GRAFFEO, J.
After her estranged boyfriend shot her, causing serious injuries, plaintiff Carmen Valdez sued the City of New York for failing to provide her with adequate police protection to prevent the attack. The primary issue before us is whether there was sufficient evidence in the record to establish the existence of a special relationship between Valdez and the police. Because we conclude that there was not, we affirm the order of the Appellate Division, which reversed the judgment in plaintiffs' favor and dismissed the complaint.
In July 1996, after a prior order of protection expired, plaintiff Carmen Valdez obtained a second order of protection against her former boyfriend, Felix Perez, in Bronx Criminal Court. She delivered the order to the Domestic Violence Unit at her local police precinct and asked that it be served on Perez. At that time, Valdez met Officers Torres and Pereira—the two individuals assigned to the unit. Valdez later received a telephone call from Officer Pereira confirming that Perez had been served with the court order.
According to Valdez, about a week later, Perez telephoned her at around 5:00 P.M. on a Friday evening and threatened to kill her. Perez had made various threats in the past—threats that prompted Valdez to secure an order of protection—but Valdez
After speaking to Officer Torres, Valdez returned to her apartment with her children where she remained for the rest of the evening. She did not hear from the police that evening, nor did she contact the precinct to inquire whether Perez had been located or arrested. The night passed without incident. The following day—a Saturday—Valdez and the children remained in their apartment most of the day. At about 10:45 P.M. that evening, Valdez stepped out of the apartment and into the hallway of her building intending to take out the garbage when she was confronted by Perez brandishing a gun. He ushered her back into the apartment doorway and, tragically, shot her two or three times, injuring her face and arm. The two children witnessed the shooting but were not physically harmed. Perez then turned the gun on himself and committed suicide.
Valdez commenced this action against the City of New York claiming that, based on her telephone conversation with Officer Torres, the City had undertaken a "special relationship" with her that created a duty of care; that the City was negligent in failing to arrest Perez prior to the attack; and that its negligence was a proximate cause of the shooting. Valdez also brought claims on behalf of the children, contending that the "special relationship" extended to them and that they could recover damages for negligent infliction of emotional distress because they were in the zone of danger at the time of the attack.
At trial, Valdez offered her account of the events preceding the shooting, while the City asserted that Valdez had not contacted the police the night before the shooting and, as such, that the police neither promised to arrest Perez nor directed Valdez to return to her apartment. Consistent with its assertion that it never received a complaint from Valdez on the night in question, the City did not offer any evidence of investigative or other police activities taken in response to the telephone call. The jury apparently credited plaintiffs' proof as it returned a verdict apportioning fault 50% to the City and 50% to Perez, awarding damages in the amount of $9.93 million. Beyond the finding of negligence, the jury also determined that the City had acted in reckless disregard of plaintiffs' safety. The City moved to set aside the verdict on a number of grounds, reiterating its contention that the evidence had been insufficient to support a finding of "special relationship." Supreme Court declined to disturb the verdict on liability but modified the damages award in a minor respect (the parties also stipulated to reduce the award for past medical expenses).
The City appealed to the Appellate Division, which reversed the judgment and vacated the verdict in a divided decision (74 A.D.3d 76 [2010]). Three justices concluded that plaintiff failed to establish a special relationship because the proof was inadequate to support a finding that Valdez's reliance on the officer's promise to arrest Perez was justifiable. The two dissenting justices reasoned that there was sufficient evidence of justifiable reliance and would have sustained the liability verdict, albeit modifying the judgment to vacate the reckless disregard finding. Given that this Court's decisions in McLean v City of New York (12 N.Y.3d 194 [2009]) and Dinardo v City of New York (13 N.Y.3d 872
Plaintiff appealed to this Court as of right on the two-justice dissent.
