Jones v. State of New York
Jones v. State of New York
Opinion of the Court
Claimant seeks to recover damages from the State for the false imprisonment, pain and suffering and mental anguish which her decedent sustained prior to his death as well as for his wrongful death. The State moved in the Court of Claims to dismiss the claim on the grounds that workmen’s compensation is claimant’s sole remedy and that the claim failed to state a cause of action since the State is insulated ágainst the alleged liability by the doctrine of sovereign immunity. The Court of Claims denied the motion to dismiss stating that there were factual questions which “ in the opinion of the Court cannot be resolved upon a motion to dismiss.” The Appellate Division, by a closely divided court, (3-2), reversed the order of the Court of Claims, granted the State’s motion and dismissed the claim. The majority held that the State was immune from liability since it was acting in its sovereign capacity and therefore, nothing claimant could establish on her pleadings could render the State liable for the injuries and death of her husband. The order of the Appellate Division should be modified.
The facts are simply stated. Claimant’s decedent was employed by the Department of Correctional Services, a subdivision of the State of New York, in the capacity of accounts clerk at the Attica State Correctional Facility. His position was clerical and in no way was he involved in the guarding or disciplining of prisoners. On September 9, 1971, while so employed, he was taken hostage during the occurrence of what is now recalled as the “ Attica uprising ”. The claim alleges two causes of action. The first is based upon the negligence of the State in failing to warn the decedent of the impending riot of which the State had, or should have had, knowledge. The second cause of action is based upon intentional tort, alleging that during the forceful retaking of the prison on September 13,1971 a State trooper ‘ ‘ without just cause or provocation and with great force and violence, wilfully and intentionally assaulted and battered the Claimant’s decedent by firing several shots of a gun at Claimant’s decedent, one or more of which
As to the first cause of action, the order appealed from should be affirmed. The cause of action is one in negligence. Since the claim alleges that the State, was negligent while the decedent “ was performing his clerical duties as an accounts clerk ”, the claim must be dismissed and the plaintiff is relegated to workmen’s compensation as her exclusive remedy.
The second cause of action alleges that a State trooper “ wilfully and intentionally assaulted ” plaintiff’s decedent causing his death. This claim states a cause of action and that part of the Appellate Division order which dismissed this claim is reversed. The majority below relied heavily upon Weiss v. Fote (7 N Y 2d 579 [1960]) and cites Bellows v. State of New York (37 A D 2d 342 [4th Dept., 1971]) and Newiadony v. State of New York (276 App. Div. 59 [3d Dept., 1949]) in support of its position. Reliance upon these cases is misplaced as the claim does not sound in negligence but alleges an intentional tort in that a State trooper shot the decedent dead. The claim alleges a cause of action similar to the cause of action sustained by this court in the case of Kline v. State of New York (278 N. Y. 615 [1938]). There, this court held that the State is liable for an assault committed upon the plaintiff by troopers which was “ without cause or provocation and unjustifiable ” (id., at p. 616), the precise words used in the instant claim.
The concept is not novel. A long line of cases has held the State or municipalities liable for the actions of their police officers in the line of duty. Hinton v. City of New York (13 A D 2d 475 [1st Dept., 1961]) — plaintiff, while being lawfully arrested, was struck by several police officers; Franklin v. State of New York (276 App. Div. 1038 [3d Dept., 1950]) —plaintiff was assaulted by State troopers during his detention; Huff v. State of New York (271 App. Div. 1040 [3d Dept., 1947]) — plaintiff was assaulted by a State trooper in the course of a criminal investigation; Egan v. State of New York, (255 App. Div. 825 [4th Dept., 1938]) — plaintiff was assaulted by a State trooper during the course of Ms arrest. In each of these cases the troopers were engaged in activities wMch can only be described as ‘ ‘ governmental ’ ’ in nature. The theory upon wMch recovery from the State in these cases is premised is found in
Nor should the fact that the decedent suffered his fatal injuries during the Attica riot bar his recovery. That fact is irrelevant in light of the settled law. The action of retaking the prison is no more “ governmental ” than making an arrest, maintaining someone in custody or investigating a traffic infraction. The use of excessive force by troopers during these activities was sufficient to fasten liability upon the State. A different rule should not apply here. Should the Judge in the Court of Claims find that the force used against the decedent was more than necessary under all the circumstances, then plaintiff is entitled to recover (Hinton v. City of New York, 13 A D 2d 475, supra; see, also, 3 N. Y. Juris., Assault and Battery, §§ 8, 11, at pp. 235, 238; 40 N. Y. Juris., Municipal Corporations, §§ 1003, 1009, p. 262).
