EXHIBIT A: Initlal Rating

Case 1:07-cv-05797-SHS Document 9-2 Filed 09/21/2007 Page 1 of 16
THE NEW YORK CITY DEPARTMENT OF EDUCATION

JOEL I. KLEIN. Chancellor

OFFICE OF THE CHANCELLOR

52 Chambers Street - New York, NY 10007

August 14, 2006

Chancellor's Committee

Ira Goldberg, Chairperson

Richard D'Auria, L.I.S., and Superintendent

District 21, Region 7

715 Ocean Terrace - Bldg. A

Staten Island, NY 10301

P.S. 153

Carl Santa Maria, Principal

1970 Homecrest Avenue

	

Brooklyn, NY 11229

Josephine Marsala, Principal

P.S, 212K

87 Bay 49th Street

Brooklyn, NY 11214

Glenn Storman - File No. 478435

136 Vassar Street

Staten Island, NY 10314

Dear Ms. Marsala and Gentlemen:

Please be advised that the appeal of Mr. Glenn Stroman from the rating of

"Unsatisfactory" for the period ending June 2005 has been denied and the said

rating is sustained as a consequence of a substantiate incident of corporal

punishment.

Andres Alonso

Deputy Chancellor,

Teaching and Learning

(as designee for Joel I. Klein, Chancellor)

AA:rs

c:	Gary Barton, Deputy Executive Director, Regional Field Services

Yvonne Kong, Director, Pedagogic Compensation

Genevieve Aloia, Teacher Records

Michael Grossman, Advisor, UFT

EXHIBIT B: Chancellor's Determinatiom 

Case 1:07-cv-05797-SHS Document 9-2 Filed 09/21/2007 Page 2 of 16
NEW YORK CITY DEPARTMENT OF EDUCATION

Regulation of the Chancellor 

Category: STUDENTS Number: A-420 

Subject: PUPIL BEHAVIOR AND DISCIPLINE – CORPORAL PUNISHMENT Pages: 1 of 5

 Issued: 11/16/04 

ABSTRACT

This regulation updates and supersedes Regulation of the 

Chancellor A-420, dated July 1, 2001, regarding prohibition of 

corporal punishment. It enforces Department of Education Bylaws 

and includes reporting requirements established under Regulations 

of the Commissioner §100.2(l)(3)(ii) concerning the use of physical 

force upon a student for punishment purposes. The Chancellor 

may change this Regulation consistent with applicable federal and 

state laws. 

1. INTRODUCTION

Corporal punishment is prohibited. Disruptive behavior by a student must never be 

punished by use of physical force. Such behavior usually reflects underlying problems 

that require guidance intervention. School personnel should take steps to identify the 

problem(s) and, working closely with parents, help the student receive maximum benefit 

from the educational program offered at the school. Matters concerning student 

behavior should be addressed in accordance with Chancellor’s Regulation A-443 and 

the Discipline Code. 

2. DEFINITIONS

Regulations of the Commissioner §100.2(I)(3)(i) define corporal punishment as any act 

of physical force upon a pupil for the purpose of punishing that pupil. Such term shall 

not mean the use of reasonable physical force for any of the following purposes: 

1. to protect oneself from physical injury; 

2. to protect another pupil or teacher or any other person from physical injury 

(e.g. breaking up a physical altercation without using excessive force); 

3. to protect the property of the school or of others; or 

4. to restrain or remove a pupil whose behavior is interfering with the orderly 

exercise and performance of school district functions, powers or duties, if 

that pupil has refused to comply with a request to refrain from further 

disruptive acts, provided that alternative procedures and methods not 

involving the use of physical force cannot be reasonably employed to 

achieve the purposes set forth in 1 through 3 above. 

EXHIBIT C: Chancellor's Regulation A-420 (Corporal Punishment) C-1

Case 1:07-cv-05797-SHS Document 9-2 Filed 09/21/2007 Page 3 of 16
NEW YORK CITY DEPARTMENT OF EDUCATION

Regulation of the Chancellor 

Category: STUDENTS Number: A-420 

Subject: PUPIL BEHAVIOR AND DISCIPLINE – CORPORAL PUNISHMENT Pages: 2 of 5

 Issued: 11/16/04 

Further, the Bylaws of the City Department of Education state the following: 

NO CORPORAL PUNISHMENT SHALL BE INFLICTED 

IN ANY OF THE PUBLIC SCHOOLS, NOR PUNISHMENT 

OF ANY KIND TENDING TO CAUSE EXCESSIVE FEAR 

OR PHYSICAL OR MENTAL DISTRESS. VIOLATION 

OF THIS BYLAW SHALL CONSTITUTE GROUNDS FOR 

DISMISSAL.

