Duffy v. Ward

612 N.E.2d 1213, 81 N.Y.2d 127, 596 N.Y.S.2d 746, 1993 N.Y. LEXIS 635
CourtNew York Court of Appeals
DecidedMarch 30, 1993
StatusPublished
Cited by29 cases

This text of 612 N.E.2d 1213 (Duffy v. Ward) is published on Counsel Stack Legal Research, covering New York Court of Appeals primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Duffy v. Ward, 612 N.E.2d 1213, 81 N.Y.2d 127, 596 N.Y.S.2d 746, 1993 N.Y. LEXIS 635 (N.Y. 1993).

Opinions

OPINION OF THE COURT

Simons, J.

Petitioner, a New York City Police Officer, was found guilty of the misdemeanor of criminal trespass in the second degree after an off-duty scuffle with another man. Following the conviction, respondent Ward, the Police Commissioner, summarily terminated petitioner’s employment pursuant to Public Officers Law § 30 (1) (e). That provision directs that a public office becomes vacant when the incumbent is convicted of a felony or "a crime involving a violation of his oath of [130]*130office”. By its terms, section 30 (1) (e) applies to any felony conviction (Matter of Graham v Coughlin, 135 AD2d 1014, affd 72 NY2d 1014) but the second clause of the statute, which must be interpreted to decide this appeal, has a less certain meaning. We conclude that in applying the statute to misdemeanor convictions arising outside the line of duty, courts should look not to the facts of the particular case but solely to the elements of the crime. Inasmuch as the elements of criminal trespass in the second degree (Penal Law § 140.15), charged here, cannot be read to constitute a crime involving a violation of petitioner’s oath of office, he should have been afforded a hearing before termination.

I

Evidence introduced at petitioner’s criminal trial established that he was driving on a Queens street when the driver of the vehicle in front of him stopped and left his vehicle unattended while he went to open his garage door. The stopped vehicle temporarily blocked petitioner’s passage, thereby provoking an argument between the two until the driver went into his residence. Petitioner followed him into the vestibule and the disagreement quickly escalated into a scuffle involving petitioner, the driver and other residents. Finally, petitioner drew his service revolver, pointed it at the driver and the others to restrain them and then left to summon police. Much to petitioner’s surprise, when the police arrived and investigated the incident, they arrested him instead of the driver.

In a nonjury trial, petitioner was acquitted of misdemeanor criminal mischief in the fourth degree (Penal Law § 145.00) and misdemeanor menacing (Penal Law § 120.15) but convicted on the criminal trespass count. Following the conviction respondent signed a "Final Order of Dismissal” summarily terminating petitioner’s employment. Petitioner then instituted this CPLR article 78 proceeding seeking reinstatement. Supreme Court concluded that a trespass on private property in the heat of an argument did not violate petitioner’s oath of office for purposes of the statute. A divided Appellate Division reversed, the majority finding that "petitioner entered private premises unlawfully prolonging a dispute when his adversary had retreated, an act clearly violative of his oath to protect property”. (182 AD2d 361, 363.) We now reverse and reinstate the order and judgment of Supreme Court.

[131]*131II

The predecessor to Public Officers Law § 30 (1) (e) was enacted more than a century ago (L 1892, ch 681, §20). The statute remains substantially unchanged today. Its directive is "clear and unqualified”: every public office automatically becomes vacant upon a conviction falling within its purview (Matter of Toro v Malcolm, 44 NY2d 146, 149-150; see, Matter of Obergfell, 239 NY 48, 50, rearg denied 239 NY 589; Matter of Breslin v Leary, 35 AD2d 794, 795). Summary termination is not a punishment for the officeholder’s crime, and reversal of the conviction on appeal does not automatically entitle the officeholder to return to the vacated position (see, Public Officers Law § 30 [1] [e] [procedures for seeking reinstatement following reversal or vacation of conviction]; Matter of Hays v Ward, 179 AD2d 427, 428, lv denied 80 NY2d 754; see also, Matter of Toro v Malcolm, supra; Matter of Briggins v McGuire, 67 NY2d 965, cert denied sub nom. Briggins v Police Dept., 479 US 930). Rather, the statute’s requirement that the office be vacated on conviction reflects two legislative concerns. First, as a practical matter, governmental work should not go unattended, or a position unfilled, while a convicted officeholder pursues a potentially lengthy appeal (Matter of Toro v Malcolm, supra, at 150; Matter of Briggins v McGuire, supra, at 967). Second, and more fundamentally, the public has a "right to rest assured that its officers are individuals of moral integrity in whom they may, without second thought, place their confidence and trust” (Matter of Toro v Malcolm, supra, at 152). Although the result of implementing the statute is sometimes harsh, it is clear that "the balance must be struck in favor of the public” when the officer’s interest is weighed against that of State’s citizens (id., at 151-152; see also, Matter of Briggins v McGuire, supra).

III

When an officeholder’s termination is premised on a "crime involving a violation of [the] oath of office”, two questions are raised. First, should a court, before sustaining a vacatur, look solely to the elements of the crime as set forth in the Penal Law or may it permissibly review the underlying facts of the particular incident leading to the criminal charge (compare, De Paulo v City of Albany, 49 NY2d 994 [statutory definition of offense was not related to officer’s oath]; and Matter of Sharkey v Police Dept., 179 AD2d 655, 657 ["Resort to the [132]*132record is necessary in order to ascertain whether the officer violated his oath of office”])? Second, what type of misdemeanor comes within the terms of the statute?

The courts have disagreed on how to articulate the appropriate test — and even whether such a test can be articulated— for determining the scope of the section. In the present proceeding Supreme Court declared that the statute reaches only crimes indicative of a "lack of moral integrity” (143 Misc 2d 851, 852-853). The Appellate Division expressly rejected that standard as too narrow (182 AD2d 361, 363). By contrast, the Second Department has proposed that a per se violation of an officer’s oath occurs only when the underlying conduct is "intimately related to official duties” (Matter of Sharkey v Police Dept., 179 AD2d 655, 656 supra). Respondent offers still another view: that the Legislature, by choosing not to state a more exact standard in the statute, intended that each conviction be evaluated on its facts in light of the particular oath taken. Because the oath prescribed by the State Constitution requires each public officer to swear to "faithfully discharge the duties of the office” (NY Const, art XIII, § 1), the test for a section 30 (1) (e) offense would necessarily vary, under respondent’s theory, depending upon the precise duties of the particular office.

Despite the lack of agreement on the appropriate standard, the courts have most often sustained summary dismissal. Officers have been dismissed, for example, following convictions for perjury (Lemieux v City of Niagara Falls, 138 AD2d 945, lv denied 72 NY2d 806), conspiracy to bribe (Sroka v Municipal Civ. Serv. Comma., 57 AD2d 1064), reckless endangerment (Matter of DeCaro v Ward, Sup Ct, NY County, Index No. 19130/85, affd without opn 134 AD2d 967) and assault (Matter of Farnworth v Ward, Sup Ct, NY County, Index No. 20131/86, affd without opn 141 AD2d 1011, lv denied 72 NY2d 810). In only one case cited was the officer’s petition granted. In that case,

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Bluebook (online)
612 N.E.2d 1213, 81 N.Y.2d 127, 596 N.Y.S.2d 746, 1993 N.Y. LEXIS 635, Counsel Stack Legal Research, https://law.counselstack.com/opinion/duffy-v-ward-ny-1993.