Court Opinion

ID: 9824379
Source: CourtListenerOpinion
Date Created: 2023-09-01 10:43:54.732051+00
Date Added: 2024-06-11T07:39:44.497133
License: Public Domain

Andrias, J.,
dissents in a memorandum as follows: While giving lip service to the law governing the discharge of a probationary employee, the majority in fact finds that the petition should not have been dismissed because it cannot be determined at this juncture whether petitioner’s or respondents’ actions were “inappropriate under any standard,” and any finding of misconduct on petitioner’s part may have been a mistake However, a probationary employee may be dismissed for almost any reason, or for no reason at all, and the majority utterly ignores petitioner’s total failure to carry his heavy burden of establishing by competent evidence that his termination was motivated by bad faith or for any other improper reason.
Particularly, at the heart of petitioner’s challenge is his claim that he did not do anything wrong because he adhered to respondent Department of Correction’s (DOC) protocol and was just “following his [cjaptain’s orders” when he failed to obtain medical aid for Jason Echevarria, an inmate in his care, whose condition progressively worsened after he ingested a toxic “soap ball” containing bleach. The “just following orders” defense has long been discredited by international institutions and tribunals; similarly, it has no place whatsoever in this state’s twenty-first century jurisprudence, and a rejection of the defense by respondents would certainly not be tantamount to bad faith.
Petitioner also cherry picks from DOC regulations, relying on provisions relating to reporting obligations, and ignoring the regulations which establish that a correction officer’s primary duty is to ensure the health and safety of his or her charges. In contravention of that duty, during his shift, the only action taken by petitioner was to report Echevarria’s *651condition to Pendergrass. Furthermore, the hollowness of his “I tried to help, but the captain prevented me” defense is glaringly illustrated by his conduct at the end of his tour when he failed to summon medical personnel, contact a deputy warden, call 911 or otherwise sound the alarm, even though nothing prevented him from doing so at that time. Rather, he simply went home, leaving Echevarria in distress in his cell.
Consequently, for these reasons, and those that follow, I respectfully dissent.
According to the petition, on August 17, 2012, during his 3:00 p.m. to 11:00 p.m. shift, petitioner was touring his assigned area in the Mental Health Assessment Unit at Rikers Island when Echevarria told him that he had ingested the toxic soap ball and requested medical attention. Petitioner advised his supervisor, Captain Terrence Pendergrass, of the situation and Pendergrass responded that there was no need to contact medical and that he should contact Pendergrass only “if [he] need[ed] an extraction, or if [he] ha[d] a dead body.” Petitioner complied.
Later in his tour, petitioner noticed vomit in Echevarria’s cell. He reported his observation to Pendergrass, who essentially told him to “hold it.” Once again, petitioner complied and took no further action to aid Echevarria. Later that evening, a pharmacy technician and an escort officer also saw the vomit in Echevarria’s cell and the technician told petitioner that Echeverría needed medical help. Petitioner and the escort officer reported this to Pendergrass, who told the escort officer to fill out a report. However, when petitioner started to look for the telephone number for medical support, but purportedly could not find it “on a[n] old and faded phone contact list,” Pendergrass ordered him to return to his post immediately and to not contact anyone. Petitioner again complied without protest and made no further effort to obtain medical care for Echevarria, or to contact Pendergrass’s superiors, during the remainder of his shift or after his shift had ended. When petitioner returned the next morning, he learned that Echevar-ria had died.
Following investigations by DOC, the New York City Department of Investigation, the office of the District Attorney of the county concerned, and the United States Attorney for the Southern District of New York, petitioner’s probationary employment was terminated on July 19, 2013. Pendergrass was criminally charged and subsequently convicted in federal court of violating Echevarria’s civil rights and sentenced to five years in prison.
*652Petitioner alleges that respondent’s decision to terminate his probationary employment, “[u]pon information and belief, . . . for some ‘misconduct’ surrounding the death of a Inmate [Jason] Echevarria,” “was affected by an error of law, arbitrary and capricious, and/or an abuse of discretion.” This argument misapprehends the governing principle of law that a probationary employee may be discharged for “almost any reason, or for no reason at all,” without a hearing and without a statement of reasons, as long as it is not “in bad faith or for an improper or impermissible reason” (Matter of Swinton v Safir, 93 NY2d 758, 762-763 [1999]; see also Matter of Smith v New York City Dept. of Correction, 292 AD2d 198, 198-199 [1st Dept 2002]; Matter of Garcia v New York City Probation Dept., 208 AD2d 475, 476 [1st Dept 1994]).