This Bylaw remains in full force and effect and cannot be waived by prior approval or 

consent of parent or guardian. Nothing in this Regulation, however, prevents a 

supervisor from counseling or disciplining an employee for inappropriate conduct that is 

not otherwise in violation of this regulation. 

3. NOTIFICATION TO STAFF

The principal must bring to the attention of all members of the staff the Board’s policy 

and rules with respect to corporal punishment. 

4. REPORTING AN ALLEGATION OF CORPORAL PUNISHMENT

A. Report to the Office of Special Investigations: 

Office of Special Investigations 

49 Chambers Street – 6th floor 

NY, NY 10007 

Voice: (212) 374-5900 

Fax: (212) 374-1229/0932 

The Chancellor’s Office of Special Investigations is responsible for intake, 

evaluation, review, follow-up, and dissemination of information to various offices 

within this agency and other appropriate entities with respect to allegations of 

corporal punishment. All allegations of corporal punishment of students by 

Department of Education employees, custodial employees, or others must be 

reported immediately to the Office of Special Investigations by the supervisor or 

designee.1

 Telephone communication must occur before an investigation is 

commenced by the supervisor or designee. 

 

1

For purposes of this Regulation, “supervisor” means the person acting in a supervisory capacity to the 

Department of Education employee alleged to have engaged in corporal punishment. If the person who is alleged 

EXHIBIT C: Chancellor's Regulation A-420 (Corporal Punishment) C-2

Case 1:07-cv-05797-SHS Document 9-2 Filed 09/21/2007 Page 4 of 16
NEW YORK CITY DEPARTMENT OF EDUCATION

Regulation of the Chancellor 

Category: STUDENTS Number: A-420 

Subject: PUPIL BEHAVIOR AND DISCIPLINE – CORPORAL PUNISHMENT Pages: 3 of 5

 Issued: 11/16/04 

At the time of the communication the supervisor will be advised whether to 

conduct an investigation or await an investigation by the Office of Special 

Investigations. Further instruction will be given with respect to completing the 

A-420/A-421 Form – Alleged Corporal Punishment and/or Verbal Abuse – Report 

of Investigation (see Appendix), and to whether the staff member who is alleged 

to have engaged in corporal punishment should be removed from the classroom 

pending further inquiry. If the supervisor is not the Principal or site supervisor 

and the alleged corporal punishment occurs on or around school property, the 

principal or site supervisor must be notified. The principal, in turn must notify the 

superintendent. 

In the event the supervisor is instructed to conduct the investigation, the Office of 

Special Investigations will provide guidance and instruction at any stage of the 

inquiry, as needed. 

In general, a supervisor should take the following steps, among others: 

• Take written statements from the victim and all witnesses as quickly 

as practicable; 

• Separate witnesses prior to taking such statements; 

• Meet with the subject of the investigation and give him or her an opportunity 

to review statements from the victim(s); 

• Evaluate all of the evidence and the credibility of all witnesses including the 

subject of the investigation before substantiating or unsubstantiating a 

complaint. 

• The supervisor must reach and state a conclusion on the A-420/A-421 Form. 

• During the course of the investigation, the employee should be removed from 

the classroom whenever appropriate to safeguard the health, welfare, and 

safety of students. In determining whether to remove a teacher, the 

supervisor should consider the prior record of the employee, the likely 

penalty should the allegations be substantiated, and any other factors 

relevant to this determination. An employee who has been removed from the 

classroom pending investigation shall be informed in writing of the nature of 

the investigation no later than five days after their removal. 

 

to have engaged in corporal punishment is not an employee of the Department of Education, the “supervisor” is 

the person who is in charge of the site where the incident is alleged to have occurred. 

