-unique proceeding, with an on-the-record adjudication of those issues, with the power to resolve issues involving specific parties and the power to impose sanctions and penalties against, or to grant awards to particular individuals. The test for judicial disqualification parallels the test for administrative adjudicative disqualification. Id., 1020-22. The due process requirements of an impartial hearing body in the quasi-judicial realm is equivalent to that requirement in the judicial realm. Withrow v. Larkin,
Connecticut has had a statute since 1672 requiring the disqualification of a judge in cases in which certain familial relationships exist between a judge and a litigant. General Statutes of 1672, p. 42. That statute is the progenitor of our present statute which prohibits a judge from hearing cases in which he has an interest or in which he and a litigant have a particular relationship.8
The purpose of the statute is to ensure that those *561
who participate in proceedings in a judicial capacity are disinterested in the proceedings. Dacey v. Connecticut Bar Assn.,
It is not only judges to whom the present statute or prior statutes apply. Those acting in a judicial capacity, in the sense that they preside over the receipt and examination of evidence and the taking of evidence from sworn witnesses, with a duty to make orders based on the evidence presented, are subject to the statutory prohibition. French v. Waterbury,
In determining the issue of the present case, it is assistive to examine the federal statutes which govern judicial conduct. There is a federal counterpart to the Connecticut statute. A judge must disqualify himself in any proceeding in which his impartiality might reasonably be questioned.
In order to resolve whether disqualification is necessary, the issue is not whether the judge is impartial in fact but whether the average person would question his impartiality. United States v. Gigax,
Canon 3 of the code of judicial conduct in Connecticut is very similar to
Hornbook law is relatively easy to state. The difficulty lies in applying it to a particular case. The question here is whether two of the members of the hearing panel, as members of a law firm which had represented and which currently represented one of the litigants, the school, in other unrelated matters and which listed the school as a representative client in legal advertising, must be disqualified even though they had no personal bias or prejudice, or knowledge of the particular case to be heard. All of the trustees were acquainted with the school and had been appointed by the school. Two of them, however, had a connection with the school, apart from their membership on the board of trustees, which might interfere with their impartiality. *563
Those who act in a quasi-judicial capacity as when deciding whether to terminate a tenured teacher's contract; Catino v. Board of Education, Supra; must disqualify themselves when their interests or relationships create the appearance of possible partiality. LaTorre v. Hartford,
When the school retained the law firm of two of the members of the school's board of trustees, it retained every member of the firm, and the attorney-client relationship which resulted included those members. Bossert Corporation v. Norwalk,
The present case is the once-removed kin of Bossert Corporation v. Norwalk, supra. In Bossert, a decision of the hearing body was declared invalid under General Statutes
The purpose of General Statutes
"[J]ustice must satisfy the appearance of justice." Offut v. United States,
Two members of the board of trustees of the school had a double-layered fealty to it. Their simultaneous relationship with the school and with their law firm is too close for procedural due process comfort. Their participation in the hearing was violative of the plaintiff's due process rights.
There is error, the judgment is set aside and the case is remanded with direction to reverse the decision of the board of the trustees.
In this opinion HULL, J., concurred.
Dissenting Opinion
The majority applies to the defendants a standard which the constitution does not demand of them, and it reaches a result which is inconsistent with the application of the proper standard. Therefore, I dissent. *565
The plaintiff, a female teacher at Norwich Free Academy, after a full administrative hearing before the eight members of the board of trustees of the academy, was found, inter alia, to have had intimate physical contact with one of the minor students of the academy; to have provided alcoholic beverages to several such minor students, including the one with whom she had intimate contact; to have consumed alcoholic beverages with them; to have permitted them to consume such beverages in her presence; and to have taken a student, who was inexcusably absent from class, to an athletic event and later to have covered for him by writing a note. On the basis of these findings, which she does not challenge on this appeal, the board of trustees terminated her contract of employment.
On appeal to the Superior Court, the plaintiff challenged the participation in the administrative proceeding of two of the members of the board on the ground that they were also members of the law firm that represented the academy in other, unrelated matters. One of the challenged members, Wayne G. Tillinghast, when requested by the plaintiff to disqualify himself from the administrative proceedings, had made remarks on the record which were subject to an interpretation calling into question his impartiality; the other challenged member, James J. Dutton, made no such remarks. The trial court heard evidence and specifically found that the law firm of which Tillinghast and Dutton were members represented the academy from time to time on relatively minor real estate matters; that the firm considered the academy as a representative client for purposes of advertising and legal publication; that at the time of the administrative hearing one of the other members of the firm was retained by the academy's insurer to represent it in a tort suit; that Tillinghast was not prejudiced against the plaintiff and had not prejudged the case; and that there was no evidence that *566 Dutton was prejudiced against the plaintiff or unfair to her in any way. The plaintiff does not challenge these critical findings on this appeal.
