Fay's Inc. v. New York State Department of Health

169 Misc. 2d 944, 645 N.Y.S.2d 995, 1996 N.Y. Misc. LEXIS 245
CourtNew York Supreme Court
DecidedJune 24, 1996
StatusPublished
Cited by1 cases

This text of 169 Misc. 2d 944 (Fay's Inc. v. New York State Department of Health) is published on Counsel Stack Legal Research, covering New York Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Fay's Inc. v. New York State Department of Health, 169 Misc. 2d 944, 645 N.Y.S.2d 995, 1996 N.Y. Misc. LEXIS 245 (N.Y. Super. Ct. 1996).

Opinion

OPINION OF THE COURT

Anthony J. Carpinello, J.

Petitioner Fay’s Incorporated (Fay’s) challenges the proce[945]*945dure used by the respondent New York State Department of Health (Department) to find that a clerk at a Fay’s store in Williamson, New York, had sold cigarettes to a minor in violation of the Adolescent Tobacco-Use Prevention Act (Public Health Law art 13-F [the Act]). Petitioner claims that the Department’s Geneva District Office has improperly delegated its enforcement obligations to a private organization, the Tobacco Action Coalition of the Finger Lakes (Coalition). Further, petitioner contends that Department representatives in the Geneva Office automatically refer all complaints from the Coalition to administrative hearings and fail to exercise any discretion with regard to the institution of these hearings. The Department denies petitioner’s claims that it has behaved arbitrarily, capriciously or in violation of the Constitution, instead contending that there is nothing wrong with relying upon information furnished by the Coalition in deciding whether to institute administrative proceedings for violation of the Act.

The facts in this case are essentially undisputed. On August 14, 1995, two members of the Coalition, Caryn Sloth and Peter Sarasino, entered Fay’s store No. 538 in Williamson, Wayne County, New York. Sloth was 16 years old at the time. A clerk at the store allegedly sold a pack of cigarettes to Sloth without asking her age or requesting identification. Sloth and Sarasino both signed a document entitled "Compliance Check Form,” which Sarasino submitted to the Department’s Geneva Office. This document was unsworn. On August 22, 1995, the director of the Department’s Geneva District Office notified Fay’s counsel that the Department had determined that there was evidence of a violation of the Public Health Law at the Williamson store and that a hearing had been scheduled at the Geneva District Office. Annexed to this notice was a document entitled "Finding of Violations” which indicated that Fay’s had violated Public Health Law § 1399-cc on August 14, 1995 by the sale of tobacco to a minor of 16 years of age.

The hearing was conducted on October 5, 1995. Sloth testified at the hearing that she had been a member of the Coalition for several years and that on August 14, 1995, she, Sarasino and another minor went into different stores in the area trying to see whether the stores would sell tobacco without first asking for identification. She testified that she had purchased cigarettes at the Fay’s store on the date in question, and the receipt was entered into evidence. Sarasino testified that he had entered the Fay’s store and witnessed the sale. He stated that he later dropped the compliance check form off at the Department’s Geneva District Office. When asked about [946]*946the operations of the Coalition generally, Sarasino testified that the Coalition has obtained a list of all tobacco vendors in the area and that he himself selects which stores are to be targeted on a given day.

Also testifying at the hearing was Department Inspector Steven Smolen, who signed the notice of violations form served on petitioner in this case. He testified that the Geneva District Office does not perform compliance checks, instead relying upon the Coalition to undertake this task. He testified that it was the District Office’s policy "to accept the information that the coalition has found in its compliance checks — and when there are violations of the law, the Department has chosen to respond to those violations.” Smolen stated that it was not the practice of the District Office to verify the statements contained in the compliance check form — rather, the District Office "responds to that form by means of preparing a legal action.” He testified that he spoke to Sarasino at some point about the Fay’s complaint, but later indicated that he did not undertake any further investigation of the complaint because the Office "accept[ed] the credibility of the teenager and Mr. Sarasino’s observations and expect[ed] them to testify to their findings”. The administrative tribunal representative found that the evidence at the hearing sustained a violation of Public Health Law § 1399-cc and imposed a $100 penalty. Fay’s administrative appeal was rejected, and this article 78 proceeding ensued.

Public Health Law § 1399-cc prohibits the sale of tobacco products, rolling papers or pipes to individuals under the age of 18. Public Health Law § 1399-ee contemplates that the "enforcement officer” is responsible for determining whether charges will be brought against a retail dealer for a violation of the Act. In this case, it is uncontested that the Department was the appropriate enforcement officer, as Wayne County had failed to designate an enforcement officer of its own. Section 1399-ee (3) (a) provides that "[i]f the enforcement officer determines, after a hearing, that a retail dealer has violated this article three times within a two year period, or four or more times cumulatively he or she shall, in addition to imposing any other penalty required or permitted by this section, direct the commissioner of taxation and finance to suspend the dealer’s registration for one year.” Thus, despite the fact that Fay’s was only fined $100 for the alleged violation in this case, they are vigorously litigating this case because subsequent violations potentially carry a much stiffer penalty.

Although Fay’s makes a number of interrelated arguments in support of the instant petition, the substance of Fay’s posi[947]*947tion in this proceeding is that the Geneva District Office has failed to perform a duty imposed by law and has acted arbitrarily and capriciously by improperly delegating its statutory authority to enforce violations of the Act to a private organization. As noted above, Steven Smolen testified at the hearing that the District Office undertakes no compliance checks of its own, but rather relies upon the Coalition to check compliance with the Act. The Office takes the Coalition’s complaints at face value and does not undertake any investigation of its own upon receipt of a complaint by the Coalition.

In support of its argument in this regard, the petitioner cites Matter of International Serv. Agencies v O’Shea (104 Misc 2d 1071). In this case, Supreme Court determined that the State respondent acted arbitrarily and capriciously in delegating the responsibility for determining which charities would be permitted to participate in the annual State Employees’ Federated Appeal to private charitable organizations and in failing to adopt specific, written standards to determine eligibility for participation in the annual appeal. As part of its criticism of the manner in which the respondent had improperly delegated its authority to determine inclusion in the program, the court noted that "the reins of government cannot be turned over to private interest groups to be utilized to preserve self-interests” (supra, at 1077).

New York courts have also considered, in a slightly different context, whether it is appropriate for enforcement of criminal laws to depend solely upon private complaints. In People v Acme Mkts. (37 NY2d 326, 328), the precise question before the Court of Appeals was whether "prosecution at the instance of an interest group for its private purposes constitutes discrimination violative of the equal protection clauses of the Federal and State Constitutions.” In that case, the statute at issue was the Sunday sales law.

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Related

Hoch v. New York State Department of Health
191 Misc. 2d 462 (New York Supreme Court, 2002)

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Bluebook (online)
169 Misc. 2d 944, 645 N.Y.S.2d 995, 1996 N.Y. Misc. LEXIS 245, Counsel Stack Legal Research, https://law.counselstack.com/opinion/fays-inc-v-new-york-state-department-of-health-nysupct-1996.