Finally, in reversing the dismissal of the second cause of action, we note that due to the chaotic conditions which surrounded this tragedy the claimant faces a heavy burden of proof in her attempt to establish the use of excessive force by the State. A mountain of facts has been presented by the McKay Commission, a fact-finding body which was established by the Governor subsequent to the revolt. The findings, which were presented in Attica: The Official Report of the New York Special Commission on Attica (Bantam, 1972), indicate that the
Accordingly, the case should be remanded for further proceedings not inconsistent with this opinion.
Dissenting Opinion
(dissenting). On this appeal from dismissal of a claim for damages for wrongful death, important questions are raised concerning the remedies for the torts of law enforcement officers. Affording the claimant the most liberal reading of the allegations of the claim, as is, required on a motion to dismiss, I must nevertheless conclude that sovereign immunity is a bar to granting relief, and, accordingly, that claimant’s exclusive remedy is in workmen’s compensation.
The claim alleges that Herbert Jones was employed by the State as an accounts clerk at the Attica Correctional Facility. On September 9,1971, at the outbreak of the uprising at Attica, he was taken hostage by the prisoners. He died on September 13, 1971 of wounds inflicted by State policemen engaged in suppressing the uprising and retaking the facility.
Two claims or causes are pleaded. The gravamen of the first is negligence on the part of agents of the State in failing to warn the decedent of the impending riot. The crux of the second is intentional tort — assault and battery — that in the course of implementing the State’s decision to retake the facility by force of arms, State policemen “ wilfully ° * * assaulted and battered the Claimant’s decedent by firing several shots of a gun at s ° 5 [Mm], one or more of wMch * * * struck him in the head, chest and back, thereby causing Ms death.”
-The immunity of the States and their civil subdivisions from liability for police torts may be traced to the pre-Civil War era. (E.g., Dargan v. Mayor of Mobile, 31 Ala. 469; Stewart v. City of New Orleans, 9 La. Ann. 461, 61 Am. Dec. 218; see, generally, Shapo, Municipal Liability for Police Torts: An Analysis of a Strand of American Legal History, 17 U. Miami L. Rev. 475, 476-478.) In tMs State, the early eases dealt almost exclu
However, the need for an expanding concept of the law with respect to municipal tort liability soon became apparent. In Augustine v. Town of Brant (249 N. Y. 198, ,205), this court noted that “ [t]he modern tendency is against the rule of non-liability.” And in Matter of Evans v. Berry (262 N. Y. 61), we upheld an award by the New York City Board of Estimate for a bullet wound sustained by a bystander from a revolver fired by a policeman chasing robbers. Premised on a statutory provision empowering the city “ to pay or compromise claims equitably payable * * * though not constituting obligations legally binding on it ” (262 N. Y., at p. 67), we held that the award was not an unconstitutional gift of public funds but “ the legitimate recognition of an equitable claim ” (262 N. Y., at p. 71). The decision was significant for its frank recognition of the injustice of the ancient rule that the innocent bystander, shot by stray bullets from the policemen pursuing criminals or making arrests, must alone bear his loss.
Aided by two statutes, the destruction of immunity for police torts proceeded apace. One of these provided for municipal
There followed a host of cases recognizing municipal liability under the Court of Claims Act for the negligence of law enforcement officers in the line of duty. (E.g., Dunham v. Village of Canisteo, 303 N. Y. 498 [arrested man died from pneumonia caused by exposure in the jail and failure to treat a fractured hip and elbow]; Wilkes v. City of New York, 308 N. Y. 726 [bystander negligently shot by a policeman engaged in an, altercation with another]; Flamer v. City of Yonkers, 309 N. Y. 114 [man negligently shot by a policeman for making a disturbance while intoxicated]; Meistinsky v. City of New York, 309 N. Y. 998 [holdup victim killed by an untrained police officer’s bullets] ; Lubelfeld v. City of New York, 4 N Y 2d 455 [taxicab driver shot by a passenger negligently placed in his cab by policeman]; O’Grady v. City of Fulton, 4 N Y 2d 717 [man arrested for public intoxication died from cerebral hemorrhage in consequence of police failure to procure medical aid]; Benway v. City of Watertown, 1 A D 2d 465 [wife shot by her husband to whom the police had. negligently returned a pistol]; Adamo v. P. G. Motor Frgt., 4 A D 2d 758 [bystander injured while directing traffic at the instance of a police officer].)