The petitioner “bears the burden of establishing bad faith or illegal reasons by competent evidence . . . [and] [speculative and/or conclusory allegations of bad faith [or] improper motive . . . are insufficient to meet this burden” (Matter of Robinson v Health & Hosps. Corp., 29 AD3d 807, 809 [2d Dept 2006] [internal quotation marks omitted and alterations in original], appeal dismissed 7 NY3d 845 [2006]; see also Smith v New York City Dept. of Correction, 292 AD2d at 198). Thus, when a probationary employee challenges his or her termination in an article 78 proceeding, the function of the court “should not be to ‘second guess’ . . . [but] is simply to determine if petitioner has shown bad faith on the part of the respondent” (Matter of Soto v Koehler, 171 AD2d 567, 569 [1st Dept 1991], lv denied 78 NY2d 855 [1991]). Applying these principles, petitioner has failed to raise a material issue as to bad faith or any other improper reason for his discharge and the petition was correctly dismissed (see Matter of Green v New York City Hous. Auth., 25 AD3d 352, 353 [1st Dept 2006]).
While petitioner contends that respondents improperly terminated his probationary employment for some misconduct surrounding Echevarria’s death, other than providing conclusory assertions, he presents nothing that would support an inference that the termination was for an illegal reason or that the investigation which led to it was conducted in bad faith (see Matter of Phucien v City of N.Y. Dept. of Corr., 129 AD3d 505, 506 [1st Dept 2015] [“Petitioner’s unsupported assertions that respondent Department of Correction improperly terminated his probationary employment are insufficient to satisfy his burden of establishing that his dismissal was in bad faith”]; see also Matter of Lane v City of New York, 92 AD3d 786, 787 [2d Dept 2012], lv denied 19 NY3d 810 [2012]; Walsh v New *653York State Thruway Auth., 24 AD3d 755, 757 [2d Dept 2005]). “At best, petitioner merely raise [s] factual disputes [as to whether the alleged determination that he engaged in misconduct with respect to Echevarria’s death is correct] that do not entitle [him] to a hearing” (Matter of Bradford v New York City Dept. of Correction, 56 AD3d 290, 291 [1st Dept 2008], lv denied 12 NY3d 711 [2009]).The majority finds that petitioner “present [s] a substantial issue of bad faith — namely, whether [his] discharge was unrelated to work performance — sufficient to require a denial of the pre-answer motion to dismiss.” The majority also states that petitioner established a factual predicate for his claim that his termination was arbitrary and capricious, and in bad faith, by virtue of his allegations, which respondents did not attempt to refute, that he acted according to DOC rules, which required him to report the incident to his supervisor, that he was obligated to follow his supervisor’s orders telling him not to do anything, that he could not leave his post, and that he fully cooperated with the investigation of Echevarria’s death.
However, respondents were not obligated to provide a statement of reason for the discharge of a probationary employee or to conduct a hearing. Furthermore, contrary to the view of the majority, respondents’ motion to dismiss for failure to state a cause of action does not present a “unique procedural scenario” and respondents’ submissions established that petitioner failed to allege any facts from which the court could conclude that his termination was in bad faith, or otherwise unlawful.
The majority’s position rests on the flawed premise that if petitioner is correct that DOC’s finding of misconduct (after an internal investigation) was in error because he was just following orders and DOC protocol, then the termination of his probationary employment would have been in bad faith. However, even assuming, for the purposes of respondents’ motion to dismiss, that respondents were somehow mistaken when they found, after conducting an extensive investigation, that petitioner’s role in Echevarria’s death constituted misconduct, petitioner has not raised any factual issue as to whether that determination was made in bad faith or that he was terminated for an improper reason (see Matter of Turner v Horn, 69 AD3d 522, 523 [1st Dept 2010] [proceeding properly dismissed where “petitioner submitted evidence challenging the investigators’ conclusion, but did not submit any evidence raising a substantial issue as to respondents’ bad faith in investigating the alleged violation or in deciding to terminate her employment”]; Matter of Lane v City of New York, 92 AD3d at 786-787 [2d *654Dept 2012] [cross motion to dismiss properly granted where “(the petitioner’s) claims that the Command Discipline issued for his violation of departmental rules and regulations was erroneous, and that his use of force in dealing with inmates was justified, were insufficient to establish that his employment was terminated in bad faith”]; Matter of Green v New York City Hous. Auth., 25 AD3d at 352-353 [order directing a hearing as to the propriety of the challenged determination was reversed and the petition denied insofar as it challenged the petitioner’s termination, where the petitioner was terminated after the respondent investigated complaint and found that the petitioner had assaulted another employee; while the petitioner showed that the respondent’s determination may have been mistaken, she raised no issue as to whether it was made in bad faith]).
The majority believes that petitioner acted appropriately. However, even were we to consider petitioner’s self-serving justifications for his failure to obtain medical care for Echevar-ria, the record amply demonstrates, at a minimum, petitioner’s gross indifference to his charge. Although petitioner reported Echevarria’s condition to Pendergrass on multiple occasions, each time the captain told him to do nothing and return to his post, petitioner obeyed without protest, placing his personal concerns as to potential consequences of disobeying Pender-grass’s unlawful and unreasonable orders over the well-being of Echevarria.