We begin with the observation that it is undisputed that this case involves the provision of police protection, which is a classic governmental, rather than proprietary, function. That being so, the facts potentially implicate two separate but well-established grounds for a municipality to secure dismissal of a tort claim brought against it by a private citizen injured by a third party. The first relates to the fundamental obligation of a plaintiff pursuing a negligence cause of action to prove that the putative defendant owed a duty of care. Under the public duty rule, although a municipality owes a general duty to the public at large to furnish police protection, this does not create a duty of care running to a specific individual sufficient to support a negligence claim, unless the facts demonstrate that a special duty was created. This is an offshoot of the general proposition that "[t]o sustain liability against a municipality, the duty breached must be more than that owed the public generally" (Lauer v City of New York, 95 N.Y.2d 95, 100 [2000]). We have deemed it necessary to restrict the scope of duty in this manner because the government is not an insurer against harm suffered by its citizenry at the hands of third parties. Thus, in order to pursue her negligence action against the City in this case, plaintiffs were required to allege a special duty—which they attempted to do by contending that the telephone conversation with Officer Torres created a special relationship.
The second principle relevant here relates not to an element of plaintiffs' negligence claim but to a defense that was potentially available to the City—the governmental function immunity defense. Although the State long ago waived sovereign immunity on behalf of itself and its municipal subdivisions, the common-law doctrine of governmental immunity continues to
As a result, "[a] public employee's discretionary acts—meaning conduct involving the exercise of reasoned judgment—may not result in the municipality's liability even when the conduct is negligent" (Lauer, 95 NY2d at 99).
As we recently observed in McLean v City of New York (12 NY3d at 203), when both of these doctrines are asserted in a negligence case, the rule that emerges is that "[g]overnment action, if discretionary, may not be a basis for liability, while
In Chief Judge Kaye's decision in Lauer, we expressly rejected the contention "that a ministerial breach by a governmental employee necessarily gives rise to municipal liability" (95 NY2d at 99). Lauer clarified that, even when municipal action is ministerial—thereby "remov[ing] the issue of governmental immunity from [the] case" (id. [citation omitted])—the plaintiff in a negligence action must nonetheless establish that the municipality owed a duty of care by demonstrating the existence of a special duty beyond the obligation owed the public at large. In fact, in Lauer it was undisputed that the municipal negligence in question—the medical examiner's failure to deliver a corrected autopsy report to law enforcement authorities— amounted to a ministerial act (id.). Yet the Court applied the special duty analysis to determine whether the municipality could be answerable in negligence, concluding that plaintiff's claim could not be sustained because the medical examiner owed no special duty of care.
Despite the analysis presented in Lauer, there has been lingering confusion concerning the relationship between the special duty rule (establishing a tort duty of care) and the governmental
This Court is not, however, unanimous in this effort. It appears that Chief Judge Lippman views the special duty rule as an exception to the governmental function immunity defense, at least in some circumstances. We did not adopt this view in Lauer, McLean and Dinardo—and decline to do so today. Judge Jones concludes that the governmental function immunity defense should be inapplicable to police protection cases, reasoning that a plaintiff should be able to recover in that category of claims as long as a special duty is established. We reject this approach as well.
The dissenters seem to be concerned that, if governmental function immunity is available in police protection cases, plaintiffs will never be able to recover in negligence. Plaintiffs have similarly opined that the application of the McLean syllogism in this category of negligence cases will preclude plaintiffs from holding municipalities liable—a fear that is predicated on the theory that police work invariably involves the exercise of discretion. We do not share this view because we do not accept the premise underlying it. We know of no decision of this Court holding that police action (or inaction, as it might be more accurately characterized in this case) is always deemed
In order to prevail on a governmental function immunity defense, a municipality must do much more than merely allege that its employee was engaged in activities involving the exercise of discretion.
Beyond the role the individual employee plays in the organization, the availability of governmental function immunity also turns on "whether the conduct giving rise to the claim is related to an exercise of that discretion" (id.). The defense precludes liability for a "mere error of judgment" (see Haddock, 75 NY2d at 485) but this immunity is not available unless the municipality establishes that the action taken actually resulted
With these principles in mind, we turn to the special duty issue in this case in recognition of the fact that, if plaintiffs cannot overcome the threshold burden of demonstrating that defendant owed the requisite duty of care, there will be no occasion to address whether defendant can avoid liability by relying on the governmental function immunity defense.