EXHIBIT C: Chancellor's Regulation A-420 (Corporal Punishment) C-3

Case 1:07-cv-05797-SHS Document 9-2 Filed 09/21/2007 Page 5 of 16
NEW YORK CITY DEPARTMENT OF EDUCATION

Regulation of the Chancellor 

Category: STUDENTS Number: A-420 

Subject: PUPIL BEHAVIOR AND DISCIPLINE – CORPORAL PUNISHMENT Pages: 4 of 5

 Issued: 11/16/04 

• Supervisors should consult with OSI whenever technical assistance or other 

assistance is needed. 

The A-420/A-421 Form, completed as instructed, and bearing an original 

signature of the site administrator, must be filed with the Office of Special 

Investigations no later than five working days from the report of the incident. 

However, a supervisor must complete his or her investigation and determine 

whether discipline is warranted even if he or she fails to file the report within five 

days. A duplicate of the A-420/A-421 Form must be forwarded to the 

Superintendent. 

The A-420/A-421 Form (Alleged Corporal Punishment and/or Verbal Abuse – 

Report of Investigation) should be completed and transmitted by e-mail or fax to 

the Office of Special Investigations and the Superintendent. The accurate 

transmission of the completed form is the responsibility of the supervisor. If the 

A-420/A-421 Form is transmitted by e-mail, the principal must print, sign, and 

maintain a hard copy. 

Whether the investigation is conducted by the Office of Special Investigations or 

the supervisor, the person alleged to have engaged in corporal punishment must 

be afforded an opportunity to appear with representation and address the 

allegations upon 48 hours written notice prior to any action being recommended 

or taken. 

The Principal, in consultation with the Superintendent, and with the Office of 

Legal Services, or the Office of Appeals and Review must take appropriate action 

against any staff member found to be in violation of the above Bylaw and this 

Regulation. 

When it has been concluded after an inquiry either by the supervisor or the Office 

of Special Investigations that the staff member has not committed corporal 

punishment, or the evidence does not support the allegation, the staff member 

must be so notified, in writing. If the employee was reassigned during the 

investigation and there is no other reason for reassignments, the employee must 

be returned to his or her regular assignment.

B. Report to the State 

The Regulation of the Commissioner of Education regarding corporal punishment 

requires a semi-annual report to the Commissioner by January 15th and July 15 

of each year. The report sets forth the substance of each complaint about the 

use of corporal punishment received by the local school authorities during the 

EXHIBIT C: Chancellor's Regulation A-420 (Corporal Punishment) C-4

Case 1:07-cv-05797-SHS Document 9-2 Filed 09/21/2007 Page 6 of 16
NEW YORK CITY DEPARTMENT OF EDUCATION

Regulation of the Chancellor 

Category: STUDENTS Number: A-420 

Subject: PUPIL BEHAVIOR AND DISCIPLINE – CORPORAL PUNISHMENT Pages: 5 of 5

 Issued: 11/16/04 

report period, the results of each investigation and the action, if any, taken by the 

local school authorities in each case. 

The Summary Corporal Punishment/Verbal Abuse Form is to be completed by 

December 15th and June 15th of each year. It is to be signed by the Principal and 

forwarded to the appropriate Superintendent for signature. The Superintendent is 

to forward the form to the Office of Special Investigations, Corporal Punishment 

Unit by December 30th and June 30th of each year. 

5. INQUIRIES

Inquiries pertaining to this regulation should be addressed to: 

Telephone 

 212-374-5900

Office of Special Investigations 

NYC Department of Education 

49 Chambers Street – 6th floor 

NY, NY 10007 

Fax 

212-374-1229 

212-374-0932 

EXHIBIT C: Chancellor's Regulation A-420 (Corporal Punishment) C-5

Case 1:07-cv-05797-SHS Document 9-2 Filed 09/21/2007 Page 7 of 16
Form A-420/A-421 

Page 1 of 5

OFFICE OF SPECIAL INVESTIGATIONS 

49 CHAMBERS STREET, 6th FLOOR

NEW YORK, NEW YORK 10007

PHONE# (212) 374-5900

FAX# (212) 374-1229/0932/0993

ALLEGED CORPORAL PUNISHMENT AND/OR VERBAL ABUSE 

REPORT OF INVESTIGATION 

Date of Report 

 

Report Number 

(Obtained from Office of Special Investigations (OSI) 

(212) 374-5900)

EMPLOYEE INFORMATION

Name 

 

File Number 

Position 

 Social 

Security # 

Home Address 

Date of Birth 

 

License(s) 

