Essex Regional Retirement Board v. Swallow State Board of Retirement v. O'Hare
Essex Regional Retirement Board v. Swallow State Board of Retirement v. O'Hare
Opinion
**242 These two cases present closely related questions concerning the scope of G. L. c. 32, § 15 (4) ( § 15 [4] ), which provides that no member of a public employee retirement system shall be entitled to a retirement allowance after conviction of a criminal offense involving a violation of the laws applicable to his or her office or position. 3
John Swallow was a police sergeant for the town of Manchester-by-the-Sea on administrative leave when he was charged with several crimes related to the discharge of his personal firearm, charges to which he admitted to sufficient facts to convict. Brian O'Hare was a police sergeant for the State police when he was charged with the Federal crime of using the Internet to entice a person under eighteen *583 years of age to engage in unlawful sexual activity, a charge to which he subsequently pleaded guilty.
In these cases, there are neither factual connections between the criminal activity and the officers' respective positions nor apparent violations of any laws expressly applicable to their positions. Notwithstanding, the Essex Regional Retirement Board (Essex board) and the State Board of Retirement (State board) each concluded that the officers' respective convictions violated the fundamental tenets of their positions as trusted law enforcement officials and denied the officers a retirement allowance under § 15 (4) as a result.
We conclude that, while the officers' conduct was entirely reprehensible, in view of the narrow interpretation that we have given to § 15 (4), requiring the forfeiture of their pension allowances was in error. Consequently, we affirm the decisions of the Superior Court judges allowing the officers' respective motions for judgment on the pleadings and vacating the boards' decisions otherwise.
Background . The facts are undisputed in both cases.
1. Swallow . Swallow was a police sergeant for the town of Manchester-by-the-Sea from March 1, 1989, until his termination **243 on January 4, 2013. Following a string of personal tragedies in 2011 and 2012, Swallow began drinking heavily and struggled with significant depression. In June 2012, Swallow was placed on administrative leave pending investigation of an abuse allegation unrelated to this matter. He was required to return his badge and service weapon at that time but retained his license to carry a firearm.
The incident that gave rise to Swallow's convictions took place in October 2012. Swallow and his wife, Lauren Noonan, were at their home; Swallow was drinking heavily and acting erratically. The couple argued, initially because Noonan was concerned that Swallow might drive his car while under the influence of alcohol, and the argument escalated. At one point, Noonan stated that she wanted Swallow to leave the home. Swallow refused, and Noonan indicated that if he did not leave she would testify against him regarding the abuse allegation. Swallow grabbed Noonan by the shirt, yelled at her, and waved a handgun in her face. Noonan left the home and began to walk to a neighbor's home. While in the neighbor's driveway, she heard a single gunshot.
Swallow, apparently contemplating suicide, had fired what he called a "brave shot," i.e., a shot meant to determine whether he had the courage to commit suicide. The bullet grazed his hand. Swallow was arrested by the Beverly police that evening and ultimately pleaded guilty to (1) assault and battery, (2) discharge of a firearm within 500 feet of a building, (3) assault by means of a dangerous weapon, (4) multiple counts of improper storage of a firearm, 4 and (5) intimidation of a witness.
Swallow committed his crimes while on administrative leave and with a personal firearm. He did not use his position as an officer or police resources to facilitate his crime. Nonetheless, the Essex board determined that Swallow's convictions required forfeiture of his pension under § 15 (4) because his offenses "strike at the heart of the duties of a police officer and simply cannot be separated from his position *584 as a law enforcement officer," and his actions "were a violation of the public's trust as well as a repudiation of his official duties."
Swallow sought review in the District Court, arguing that forfeiture was unjustified where there was no reference to public
**244
employment in the criminal statute under which he was convicted, no direct factual link between his conduct and his position as a police officer, and no violation of any identifiable law applicable to that position. Swallow also argued that forfeiture violated the excessive fines clause of the Eighth Amendment to the United States Constitution. On cross motions for judgment on the pleadings, a judge in the District Court vacated the Essex board's decision, concluding that Swallow's conduct and subsequent convictions were not connected sufficiently to his position to warrant forfeiture. That decision was subsequently affirmed by a judge of the Superior Court. Thereafter, the Appeals Court concluded that Swallow's use of a gun to threaten another's life violated the public's trust and was a repudiation of his official duties.
Essex Regional Retirement Bd
. v.
Justices of the Salem Div. of the Dist. Court Dep't of the Trial Court
,
2. O'Hare . O'Hare served as a trooper for the State police from 1986 until his resignation in October 2006 . For several months in 2005 and 2006, O'Hare communicated online with, and eventually arranged to meet with, an individual whom he believed to be a fourteen year old boy but was actually an undercover agent with the Federal Bureau of Investigation (FBI). The FBI arrested O'Hare in February 2006. O'Hare subsequently resigned from his position and pleaded guilty to a charge of using the Internet to attempt to coerce and entice a child under the age of eighteen years to engage in unlawful sexual activity.