Petitioner’s selective reading of DOC rules, focusing only on reporting requirements to support his assertions that he did not engage in misconduct, which the majority accepts, mischar-acterizes the overall import of the rules, which make inmate safety and medical care the priority of every correction officer. DOC rule 2.30.010 provides as follows: “Correction Officers shall be held responsible for the safety, sanitation, and security of their posts, for the proper care, custody, control and treatment of inmates and the enforcement of the Rules and Regulations of the Department and the command.” Rule 7.10.040 provides that “[w]henever an inmate complains or appears to be injured or sick, prompt action shall be taken to ensure that the inmate is examined by authorized medical personnel” (emphasis added). Although a Directive from DOC, effective February 21, 1997, provides that a correction officer who receives an injury complaint from an inmate shall notify the area supervisor as soon as possible, the directive also provides that “[i]n the event that the urgency of the situation precludes such notification because a delay obtaining medical treatment *655could cause a worsening of the inmate’s condition, the notification shall be made as soon as possible, while the inmate is either being treated or immediately thereafter.” Thus, it is clear that DOC regulations mandate that ensuring inmate safety, rather than prompt reporting, is a correction officer’s primary duty.
Contrary to the view of the majority, DOC rules 6.10.030 and 7.05.090, which respectively require a correction officer to inform his or her captain that an inmate may harm himself or has suicidal tendencies, do not justify petitioner’s failure to seek aid for Echevarria. Petitioner was told by Echevarria that he had already swallowed the “soap ball,” not that he may swallow it, after which petitioner personally observed Echevar-ria’s condition deteriorating.
Petitioner was also told by a pharmacy technician that medical attention was needed. Still, petitioner did not obtain medical care for Echevarria during his shift, choosing instead to blindly follow Pendergrass’s orders rather than contact Pendergrass’s superiors or the medical unit to report the obvious threat to Echevarria’s well-being. Most significantly, after his shift ended, at which time he was no longer bound to his post or under the control of Pendergrass, petitioner still failed to alert anybody in a supervisory or medical role as to Echevar-ria’s deteriorating condition or to seek any help for him. He just went home, knowing that Echevarria had not received any medical help. That others may also have been aware of Echevarria’s worsening condition and also failed to obtain medical care for him does not absolve petitioner of responsibility for his own conduct. He was the officer that was directly responsible for Echevarria’s care and safety and should have obtained the medical assistance that he knew Echevarria so desperately needed, notwithstanding Pendergrass’s orders to the contrary.
While neither Pendergrass nor petitioner were indicted by the District Attorney’s office that investigated, and only Pendergrass was indicted by the U.S. Attorney, we do not have to speculate as to whether petitioner was not indicted because the U.S. Attorney needed his eyewitness testimony to prosecute Pendergrass. Even assuming that petitioner’s conduct did not rise to the level of criminal liability, his not being indicted has no bearing in this article 78 proceeding. Petitioner has not met his burden of establishing that his conduct, as he himself describes it, could not support the dismissal of a probationary employee — who may be dismissed for any reason or no reason at all — except for an illegal reason or in bad faith.
*656Matter of Higgins v La Paglia (281 AD2d 679 [3d Dept 2001], appeal dismissed 96 NY2d 854 [2001]) and Matter of Ramos v Department of Mental Hygiene of State of N.Y. (34 AD2d 925 [1st Dept 1970]), cited by the majority, are inapposite. In Higgins, a hearing was directed regarding the termination of a probationary correction officer where an issue was raised as to good faith because of, among other things, conflicting evaluation reports and allegations by the petitioner that he, unlike other newly hired correction officers, was not afforded academy training (281 AD2d at 681). In Ramos, a hearing was directed where the petitioner claimed that her dismissal was not the result of the failure to perform her duties satisfactorily but was due to a personality conflict with a supervisor (34 AD2d at 925). In contrast, here petitioner alleges that upon information and belief he was terminated for alleged job-related misconduct surrounding the death of an inmate, not for a personality conflict unrelated to his work, and he has not produced any performance evaluations or other evidence that would support his claim that he was discharged in bad faith.
In sum, the death of an inmate while in custody is a very serious matter and petitioner’s assertion that he did not commit any misconduct because he followed reporting protocol and Pendergrass’s orders is, in and of itself, insufficient to raise a substantial issue as to whether the termination of his probationary employment was in bad faith or otherwise improper. Since World War II, the “just following orders” or “Nuremberg” defense has not occupied a valid place in our jurisprudence and petitioner’s conduct, under any standard, cannot be deemed appropriate. Although a correction officer must usually follow a superior’s orders, there are situations where a reasonable decision maker could conclude that the officer should not have done so. This is such a case, where petitioner was told by Echevarria that he had ingested a toxic substance and needed medical care, personally observed Echevarria’s prolonged distress and was told by a pharmacy technician that medical help was required, and nevertheless chose to follow Pender-grass’s orders not to get help, even though the orders were objectively unreasonable in that they clearly violated Echevar-ria’s constitutional rights and imperiled his health and safety. Indeed, given the ongoing criticism of the treatment of inmates on Rikers Island, one can only imagine what the reaction would have been had DOC accepted petitioner’s “just following orders” defense and retained him, continuing the misguided practice of not holding responsible officers accountable.
Accordingly, the judgment denying the petition and granting *657respondents’ cross motion to dismiss the proceeding should be affirmed.