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MATTER OF WARMACK v. JACOBS

Supreme Court, Special Trial Term, New York County.
Mar 13, 1961
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Case Summary: In the Matter of Curtis Warmack v. Morris A. Jacobs

Factual and Procedural Background

Petitioner Curtis Warmack, an honorably discharged veteran employed by the New York City Department of Hospitals, was charged with certain acts including two acts of physical assault. As a veteran he received a full civil service hearing before a hearing officer, who found him guilty of one of the charged acts and recommended dismissal. The respondent, Morris A. Jacobs, Commissioner of the Department of Hospitals, reviewed the hearing officer's recommendation and sustained the finding, dismissing petitioner from employment.

Petitioner instituted an article 78 proceeding seeking review and annulment of the Commissioner's determination. Special Term held final determination in abeyance and referred a single stated issue for trial: "Whether the respondent ... Commissioner ... made an informed decision as required by law, concerning the dismissal of the petitioner herein from the Department of Hospitals."

At the trial of the referred issue the uncontradicted testimony established that the hearing officer prepared a typed report on December 4, 1959, forwarded a copy to petitioner's attorney, and that exceptions were filed. The report, exceptions and file were sent to the Commissioner on December 9, 1959. The hearing officer testified to discussions with the Commissioner on December 3 (or 4) and again on December 9. The Commissioner testified that he discussed the case with the hearing officer, read the entire file, the hearing officer's report and the petitioner's exceptions on December 9, 1959, studied them and on that date affirmed the hearing officer's recommendation. A stenographic transcript of the minutes was not prepared or available to the Commissioner by December 9, 1959.

Legal Issues Presented

  1. Whether the respondent Commissioner made an informed decision as required by law concerning the petitioner's dismissal from the Department of Hospitals (the specific issue referred for trial).
  2. Whether the Commissioner's failure to have and review a transcript of the stenographer's minutes and/or to review the petitioner's exceptions before making his determination voids the determination.
  3. Whether the Commissioner's determination constituted an abuse of discretion (not decided here because that issue remains sub judice in the pending article 78 proceeding).

Arguments of the Parties

Petitioner's Arguments

  • The Commissioner failed to review the stenographic transcript of the hearing and failed to review the exceptions submitted by petitioner's attorney; therefore the Commissioner's decision was not based upon the "record" required by section 75 of the Civil Service Law and cannot be an "informed decision".
  • Relying on authorities, petitioner contended the Commissioner's failure to read the transcript and exceptions amounted to a lack of independent appraisal and thereby reversible error. Cases relied upon included Matter of Weekes v. O'Connell; Morgan v. United States; Matter of Kelly v. Monaghan; and Matter of Kilgus v. Board of Estimate.
  • Petitioner also argued that the Commissioner's termination of employment constituted an abuse of discretion on the facts of the case.

Respondent's Position / Testimony

  • The hearing officer prepared a report on December 4, 1959, which was sent to petitioner’s attorney; exceptions were filed; the report, exceptions and file were sent to the Commissioner on December 9, 1959.
  • The Commissioner testified that he discussed the case with the hearing officer on December 3 and again on December 9, read the entire file, the hearing officer's report and the petitioner's exceptions on December 9, studied them, and thereafter affirmed the hearing officer's recommendation to dismiss.
  • The Commissioner did not have or read a stenographic transcript of the hearing because none was prepared as of December 9, 1959.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
Matter of Weekes v. O'Connell ( 304 N.Y. 259 ) Shows that where an administrative body made its order shortly after a subordinate's hearing and without a transcript, it simply followed the subordinate and did not make an independent decision. The court distinguished Weekes because there the agency acted within one hour of the hearing without a transcript; here the Commissioner had discussions with the hearing officer, reviewed reports and exceptions and reached an independent conclusion.
Morgan v. United States ( 304 U.S. 1 ) Relied upon by petitioner (no specific principle discussed in this opinion beyond citation). The court noted petitioner relied on Morgan but did not treat it as controlling on the facts before the court.
Matter of Kelly v. Monaghan ( 9 A.D.2d 92 ) Held that where a commissioner approved a deputy's dismissal recommendation the same day and a transcript was absent, the presumption of regularity could be rebutted and an informed decision not proven. The court observed Kelly contains language stating a commissioner is not required to read the transcript (citing Taub), but distinguished Kelly on its facts (there were 700 pages of testimony and no proof of discussion with the trial commissioner), unlike the present case.
Matter of Kilgus v. Board of Estimate ( 308 N.Y. 620 ) Illustrates an administrative body that failed to exercise independent judgment and instead deferred to a subordinate, based on testimony that board members relied on a trial committee. The court found Kilgus distinguishable: in Kilgus the administrative body made clear it made no independent appraisal; here the Commissioner gave uncontradicted testimony showing independent consideration.
Matter of Taub v. Pirnie ( 3 N.Y.2d 188 ) Considered the leading case on what constitutes an "informed" decision; holds emphasis is on whether the administrative body had the opportunity to make an informed decision rather than a mechanical requirement to read a transcript. The court relied on Taub to conclude that a determining officer is not automatically disqualified for failing to read a transcript if he had access to and actual knowledge of the facts and issues, and there is no clear revelation that he made no independent appraisal or reached no independent conclusion.