School District Boro Region

Years of Service 

Tenured 

Prob CPT PPT Per Diem 

EMPLOYEE HISTORY

Prior Adverse Ratings/Actions Yes No If yes, explain, including date(s) 

EXHIBIT C: Chancellor's Regulation A-420 (Corporal Punishment) C-6

Case 1:07-cv-05797-SHS Document 9-2 Filed 09/21/2007 Page 8 of 16
Form A-420/A-421 

Page 2 of 5

Previous Allegations of 

Corporal Punishment or Verbal 

Abuse 

Yes 

 

No 

 If yes, explain, including date(s) 

and Report number(s) 

STUDENT (COMPLAINANT) INFORMATION

Name Grade Age 

Date of Birth 

Has student made prior allegations? Yes No 

If yes, explain, including date(s) and report number(s) 

Narrative of student performance (conduct, etc.) 

PARENT/GUARDIAN CONTACT INFORMATION

Name 

Address 

Home Telephone 

Business Telephone 

Date Parent/Guardian notified of incident 

School staff member who made contact 

EXHIBIT C: Chancellor's Regulation A-420 (Corporal Punishment) C-7

Case 1:07-cv-05797-SHS Document 9-2 Filed 09/21/2007 Page 9 of 16
Form A-420/A-421 

Page 3 of 5

WITNESS INFORMATION

Name Position

NOTE: If witnesses are students, on a separate sheet of paper, please list the students’ names 

with the contact information for their parent(s)/guardian(s). 

INCIDENT

If student and/or staff members made written statements, copies of the statements must be 

attached.

Date of Incident: Time: 

Location: 

Description of Incident 

After initial review of the incident, I concluded the following: 

ACTION TAKEN

For investigations not conducted by the Office of Special Investigations, the following must be 

completed. If necessary, additional information can be included on a separate sheet of paper and 

attached. 

 The allegations were not substantiated. The subject was so advised by letter dated 

EXHIBIT C: Chancellor's Regulation A-420 (Corporal Punishment) C-8

Case 1:07-cv-05797-SHS Document 9-2 Filed 09/21/2007 Page 10 of 16
Form A-420/A-421 

Page 4 of 5

OR 

 The allegations were substantiated. 

In all cases where an allegation of corporal punishment and/or verbal abuse has been 

substantiated or where it has been concluded that poor judgment was used, disciplinary 

action must be taken. 

TENURED STAFF 

 The subject is a Tenured teacher Tenured administrator 

In the case of tenured teachers or tenured administrators, the punishment may include a verbal 

reprimand, letter of reprimand to file or charges under State Education Law §3020-a. If it has been 

determined that §3020-a charges might be warranted because of the serious or repetitive nature of 

the misconduct or other factors concerning the teacher’s or administrator’s performance, the 

Deputy Counsel, Administrative Trials Unit of the Office of Legal Services must be consulted. 

[(718) 935-3612]. Counsel should also be consulted if it is not clear what action may be 

appropriate. 

 The subject was verbally reprimanded on 

(date) 

 The subject received a letter to file, a copy of which is attached, on 

(date) 

OR 

 The Office of Legal Services was consulted on 

(date) 

 Upon consultation, a letter to file, a copy of which is attached, was recommended. 

 Upon consultation, a Technical Assistance Conference was scheduled for (date) 

 Upon consultation, other action was recommended (Explain on a separate sheet) 

NON-TENURED PEDAGOGUES AND OTHER STAFF

In the case of a substantiated allegation against a non-tenured pedagogue or other staff member, 

the Office of Appeals and Review [(718) 935-2991] must be consulted before any further action is 

taken. 

The Office of Appeals and Review was contacted on 

(date) 

 Upon consultation, a letter to file, a copy of which is attached, was recommended. 

 Upon consultation, the staff member was terminated on 

 (date) 

 Upon consultation, other action was recommended. (Explain on separate sheet 

and attach) 

EXHIBIT C: Chancellor's Regulation A-420 (Corporal Punishment) C-9

Case 1:07-cv-05797-SHS Document 9-2 Filed 09/21/2007 Page 11 of 16
Form A-420/A-421 

Page 5 of 5

Report preparer’s signature Title 

Date prepared 

Revised November 2004

EXHIBIT C: Chancellor's Regulation A-420 (Corporal Punishment) C-10

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