O'Hare did not use his position or State police resources to facilitate his crime; he used his personal computer and did not communicate with the undercover agent while on duty. The foregoing notwithstanding, the State board determined that Swallow's conviction required forfeiture of his pension under § 15 (4) because it constituted a violation of the core tenets of his position and went "directly to the heart" of his responsibilities and obligations as a State police trooper.
O'Hare sought review in the District Court, arguing that forfeiture was not warranted where his conviction was not related to his position as a State police trooper. The State board argued that his misconduct, although private, went to the heart of his obligation to enforce the criminal laws and, as a result, forfeiture was required. On cross motions for judgment on the pleadings, a judge
**245
in the District Court vacated the State board's decision, concluding that O'Hare's criminal conduct did not warrant forfeiture because it was wholly independent of his job as a State police trooper. That decision was subsequently affirmed by a judge in the Superior Court. Thereafter, the Appeals Court reversed, concluding that forfeiture was required because O'Hare's conduct violated the fundamental tenets of his role as a State police trooper, where the protection of the vulnerable, including children, is at the heart of a police officer's role, and this repudiation of his official duties violated the public's trust and the integrity of the State police.
State Bd. of Retirement
v.
O'Hare
,
2. Pension forfeiture pursuant to G. L. c. 32, § 15 . a. Origins of § 15 (4) . General Laws c. 32, § 15, contains four subsections that generally govern the consequences that result from the commission of certain criminal offenses to retirement rights of public employees. Subsection (1) applies to those situations in which a member of the retirement system "has been charged with the misappropriation of funds or property of any governmental unit" in which he or she was employed. Three other subsections establish the consequences of convictions of certain criminal offenses.
Subsections (3) and (3A) are both entitled "Forfeiture of rights upon conviction." Subsection (3) denies a retirement allowance after final conviction of such member "of an offense involving the funds or property of a governmental unit or system referred to in subdivision (1) of this section," and does not permit the return of retirement contributions "unless and until full restitution for any such misappropriation has been made." Subsection (3A) applies only in circumstances where a member has been convicted of certain specified offenses, i.e., those set forth in either G. L. c. 268A, § 2 ("Corrupt gifts, offers or promises to influence official **246 acts; corruption of witnesses"), or G. L. c. 265, § 25 ("Attempted extortion; punishment").
Subsection (4), inserted by St. 1987, c. 697, § 47, and entitled "Forfeiture of pension upon misconduct," provides that "in no event" shall any member of the State retirement system be entitled to a retirement allowance "after final conviction of a criminal offense involving violation of the laws applicable to his office or position."
5
This subsection was enacted in reaction to this court's decision in
Collatos
v.
Boston Retirement Bd
.,
b.
Application of § 15 (4)
. Our first substantive decision considering the applicability of § 15 (4) was
Gaffney
,
Massachusetts appellate decisions over the next decade reflect consistent application of § 15 (4) where members had engaged in criminal activities in the course of their duties, often resulting in at least one violation of a statute expressly applicable to public employees or officials. See, e.g.,
MacLean
v.
State Bd. of Retirement
,
The opinion of
Bulger
,
Notably, we recognized that not every code violation would compel forfeiture: "the language of the code enunciating the high standards to which clerks are held is broad, whereas the language of ... § 15 (4)... is narrower, no doubt due to the severity of pension forfeiture as a sanction for dereliction of duty by a member."
*587
Id
. at 178,
After
Bulger
, Massachusetts appellate courts continued to uphold pension forfeitures in a narrow set of circumstances: those where a member had either (1) engaged in criminal activity factually connected to his or her position or (2) violated a law expressly applicable to public employees or officials. See
State Bd. of Retirement
v.
Finneran
,
By contrast, our appellate courts declined to uphold forfeitures where there were neither factual connections nor violations of laws expressly applicable to public employees or officials.
7
See
*588
Garney
,
In short, our precedent requires a "direct link" between the criminal offense and the member's office or position, either "factual" or "legal."
Finneran
,
3. Analysis . Neither Swallow's nor O'Hare's conduct was factually connected to his position as a police officer. In addition, none of their convictions expressly applied to public officials or employees. The question then is whether the convictions nevertheless constituted violations of "the laws applicable" to their positions. G. L. c. 32, § 15 (4).