Court's Reasoning and Analysis

The court analyzed the factual record and the cited authorities and concluded the cited cases did not control the present situation. It reviewed the uncontradicted testimony of the hearing officer and the Commissioner concerning the procedural chronology: the hearing officer's report was typed on December 4, 1959; exceptions were filed; the report, exceptions and file were sent to the Commissioner on December 9, 1959; the hearing officer had discussions with the Commissioner on December 3 (or 4) and December 9; the Commissioner reviewed the file, read the report and the exceptions on December 9, studied them, and affirmed the recommendation.

The court distinguished earlier decisions where an administrative decision was a mere, immediate adoption of a subordinate's findings without independent consideration (Weekes, Kilgus, Kelly). The court considered Matter of Taub v. Pirnie controlling on the issue of what constitutes an "informed" decision: Taub emphasizes that administrative bodies need the opportunity to make an informed decision and that absence from a hearing or non-reading of a transcript does not automatically disqualify a member or officer if there is no clear showing of lack of independent appraisal.

Applying Taub and the facts established at trial (a relatively brief hearing of about 15 pages of transcript, a two-page detailed report by the hearing officer, uncontradicted testimony that the Commissioner discussed the matter with the hearing officer on two occasions and read and studied the file and exceptions), the court concluded the Commissioner had the material and relevant information impartially presented to him and exercised an informed and independent judgment in approving the hearing officer's recommendation. The presumption of regularity of the Commissioner's determination was sustained and not overcome by petitioner.

The court expressly declined to consider petitioner's separate contention that the Commissioner's determination constituted an abuse of discretion because that issue remained sub judice in the pending article 78 proceeding before Special Term.

Holding and Implications

Holding: The referred issue was decided in the affirmative: the respondent Commissioner did make an informed decision as required by law concerning the dismissal of the petitioner from the Department of Hospitals.

Implications and direct effects:

  • The court overruled petitioner's contention that the Commissioner's failure to have the stenographic transcript before him voided the determination; on these facts the transcript was not required for an informed decision.
  • The presumption of regularity attending the Commissioner's determination was sustained by the uncontradicted testimony and was not overcome by petitioner.
  • The separate claim that the determination was an abuse of discretion was not addressed and remains pending in the article 78 proceeding before Special Term.

The opinion applies existing authority to distinguish the present facts and does not announce any broader or novel precedent beyond its factual holding.

Show all summary ...

FREDERICK BACKER, J.

Special Term, in an article 78 proceeding (Civ. Prac. Act) pending before it, has held final determination thereof in abeyance and referred the following stated issue for trial: "Whether the respondent * * * Commissioner of the Department of Hospitals of the City of New York, made an informed decision as required by law, concerning the dismissal of the petitioner herein from the Department of Hospitals".

The situation arises by reason of the following facts. Petitioner is an honorably discharged veteran, employed by the Department of Hospitals of this city. Certain acts were charged against him. He was accordingly, as a veteran, given a full civil service hearing, in such cases made and provided, at which he was specifically charged with two acts of physical assault. He was found guilty by the hearing officer of one of the acts charged. It appears he was otherwise an excellent worker with an excellent work record and had never been the subject of any prior disciplinary proceedings.

