Scanlan v. Buffalo Public School System
| Decision Date | 23 October 1997 |
| Citation | 687 N.E.2d 1334,90 N.Y.2d 662,665 N.Y.S.2d 51 |
| Parties | , 687 N.E.2d 1334, 122 Ed. Law Rep. 1034, 1997 N.Y. Slip Op. 8772 In the Matter of Joseph D. SCANLAN, Respondent, v. BUFFALO PUBLIC SCHOOL SYSTEM, Sued Herein as Board of Education of Buffalo, Appellant. In the Matter of Carol A. LEISTER, Respondent, v. BOARD OF EDUCATION OF THE BRENTWOOD UNION FREE SCHOOL DISTRICT et al., Appellants. In the Matter of Harriet KAUFMAN, Respondent, v. BOARD OF EDUCATION OF JERICHO UNION FREE SCHOOL DISTRICT et al., Appellants. In the Matter of Barbara A. CLARK, et al., Respondents, v. BOARD OF EDUCATION FOR THE KINGSTON CITY SCHOOL DISTRICT, Appellant, and New York State Teachers' Retirement System et al., Respondents. |
| Court | New York Court of Appeals Court of Appeals |
At issue in these four CPLR article 78 proceedings is whether, pursuant to Retirement and Social Security Law § 803, petitioners are entitled to retroactive membership in the New York State Teachers' Retirement System (TRS), to include periods they spent as part-time or substitute teachers in respondent school districts. We conclude that in each case, petitioner teachers demonstrated their eligibility for retroactive membership by substantial evidence. Further, we hold that only respondent Kingston Board of Education then provided a rational basis for denying retroactive membership. Thus, we reverse the order of the Appellate Division and dismiss the Clark petition, and in the remaining three cases affirm the Appellate Division orders declaring those petitioners eligible for retroactive membership in TRS.
TRS is a retirement system affecting New York State's public school districts. Membership is divided into tiers--lower tiers have better benefit levels, minimum retirement ages and levels of employee contributions. Membership in a tier is dependent on the date the employee first applies to join the system. Teachers who have worked longer generally belong to lower tiers.
Full-time teachers are required to participate (Education Law § 503[1][b] ). Part-time and substitute teachers have the option, but are not required, to join (Education Law § 503[2]; § 520[2][b] ). Such teachers might choose not to join TRS in order to avoid Social Security withholding or because they do not intend to make their careers in education. Until the effective date of Education Law § 520(2)(b) in 1986, school districts were not required to inform these teachers of their right to join the system or keep records that they had so informed them. Thus, part-time and substitute teachers might never have known of their eligibility and missed an opportunity for improved tier status. Before Education Law § 520(2)(b), school districts had an incentive not to inform part-time and substitute teachers of their option to join because doing so would avoid employer contributions to TRS and Social Security.
The remedy provided by Education Law § 520(2)(b) was not retroactive. Those teachers who had not been previously informed of their rights, but who wanted to claim pension benefits for prior service, had to petition the Legislature for the passage of "picture bills" which granted them the right to retroactive membership (see, Budget Report on Bills, Bill Jacket, L. 1993, ch. 437). In 1993, the Legislature enacted Retirement and Social Security Law § 803, to provide substitute and part-time teachers with a chance to obtain retroactive membership, and thereby eliminate the need for picture bills.
Under section 803, the teacher initiates the process by filing an application with TRS seeking retroactive membership within three years of the statute's effective date, October 24, 1993 (Retirement and Social Security Law § 803[b][1] ). The applicant must have served "continuously" from the time membership is sought (Retirement and Social Security Law § 803[b][2] ). Once the teacher has demonstrated these requirements, TRS provides an affidavit, to be completed by both the teacher and the school district. For eligibility, this affidavit must state that retroactive membership is appropriate because the teacher
"did not (i) expressly decline membership in a form filed with the employer; (ii) participate in a procedure explaining the option to join the system in which a form, booklet or other written material is read from, explained or distributed, such form, booklet or written material can be produced and documentation or a notation to the effect that he or she so participated exists; or (iii) participate in a procedure that a reasonable person would recognize as an explanation or request requiring a formal decision by him or her to join a public retirement system" (Retirement and Social Security Law § 803[b][3] ).
A teacher who seeks to prove that he or she did not participate "in a procedure described in clause (ii) or (iii) hereof must do so by substantial evidence" (id.). If the employer then denies retroactive membership, it must so indicate on the affidavit, and provide a review process for the teacher "which shall afford a member an opportunity to appear in person or in writing" (id.). After such review, the school district makes its final determination, which, if unfavorable to the teacher, may be challenged in an article 78 proceeding. If the teacher is granted retroactive eligibility, the employer assumes responsibility for the added costs of such membership (Retirement and Social Security Law § 803[e] ).
Against this statutory backdrop we examine the claims of the four sets of petitioners.
Scanlan v. Buffalo Pub. School Sys.: Joseph Scanlan, a TRS member since September 1973, seeks retroactive membership to include his service as a part-time teacher in respondent Buffalo Public School System from April 1972 to June 1973. Scanlan completed his portion of the affidavit and Buffalo sent him a questionnaire, which he completed, notarized and returned. Buffalo then denied Scanlan's claim, noting on the affidavit that he had failed to meet the requirements of Retirement and Social Security Law § 803(b)(3)(ii) and (iii).
Following his request for review, Scanlan submitted a letter denying that either of the grounds cited by Buffalo applied to him. Scanlan stated that he had an absolute recollection that he did not participate in any procedure explaining the option to join TRS and that he never had any direct contact or discussion with anyone at Buffalo's personnel department pertaining to a decision on his part to join TRS. Had he been afforded the opportunity to join, the letter continued, he would have, as he had decided that teaching should be his lifelong profession. Buffalo again denied Scanlan's request by letter stating simply that "the information provided does not meet the required burden of proof by the claimant under the Law." Scanlan commenced this article 78 proceeding to annul the determination, Supreme Court granted the petition and ordered retroactive membership. The Appellate Division affirmed, as do we.
Leister v. Board of Educ. of Brentwood: Petitioner Carol Leister seeks retroactive membership in TRS for her service as a part-time substitute teacher in respondent Board of Education of Brentwood Union Free School District from 1968 to 1977. Leister had joined TRS in 1977 when she secured full-time employment in another school district.
Leister sent an application to TRS, and received the affidavit to be completed by Brentwood. The school district refused to complete her affidavit, stating that "the District has been unable to clearly determine whether or not it has been specified to all employees their right to become a member of the retirement system." TRS informed Brentwood in a letter that it could not refuse to complete the affidavit and remanded to the district to determine Leister's eligibility based on the best evidence available.
Subsequently, Leister met with a representative of Brentwood to review her eligibility for retroactive membership. Leister stated that she had twice been told by the district's business office that, as a part-time substitute, she was ineligible for membership. Leister also indicated that she had two witnesses who could verify her statements, and proffered a letter from one of them, her sister.
Brentwood informed Leister that it was denying her application because, as before, it could not confirm whether or not it informed Leister of her eligibility in TRS, and had no information other than her personal recollection in support of her claim. It also included a letter addressed to "whom it may concern" asserting that information regarding TRS was available to employees, and that some part-time employees did join TRS. The affidavit was also returned, indicating...
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