Her sole claim before us is that the participation of Tillinghast and Dutton in the administrative hearing violated her due process rights under the
I agree that had Tillinghast and Dutton been judges participating in a judicial proceeding, they would have been disqualified, because the relationship between their law firm and the academy would have violated the governing standard for judicial disqualification, which is the reasonable appearance of impropriety. "`The question is not whether the judge is impartial in fact. It is simply whether another, not knowing whether or not the judge is actually impartial, might reasonably question his [or her] impartiality, on the basis of all of the circumstances.'" Papa v. New Haven Federation of Teachers,
The majority, however, draws an equation between the standard governing judicial disqualification and the due process standards governing disqualification of administrative adjudicators. The principal authorities offered for this startling proposition are several passages *567
from a law review article; Strauss, "Disqualifications of Decisional Officials in Rulemaking," 80 Colum. L. Rev. 990 (1980); and from a passage from Withrow v. Larkin,
The proposition of the majority is contrary to the law. "The fact that [an administrative hearing officer] might have been disqualified as a judge . . . does not, either in principle or under the authorities, infect the hearing with a lack of due process." Lopez v. Henry Phipps Plaza South, Inc.,
The proper standard by which a due process claim of administrative disqualification is to be judged is stated in one of the United States Supreme Court cases which the majority opinion cites but does not discuss. "Mathews v. Eldridge,
The plaintiff's private interest in her continued employment as a teacher is, of course, weighty and is *569
entitled to due process protection. Lee v. Board of Education,
The trial court, after a full evidentiary hearing, specifically rejected the plaintiff's factual claim that Tillinghast and Dutton might be fearful of losing the academy as a client by not sustaining the charges against the plaintiff. The court also specifically found that Tillinghast was not prejudiced against the plaintiff, and had not prejudged the case, and that there was no evidence that Dutton was prejudiced against the defendant or unfair to her. It is axiomatic that "the burden of establishing a disqualifying interest rests on the party making the assertion." Schweiker v. McClure, supra, 196. Thus, the plaintiff did not carry any factual burden of showing actual harm to her by the participation of Tillinghast and Dutton.
Moreover, it is very significant that the plaintiff chose to have her case adjudicated by the academy's trustees, rather than, as was also her option, by a three person "impartial hearing panel" chosen as follows: one person chosen by the plaintiff, one chosen by the board, and one chosen by the two selected by her and by the board. General Statutes (Rev. to 1983)
Finally, the state has a strong interest in the control of its public educational system; Goss v. Lopez,
The result I reach is consistent with the distinct thrust of the authoritative federal cases applying the three-part due process test to analogous claims. In Schweiker v. McClure, supra, the Supreme Court found no due process violation where Medicare claims were adjudicated, even without a right of appeal, by hearing officers employed by the private insurance carriers which administered the claims. In Withrow v. Larkin, supra, the Court found no due process violation where a physician's right to practice medicine was both investigated and adjudicated by the very same administrative licensing board. In Lopez v. Henry Phipps Plaza South, Inc., supra, the court found no due process violation where an eviction case was heard by a hearing officer who was also the manager of another housing project, which was also owned by the corporate parent of the landlord in the case which he was adjudicating. In Wolkenstein v. Reville,
It is clear to me that in most or all of these cases a judge would have been properly disqualified from hearing the matter because of the appearance, rather than the actuality, of partiality. Papa v. New Haven Federation of Teachers, supra. This properly broad standard, deemed essential to public confidence in the integrity of the judiciary, does not apply to the administrative realm as a matter of due process of law. The majority opinion's equation, for disqualification purposes, between administrative adjudicators and judges ignores the factual findings of the trial court; ignores the applicable precedents; ignores a long history of administrative law; ignores a long-standing presumption that administrative hearing officers, even those who may appear partial, are unbiased unless shown to the contrary; and, in my view, imperils other administrative adjudicative proceedings which, for example, combine in one agency or administrator both investigative and adjudicative responsibility. See, e.g., General Statutes
My final disagreement with the majority lies in the rescript to the opinion, which orders that the case be remanded with direction to reverse the decision of the board. It does not address the question of whether either the board, shorn of Tillinghast and Dutton, or a statutory impartial hearing panel selected under General Statutes (Rev. to 1983)