Upon the finding and recommendation of the hearing officer, the respondent commissioner, upon review, sustained the finding and dismissed petitioner from his employment. Thereupon, petitioner instituted the article 78 proceeding referred to for a review and annulment of respondent's determination. Petitioner contended there, as he does here, that respondent failed to review the transcript of the stenographer's minutes made at the hearing and further failed to review the exceptions submitted by petitioner's attorney; that this therefore constituted reversible error. In addition to the afore-stated, it is presently argued, that respondent's determination to terminate petitioner's employment constitutes an abuse of discretion upon the facts adduced at the instant trial.

The material testimony before me is substantially the following: the hearing officer, Mr. Lefkowitz, testified the hearing was held before him on December 3, 1959; that he prepared his report thereafter which was typed the following day, on December 4, 1959; a copy thereof was sent to petitioner's attorney; thereafter the said attorney filed exceptions to the report; that the report, exceptions and file were sent on December 9, 1959 to respondent commissioner, for his review and determination; that before that date, he had, on December 3 or 4, 1959, discussions with the commissioner concerning the case and had further discussions with him in respect of the case on December 9, 1959.

The commissioner testified to the same effect. He had discussions with Mr. Lefkowitz on the 3rd of December, 1959; he had another discussion later, the date of which he could not recall (the logical conclusion is that it was the one of Dec. 9, testified to by Mr. Lefkowitz). He further testified that on December 9, 1959 he read the entire file of the proceedings, the report of the hearing officer and petitioner's exceptions, studied same and upon consideration thereof he affirmed the recommendation of the hearing officer, on said date of December 9, 1959. Admittedly, he never saw a transcript of the minutes of the hearing nor were they prepared as of December 9, 1959.

Petitioner presents strenuous argument in support of his position that respondent's failure to have and to review the transcript of the stenographer's minutes of the trial before the hearing officer, voids his determination. He argues that without such transcript before him, respondent's ultimate determination cannot be predicated upon the "record" required by section 75 Civ. Serv. of the Civil Service Law, and thus concludes that there was no opportunity for him to make the "informed decision" required by law. Subdivision 2 of section 75 Civ. Serv. of the Civil Service Law provides: "In case a deputy * * * is so designated, he shall, for the purpose of such hearing, be vested with all the powers of such officer or body and shall make a record of such hearing which shall, with his recommendations, be referred to such officer or body for review and decision". In petitioner's view he relies upon Matter of Weekes v. O'Connell ( 304 N.Y. 259); Morgan v. United States ( 304 U.S. 1); Matter of Kelly v. Monaghan ( 9 A.D.2d 92). He also relies upon Matter of Kilgus v. Board of Estimate ( 308 N.Y. 620) for his contention that respondent made no independent appraisal and reached no independent conclusion.

Study of these cases persuades me that they do not afford petitioner support for his position in the factual situation presented before me. The facts are readily distinguishable. In the Weekes case the administrative agency did not have before it a transcript of the evidence upon which its decision purportedly rested and the order of the respondent there was made one hour (emphasis mine) after its hearing commissioner had concluded his hearings and was predicated on findings and conclusions identical with those of the subordinate officer. It was made, concededly, before any transcript or record of the evidence before him had been furnished the agency. It was held, therefore, indisputable that the body charged with the duty of decision had done nothing but blindly follow the determination of its subordinate officer.

In the Kilgus case, the majority of the Court of Appeals held, upon the facts there, that the administrative agency, the Board of Estimate, upon review had underestimated its own power and duty and overestimated the power of the courts, and thus failed to exercise their duty of rendering their own independent judgment on the merits in the case. Specific testimony of several members of the board is cited wherein they stated they relied upon the trial committee and anything in respect of final adjudication thereon they felt would be adjudicated by the courts. This was held to reveal that they made no independent appraisal and reached no independent conclusion. In the Kelly case, the Appellate Division reversed the respondent's determination and remanded the matter for additional consideration. It was held that where, after a six-day trial the commissioner, on the same day as the deputy reported his conclusion for dismissal, approved the finding of guilt and dismissal and there was absent a transcript of the minutes of the hearings, presumption of regularity was rebutted and where the commissioner did not produce any proof that an informed decision was nevertheless made (emphasis mine), the determination would be annulled and proceedings remanded for the commissioner to render his decision on the evidence adduced before the trial commissioner.

