State Division of Human Rights v. New York State Department of Correctional ServicesState Division of Human Rights v. New York State Department of Correctional Services
OPINION OF THE COURT
The core issue pressed upon this court by all the parties
The State Department of Correctional Services answered the instant application for enforcement by arguing that it was untimely brought under section 298 of the Executive Law and that, on the merits, the award was fatally defective in being predicated upon a record lacking substantial evidence and an erroneous ruling of substantive law. While conceding that there is “no question” that the State is “subject to” the Human Rights Law, the State Comptroller argued that the commissioner’s jurisdiction did not extend to entertaining money claims against the State under section 297 of the Executive Law because the Constitution (art VI, § 9) vests “exclusive” jurisdiction over
The second matter is before this court in a different posture. The commissioner obtained on complainant Mitchell Greebel’s behalf an order on default from this court dated December 1, 1980 to enforce an unappealed award against the State Parks and Recreation Commission covering back pay (less deductions) in the amount of $1,396.80, with interest, plus $500 for mental anguish. The State Comptroller seeks leave to intervene and set aside this order because the commissioner has threatened to initiate contempt proceedings for noncompliance. The Comptroller raises the identical constitutional arguments set out in the Geraci matter. Additionally, he points out that in Greebel’s case the award for lost earnings was predicated on an assumption that but for the State’s wrongful act of discrimination in refusing to hire Greebel, a Sabbath observer, he would have been appointed to the civil service position; however, argues the Comptroller, the commissioner’s acting on this assumption in fixing the amount of damages unlawfully trenched upon the constitutional mandate of the Department of Civil Service, which must pass upon all such appointments, including noncompetitive summer positions such as the one sought by complainant. The latter department seeks leave to intervene with respect to that portion of the award charaсterized as lost earnings, and points out that the Comptroller could not lawfully authorize payment from personal service appropriations absent its certification of the payroll. As already noted, the commissioner has consented to the Comptroller’s intervention though “seriously” questioning the need for intervention by the Civil Service Department.
Taking each matter in turn, we conclude initially that the commissioner’s application for enforcement on behalf of complainant Geraci was timely. The last sentence of section 298 of the Executive Law requires that a “proceeding under this section when instituted by any com
Insofar as the issue of substantial evidence is belatedly raised by the Department of Correctional Services, which failed to take an administrative appeal or to seek judicial review, we note preliminarily that under Matter of State Div. of Human Rights v Bystricky (
Presumably, however, the issue of whether the commissioner’s order was “in conformity with * * * the laws of the state” (Executive Law, § 297-a, subd 7, par a) is as much before this court in this enforcement proceeding as is the issue of substantial evidence (Executive Law, § 297-a, subd 7, par d), and it is this issue that we resolve against the commissioner.
The Department of Correctional Services properly points out that while this matter was pending before the State Division of Human Rights and the Human Rights Appeal Board, the Court of Appeals ruled that there was no violation of section 54 of the Civil Service Law in imposing a maximum age limit of 32 for New York City correction officers (Matter of Figueroa v Bronstein,
A reviewing court, however, is required to apply the law as it exists at the time of its decision, absent a vesting of rights not present here (see Kelly v Long Is. Light. Co.,
Accordingly, the commissioner’s application to enforce the award to complainant Geraci must bе denied.
In the second matter we find the issues raised by the Comptroller and the Department of Civil Service to be
Insofar as the issue of lost earnings is concerned, we disagree with the intervenors that the commissioner’s order violated the rule laid down in City of Schenectady v State Div. of Human Rights (
Insofar as the issue of mental anguish compensation is before us, we call the intervenors’ attention to the fact
The intervenors offer no convincing rationale for shielding the State from awards of either damages for
The core issue in both the matters before us, however, is whether the commissioner could entertain a money claim against the State, and whether this court could enforce the resulting money award.