Similarly, under the Court of Claims Act, the courts found little difficulty in applying the principle of respondeat superior and imposing liability upon the State or its municipalities for
Thus, in the main it was the waiver of immunity in the Court of Claims Act that removed the bar that previously prevented actions based on police torts. (Schuster v. City of New York, 5 N Y 2d 75.) But as this court made clear in Weiss v. Fote (7 N Y 2d 579), although the State (and its civil divisions) has waived its immunity from liability arising from its sovereign character, the Court of Claims Act did not destroy all facets of governmental immunity (id., at pp. 586-587). “ It is proper and necessary to hold municipalities and the State liable for injuries arising out of the day-by-day operations of government * * * but to submit to a jury [or a court] the reasonableness of the lawfully authorized deliberations of executive bodies presents a different question.” (Id., at p. 585.) That is akin to saying that discretionary determinations made
The question is, however, at what level a discretionary act becomes a political one, immune from judicial review. True, it may be difficult to define with precision what is a discretionary function for immunity purposes. But whatever the “ line-drawing ” difficulties in future cases, a workable definition will be one recognizing that “ [m]uch of what is done by officers and employees of the government must remain beyond the range of judicial inquiry ” (3 Davis, Administrative Law Treatise [1958], § 25.11, p. 484), and that obviously “ it is not a tort for government to govern ” (Dalehite v. United States, 346 U. S. 15, 57 [Jackson, J., dissenting]). But that it is not to say that all decisions by government officials involving the exercise of judgment should be immune from judicial review. Thus, semantical, purely literal, distinctions between ministerial and discretionary functions are not helpful (Indeed, it is difficult to conceive of any official act that does not admit of some discretion in its performance.) Bather, the focus should be upon an assurance of judicial abstention in areas in which the responsibility for basic policy decisions has been committed to co-ordinate branches of government. Any wider review would place the courts in the unseemly position of passing upon the propriety of decisions expressly entrusted to a co-ordinate branch, a role and a function not consonant with the doctrine of separation of powers. Indeed, the very potentiality for such review might in the first instance affect the co-ordinate body’s deliberative and decision making processes. (Jaffe, Judicial Control of Administrative Action, pp. 241-259; James, Tort Liability of Governmental Units and Their Officers, 22 U. Chi. L. Rev. 610, 637-638, 640, 651; Note, The Discretionary Function Exception of the Federal Tort Claims Act, 66 Harv. L. Rev. 488, 498.)
So viewed, a rationale becomes apparent for the liability of the State and its civil divisions in the garden variety police tort case. (See Bivens v. Six Unknown Named Agents of Fed. Bur. of Narcotics, 456 F. 2d 1339,1346 [2d Cir.].) For example with regard to the arrest situation where a policeman commits an intentional tort, doubtless it is true that in effecting the arrest the officer must exercise some discretion, perhaps a high
Were the case before us a simple police tort case, I would concur for reversal. But it is not. Looking to the substance of the claim for wrongful death, rather than the form of the pleading, however artfully drawn in terms of a conventional, intentional police tort (cf. Olson v. United States, 93 F. Supp. 150 [D. N. D.]), the claimant is aggrieved by a basic discretionary policy decision — the manner and means of coping with the tragic uprising at Attica — made at the highest levels of the executive branch of government by officials entrusted with the responsibility for managing the correctional system. Involved is an area of quasi-legislative policy making in a co-ordinate branch of government sufficiently sensitive to warrant immunization from judicial review lest considerations of separation of powers be infringed and the executive’s deliberative and decision making processes in crisis situations be invaded.
Neither McCrink v. City of New York (296 N. Y. 99) nor Schuster v. City of New York (5 N Y 2d 75, supra) undercuts this analysis. In McCrink, the city was held liable for the negligence of the police commissioner in failing to discharge an habitually drunken police officer who shot and killed a citizen. The power of dismissal called for an exercise of discretion which we held reviewable. But judicial review of that discretionary determination would not appear to pose a threat to the efficient administration of a police department, nor call into question the type of basic policy decisions warranting immunization. In the Schuster case, plaintiff’s intestate supplied information to the Police Department of the City of New York leading to the arrest of a notorious criminal. Subsequent threats upon the informer’s life were communicated to the
For the reason stated, I would affirm the order of the Appellate Division.
Chief Judge Fuld and Judges Gabrielli and Wachtler concur with Judge Burke ; Judge Jasen dissents and votes to affirm in a separate opinion in which Judges Breitel and Jones concur.
Order modified, without costs, and case remitted to Court of Claims for further proceedings in accordance with opinion herein, and, as so modified, order affirmed.
A municipality is not liable, however, for an act of positive and designed injury not done with a view to the municipality’s service or for the purpose of executing its orders. (Burns v. City of New York, 6 A D 2d 30, 32, 34-35, 36.)
Reference
- Full Case Name
- Lynda Jones, Individually and as Administratrix of the Estate of Herbert W. Jones, Jr., Deceased, Appellant, v. State of New York, Respondent, and Vincent Mancusi Et Al., Defendants
- Cited By
- 76 cases
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- Published