In the instant trial the factual situation revealed by the uncontradicted testimony of the hearing officer and the respondent commissioner presents, in my opinion, a marked difference from the facts presented in the afore-stated cases relied upon by the petitioner. Firstly, in the circumstances, I find no merit to petitioner's contention that it was mandatory upon the commissioner for him to have a copy of the transcript of the stenographic minutes of the hearing before him in making his ultimate determination and, that without same, he had no "record" upon which he could make an informed decision pursuant to section 75 Civ. Serv. of the Civil Service Law. The leading case which explores the necessary ingredients required in order to achieve, on the part of a determining officer, an "informed" decision, is that of Matter of Taub v. Pirnie ( 3 N.Y.2d 188). There, petitioner appealed from a determination of the Board of Appeals of the Village of Scarsdale which had denied petitioner's application for a variance. A member of that board was absent from the hearing and admitted that he did not read a transcript of the hearing conducted by the board. Nevertheless, the Court of Appeals in denying petitioner's application and affirming the determination of the Board of Appeals of the Village of Scarsdale, stated (p. 194): "Appellant's position amounts, therefore, to nothing more than an assertion that, regardless of the fact that Silliman had access to and actual knowledge of the facts and issues in the case, he was not qualified to vote because he was not present at the public hearing and did not read a transcript of the record made at that hearing. Such is not the law. Neither reason nor logic supports so mechanical a rule and, bearing that out, none of the cases cited by appellants so hold or suggest. On the contrary, the emphasis has always been upon whether the administrative body had the opportunity to make an `informed' decision * * *, and, in the absence of a `clear' revelation that the administrative body `made no independent appraisal and reached no independent conclusion', its decision will not be disturbed."

This holding, it is to be noted, was made in light of the fact that a public notice and hearing was held in the Taub matter pursuant to the ordinance in respect thereof which required same and full opportunity of the members of the board to hear all sides thereon.

In the very case of Matter of Kelly v. Monaghan ( supra) cited by petitioner, we find the following significant language which I feel negates petitioner's position here. At page 94 we find the following stated: "In order to perform this duty of decision, the Commissioner is not required to read the transcript of the hearings before the trial official" (the Taub case [ supra] is then cited with approval).

However, as hereinbefore stated, in light of the fact that there were 700 typewritten pages of testimony and there was no allegation that the commissioner had discussed the matter with the trial commissioner, the appellate court felt and held that an informed independent decision had not been made by the commissioner and remanded the matter.

I am therefore satisfied that petitioner's contention must be overruled in respect of the failure of respondent to have the stenographic minutes before him upon his final determination.

Moreover, considering petitioner's arguments and the cases he cites in support of his position, I find the facts developed upon the trial before me inapposite to those in the cited cases. Here, the trial covered only 15 pages of transcript and the report and recommendation of Mr. Lefkowitz, the hearing officer, details on two typewritten pages his account of all material matters presented at the hearing. The testimony of Mr. Lefkowitz and the respondent commissioner established, without contradiction, that they discussed this matter fully on two separate dates. The uncontradicted testimony of the commissioner established that besides discussing the matter on the two separate occasions with the trial officer, he read the entire file of the proceedings, the report of the trial officer and the petitioner's exceptions thereto. Furthermore, he testified, he studied same and upon consideration thereof he approved the recommendation of the trial officer.

In light of all of the afore-stated, I am persuaded and conclude that the word "record" as used in section 75 Civ. Serv. of the Civil Service Law, does not require the commissioner in this case to have read a transcript of the hearing that was held by the hearing officer as long as all of the material and relevant information was impartially presented to him by the hearing officer in his report and recommendation and in light of his conversations with the commissioner. I further conclude and find upon the testimony adduced before me that in no sense does the record indicate that respondent did not exercise an informed and independent judgment. On the contrary his testimony indicates the extent of his review and of his deliberations in the matter all of which led to his ultimate determination to approve the recommendations of his hearing officer. The presumption of the regularity of his determination has been sustained by the proof before me and has not been overcome by petitioner. The framed issue is therefore decided in the affirmative, namely, the respondent commissioner did make an informed decision as required by law concerning the dismissal of the petitioner herein from the Department of Hospitals.

Finally, in respect of the issue presented by petitioner, that respondent's determination was an abuse of discretion, I must conclude that that issue may not be considered here, since it is the subject of, and presently sub judice, in the pending article 78 proceeding at Special Term. All that is before me is the circumscribed stated issue referred for trial hereinabove discussed and decided.