Both the Attorney-General’s opinion referred to earlier and the Fourth Department in State Div. of Human Rights v State of New York, Dept. of Mental Hygiene, Rome Developmental Center (
Insofar as the commissioner’s own jurisdiction is concerned, it is pertinent to refer to the Court of Appeals decision in Matter of Board of Higher Educ. v Carter (
The Comptroller’s argument is that the Legislature could not have granted the commissioner power to award such money damages against the State when jurisdiction over such money claims had been exclusively vested in the Court of Claims. The answer is that adjudication of money claims against the State has been entrusted by the Lеgislature to a variety of administrative agencies in full knowledge that the Court of Claims does not have a corner on the market.
As a technical matter, under the Constitution (art VI, § 7),. the Supreme Court is vested with general original jurisdiction in law and equity, and claims against the State cannot be adjudicated in that forum for the simple reason that the doctrine of sovereign immunity prevents the exercise of personal jurisdiction over the State absent its consent. The Supreme Court does, however, have subject matter jurisdiction. (See Kagen v Kagen,
The historical fact is that the Court of Claims has never been vested with jurisdiction over a well-defined corpus classifiable as “money claims”, and a substantial number of such claims have been entrusted to the jurisdiction of other agencies of the State exercising adjudicatory functions. A significant part of that court’s jurisdiction is the exercise of what used to be the Legislature’s inherent power to reduce, through private bills, claims against the State to money awards, i.e., legislative fact finding and rule making of narrow application, whether denominated “adjudication”, “auditing” or “assessing” (see People ex rel. Palmer v Travis,
The Comptroller’s alternative argument that this court is not possessed of jurisdiction to enforce the commissioner’s order appears to be based on the faulty premise that the term money claims include claims already reduced through adjudication to legal rights enforceable against the State despite its immunity. Indeed, the express provision in section 298 of the Executive Law for the commissioner to “obtain an order of [the] court” for the enforcement of the commissioner’s orders would appear to merely restate the availability of a special proceeding in the nature of mandamus under CPLR article 78, to which the doctrine of sоvereign immunity has no relevance.
In analyzing claims against the State or its agencies for money, it must always be borne in mind that the sovereign has traditionally been subject to suit with or without consent throughout the whole range of law. The original meaning of the expression, “The king can do no wrong”, meant precisely the opposite of what it is commonly understood to mean today. As Maitland explains it, the origin of the notion that the sovereign’s consent to suit was required came about because the king could not practicably issue or enforce his writs against himself, so his aggrieved subject would proceed by way of a petition of right. With the advent of republican government, however, there was no one to whom such a petition could be addressed but the Legislature; upon this perceived need for legislative consent was erected the doctrine of sovereign immunity in American law. What is often forgotten, however, is the fact that the citizen aggrieved by his republican government lost but half his remedy in the transformation; the writs of mandamus, certiorari and habeas corpus still ran against government officers, who could also be sued for damages. By their very nature, these latter remedies have never required the sovereign’s consent. (See Jaffe, Suits Against Governments and Officers: Sovereign Immunity, 77 Harv L Rev 1, 1-5, 16; see, also, Glassman v Glassman,
It is thus not surprising to find that the consent of the State is likewise superfluous when injunctive relief (see Wright v Shanahan,
It has long been the law of this State that mandamus to compel an officer to perform a specific duty enjoined upon him by law is not the sort of claim аgainst which the doctrine of sovereign immunity can properly be raised by the State. (See Wright v Shanahan,
Mandamus is available in this State to secure relief on a variety of theories that could be considered claims for money against the State (e.g., Board of Educ. v Levitt,
Central to the distinction between a claim remediable in mandamus and one remediable in the Court of Claims is the notion that the liability of the State for the particular claim has already been established by law; to this extent, the term “claim” is imprecise. (See M.L. Improvement Corp. v State of New York,
As a legal remedy controlled by equitable principles (see Matter of Getter v Veteran,
Of course, under this analysis the Comptroller’s argument that he should have been joined as a party to the administrative proceedings befоre the commissioner is clearly incorrect. The claims involved have been liquidated and the State’s liability fixed by the very administrative machinery set in place by the Legislature for such purpose. The Comptroller’s role as auditor under the State Constitution (art V, § 1) and State Finance Law (§ 109, subd 4) would therefore be purely ministerial. (See People ex rel. Desiderio v Conolly,
Yet the Comptroller correctly points out that he cannot be compelled to pay the sum as directed by the commissioner’s order, as enforced by this court, without an appropriation of money from the Legislature on which to draw.