The boards argue that the officers' convictions violated the fundamental tenets of their positions such that there are sufficient legal links to merit forfeiture. In reaching this conclusion, they emphasize that police officers voluntarily undertake to adhere to a higher standard of conduct than do ordinary citizens, that as law enforcement officials they hold a position of special public trust, and that each officer's conduct blatantly violated that trust. Specifically, the Essex board argues that this case is analogous to Durkin in that Swallow's convictions are inconsistent with his position's obligations and the requirement that he "behave in a manner that brings honor and respect for rather than public distrust of law enforcement." In a similar vein, the State board argues that O'Hare's *589 convictions undermined the central role of a State police trooper as articulated in the rules and regulations of the State police and undercut public confidence in the integrity of the State police.
a.
Violation of special public trust
. The Essex board argues that under
Durkin
forfeiture is required where a police officer's violation of the law demonstrates a "violation of the public's trust" and a "repudiation of his official duties."
Durkin
,
First, the Essex board's reliance on
Durkin
for the proposition that where a police officer violates the public trust and shirks his or her official duties forfeiture is mandatory is misplaced. In that case, forfeiture was required where a police officer was convicted of assault and battery by means of a dangerous weapon for shooting another officer with his department-issued firearm.
Id
. at 117,
Second, we are not persuaded by the State board's argument that law enforcement officials are an exception to the proposition that pension forfeiture should not follow "as a consequence of any and all criminal convictions" because of their "special position" in our society. See
Gaffney
,
b.
Applicable "laws" under § 15 (4)
. Section 15 (4) is clear and unambiguous: the Legislature intended that pension forfeiture result
only
where criminal conduct underlying a particular conviction involved a violation of the "laws" applicable to the member's office or position. In determining what this limitation means, we must give the language effect consistent with its plain meaning and refrain from reading into the statute "a provision which the Legislature did not see fit to put there" or "words that the Legislature had an option to, but chose not to include" (citation omitted).
Canton
v.
Commissioner of the Mass. Highway Dep't
,
The State board urges us to conclude that the "laws" applicable to the office or position of State police trooper include the State police rules and regulations, issued by the colonel of the State police pursuant to G. L. c. 22C, §§ 3 and 10, which function as a code of conduct. These regulations require, among other things, that troopers avoid conduct that brings the State police into disrepute and obey all of the laws of the United States and of the local jurisdiction in which the trooper is present. We decline to do so.
First, there is no indication that the Legislature intended § 15 (4) to be triggered by a violation of a rule, regulation, professional oath, code of conduct, or other internal practice or policy that does not have the force of law. Had the Legislature so intended, it certainly could have included language to that effect, as it did in a
**253
preceding section. See G. L. c. 32, § 10 (2) (
c
) ("Any member who is removed or discharged for violation of the laws, rules and regulations applicable to his office or position ... shall not be entitled to the termination retirement allowance provided for in this subdivision"). We will not conclude that such language is implied where the Legislature has excluded it. See
Canton
,
Second, the State board's reliance on
Bulger
and
Buonomo
for the proposition that codes of conduct might serve as the applicable "law" because they establish the standards governing the norms of conduct and practice is misplaced. In
Bulger
, we concluded that the "laws" applicable to the office or position of clerk-magistrate include the code because "it establishes the very standards governing the norms of conduct and practice associated with such office,"
and
the code has "the force of law," i.e., it is just as binding on the court and the parties as would be a statute. See
*591
Bulger
,
While the officers' actions were clear and serious violations of the law, it does not automatically follow that they are subject to loss of their retirement allowance by virtue of either their heightened obligation to uphold the law or their special position of trust in our society. Our case law is consistent on this point -- a legal link requires in the first instance a violation of an expressly applicable "law." See
Finneran
,
Conclusion . We affirm the decisions of the Superior Court judges affirming the District Court judges' decisions and vacating the boards' decisions.
So ordered .
These cases were paired for oral argument and combined for purposes of this opinion because they raise essentially identical questions of law. Our analysis and decision apply equally to both.
A search of the house revealed a considerable collection of firearms and ammunition in the home, including hundreds of weapons that Swallow was storing for a friend who was on a military deployment. The police determined that three of the firearms observed in the house were not properly secured.
Retirement contributions are returned to the member. G. L. c. 32, § 15 (4) (§ 15 [4] ).
We also rejected the argument that we should consider whether the clerk-magistrate's convictions, had they occurred while he was still employed as a clerk-magistrate, would have resulted in removal: "such an analysis is too broad, and it fails to recognize that the standards for a member's removal from office and for a member's forfeiture of a retirement allowance are different."
State Bd. of Retirement
v.
Bulger
,
We also have declined to require forfeiture pursuant to § 15 (4) where total forfeiture would violate the excessive fines clause of the Eighth Amendment. See
Public Employee Retirement Admin. Comm'n
v.
Bettencourt
,
Reference
- Full Case Name
- ESSEX REGIONAL RETIREMENT BOARD v. John SWALLOW & Others. State Board of Retirement v. Brian O'Hare & Others.
- Cited By
- 3 cases
- Status
- Published