All of this could be avoided if there were an appropriation for orders of the commissioner as there is for the Court of Claims; however, the arguments of the commissioner indicate that until recently the Comptroller’s practice was to draw on personal service apprоpriations to cover back-pay orders. The Comptroller does in fact appear to have a certain degree of discretion under the State Finance Law (§ 52) in defining the various sorts of expenses to be met by appropriations; however, the award of damages representing lost earnings for nonappointment in the Greebel matter would not appear to fall within the personal service category because, as the Civil Service Department pointed out, the practice is for the department to certify the payroll before the Comptroller will act on it. Since the Civil Service Department never in fact exercised its constitutional prerogative (City of Schenectady v State Div. of Human Rights,
A review of the 1982 State budget, however, discloses that the Legislature has made enough of an appropriation ($11,000) to cover damages adjudicated in the small claims audit provided by the State Finance Law (§ 8, subd 12-a) (L 1982, ch 50, Sen Print 7670, p 315 [Budget, State Purposes, Reg Misc, All State Depts and Agencies, Special Departmental Charges]). Subdivision 12-a authorizes the Comptroller to entertain, outside of the Court of Claims Act, demands for damages not exceeding $5,000 for “injuries to personal property, real property, or for personal injuries cаused by the tort of an officer or employee”. Among the personal injuries defined as such by the General Construction Law (§ 37-a) are libel and slander, and that provision has also been construed to include violations of the Civil Rights Law (see Riddle v MacFadden,
We note that the requirement in subdivision 12-a of section 8 of the State Finance Law respecting the Parks and Recreation Commission’s submission to the Cоmptroller of its request for payment of the sum directed to be paid by the commissioner’s order could be deemed met by the proceedings before the commissioner, and the second re
Accordingly, the application for enforcement in the Geraci matter is denied for lack of a basis in law supporting the award, and that part of the motion by the Comptroller and the Civil Service Department to vacate this court’s enforcement order in the Greebel matter is denied because there is no jurisdictional infirmity or practical difficulty in obeying that order.
Damiani, J. P., Titone, Lazer and Gibbons, JJ., concur.
Proceeding by the State Division of Human Rights pursuant to section 298 of the Executive Law, inter alia, to enforce its determinаtion dated June 28,1978, on behalf of claimant Santo Geraci, and motion by the New York State Department of Audit and Control and the New York State Department of Civil Service to intervene and vacate an order of this court dated December 1, 1980 granting enforcement of an order of the Commissioner of . Human Rights dated April 25, 1980.
Application denied, without costs or disbursements, and motion granted only to the extent that intervention is sought and otherwise denied.
Notes
. The commissioner declined to oppose the Comptroller’s application to intervene in the Greebel matter; instead, the commissioner urges this court to resolve on the merits in both matters the “basic question of the legislative mandate that the Division investigate, hear and seek to remedy proven claims of unlawful discriminatory practices even when filed against the State agencies and employers”. It was noted by the Comptroller that the Commissioner had been unable to obtain clarification of that mandate from the State Legislature in 1977 and 1978. Obviously the commissioner, disappointed in the legislative process, hopes for better luck in the courts.
. The Human Rights Law expressly authorizes two kinds of monetary relief: “back pay” as incident to appointment, reinstatement or upgrading (Executive Law, § 297, subd 4, par c, cl [ii]) and “compensatory damages” (Executive Law, § 297, subd 4, par c, cl [iii]). (See Sears v New York State Div. of Human Rights,
. In both matters interest was preaward and calculated from an intermediate date (see CPLR 5001, subd [b]). This was consistent, apparently, with the parties’ practice of viewing employment-related discrimination claims as either breach of contract or injury to property (employment position) claims under CPLR 5001 (subd [a]). The Comptroller raised the argument that, as stated in Matter of Gordon v Board of Educ. (
. The Legislature’s power to pass “private bills”, however, has long since passed into history — and partially into the Court of Claims (see NY Const, art III, § 19; Williamsburgh Sav. Bank v State of New York,
. Compare Court of Claims Act (§ 20, subd 5) with CPLR 5207 and Court of Claims Act (§ 20, subd 3); see People ex rel. Palmer v Travis,
. See Civil Service Law, §§ 75, 77: Education Law, § 3020-a; US Code, tit 5, § 702; Marbury v Madison, 1 Cranch [5 US] 137; United States v Schurz,
. The general rule is that private corporations (as distinguished from public corporations or other governmental entities) can be compelled to perform a ministerial duty or to act reasonably in the exercise of discretion only if the duty to act is specifically and plainly imposed by law rather than by contract (see People v New York, Lake Erie & Western R.R. Co., 104 NY 58, 67). The distinction has been as difficult to preserve over the years as it has been to perceive in any given case (e.g., People ex rel. Dilcher v German United Evangelical St. Stephen’s Church of Buffalo,
A straightforward application of mandamus is coercing manаgement compliance with corporators’ rights in corporate governance, such as meeting and voting rights (see Matter of Auer v Dressel,
Mandamus also lies to enforce membership rights arising from corporate rather than contractual association status (see Matter of Phalen v Theatrical Protective Union No. 1.,
The well-established though difficult distinction between legal and contractual duties enforceable in mandamus has eroded in recent years in cases involving disciplined students and teachers in private educational institutions. Since student and teacher relationships with such private organizations are basically contractual (tuition in exchange for instruction or wages in exchange for services), mandamus would not lie (see People ex rel. Kelsey v New York Post-Graduate Med. School & Hosp.,
. By definition government contracts have a public dimension because of the public status of the government party, and because of the contracts’ being an exercise of sovereign power albeit narrowly applied in the form of a set of rules governing the relations of the parties to the contracts. In a sense, the government can be said to have bound itself (and its officers) by contract in the same way it binds itself by statute or judicial decision; therefore, once a party has come within the terms of a contract’s provisions for government action upon that party’s performance of his contract obligations, mandamus ought to lie to compel such government action. This conclusion will not bear analysis. Though the State acts not as a sovereign but as a corporate entity when it enters into a contract (see City of Indianapolis v Indianapolis Water Co., 185 Ind 277), claims against it arising out of such contract cannot be enforced except in the Court of Claims because of the doctrine of sovereign immunity (see Bridge’s Sons v State of New York,
With respect to the first theory, the private party contracting with the State or local government must study the pertinent statutes and local ordinances, by-laws and regulations to ascertain the amenability of the government party to an action at law and the existence of any administrative or quasi-judicial auditing machinery that could resolve contract claims within the government entity — subject to review in a proceeding in mandamus or certiorari (now provided in CPLR article 78). (See Matter of Wilaka Constr. Co. v McAneny,
With resрect to the second theory, New York is heir to ancient common-law principles that analyze public employment cases, including salary claims, as matters of property rather than contract law: An officer holds title to his office, and a tenured employee holds title to his position; therefore removal or dismissal in violation of law is analyzed in terms of ouster rather than defeasance of title or breach of contract, thus permitting recourse to proceedings under what is now CPLR article 78 to obtain reinstatement to the office or position and all its emoluments (see Nichols v MacLean,
. Mandamus does not issue if there is an adequate legal (as distinguishеd from equitable) remedy such as an action at law (People ex rel. Frost v New York Cent. & Hudson Riv. R.R. Co.,