To establish a special relationship, plaintiffs were required to show that there was:
The City focused its argument on the fourth element of the
Assuming, as we must given the procedural posture of this case, that the telephone call between Valdez and Officer Torres occurred as Valdez described, the officer's statement did not create a special relationship. It was not reasonable for Valdez to conclude, based on nothing more than the officer's statement that the police were going to arrest Perez "immediately," that she could relax her vigilance indefinitely, a belief that apparently impelled her to exit her apartment some 28 hours later without further contact with the police. The record indicates that Perez threatened plaintiff over the telephone—there is no indication that plaintiff knew where he was calling from or that she conveyed any information relating to his whereabouts to the police.
Thus, it would not have been reasonable for Valdez to have relied on the police promise to arrest Perez "immediately" in a literal sense since his location had to be discovered. In fact, the record shows that Valdez understood that the police would first
Furthermore, Valdez's own statements concerning her expectations undercut the claim of justifiable reliance. Based on her prior experience with the Domestic Violence Unit, Valdez testified that she expected the police to call her back to confirm the arrest—and she acknowledged that she received no such call prior to the attack (nor did she contact the precinct to inquire concerning the status of the search). Because Valdez expected to receive confirmation that Perez had been taken into custody, it is difficult to reconcile her contention that she was nonetheless justified in relaxing her vigilance when more than a day passed with no word of the expected arrest. As is evident from the analysis in Cuffy, a promise by police that certain action will be forthcoming within a specified time period generally will not justify reliance long after a reasonable time period has passed without any indication that the action has occurred.
For all of these reasons, this case is distinguishable from Mastroianni v County of Suffolk (91 N.Y.2d 198 [1997]), on which plaintiff relies. In Mastroianni, the police responded to a call at the victim's residence and found that her estranged husband, who had allegedly been inside her home, had taken refuge at the home of a neighbor. After speaking to both the victim and the husband, the police advised the victim that they would not make an arrest but assured her that they would do what they could for her if there were additional problems with her husband. The police then remained on the scene, across the street from the home—an action that permitted the victim to reasonably believe that the police were nearby and able to monitor the situation and that they would provide protection if the need arose that evening. The fact that the police did not leave the area and therefore remained in a position to lend additional assistance provided a basis, beyond the promise, for the victim to relax her vigilance and reasonably rely on their continued protection. When the police briefly left for a dinner break
Since there were no extraneous factors beyond Officer Torres' promise that can be said to have contributed to plaintiff's sense of security, plaintiffs' justifiable reliance argument is based on the contention that it was reasonable for Valdez to rely on Torres' statement that Perez would be arrested immediately simply because the officer said so. In other words, plaintiffs suggest that it is always justifiable for a citizen to rely on an assertion made by a police officer.
Because we have concluded that plaintiffs' proof was insufficient to establish a special relationship and demonstrate that the City owed them a special duty of care, we agree with the Appellate Division that Supreme Court should have dismissed the negligence claims for failure to establish a prima facie case. Having determined that the duty element was lacking, we have no occasion to address whether the City preserved its right to assert the governmental function immunity defense by raising it in the trial court and, if so, whether it could have avoided liability under such a defense on the rationale that the alleged negligence involved the exercise of discretionary authority.
Accordingly, the order of the Appellate Division should be affirmed, with costs.
Chief Judge LIPPMAN (dissenting).
If, as the majority suggests, there is no basis for a governmental immunity defense in this case because the "City offered no ... evidence indicating that the police actually exercised discretionary authority in their assessment or response to [plaintiff's] complaint" (majority op at 79 n 6), then it would seem to me that plaintiff must prevail. The majority identifies no legal principle that would justify setting aside the jury verdict in plaintiff's favor. It is said that there was no legally sufficient basis for the jury's conclusion that plaintiff justifiably relied upon the promise that her
The evidence credited by the jury showed that on the evening of July 20, 1996, plaintiff Carmen Valdez sustained serious injuries when she was shot twice in the face and once in the arm by her estranged boyfriend, Felix Perez, who then turned his gun on himself with fatal consequence. The shooting of Ms. Valdez occurred at the threshold of her apartment and was witnessed by her two five-year-old children. During the weeks preceding the shooting, Perez had repeatedly abused, harassed and threatened Valdez and had been the subject of two orders of protection. The order in effect at the time of the shooting, issued on July 11, 1996, directed Perez to stay away from Valdez's home, school and place of employment, and forbade him from harassing, intimidating or threatening her.
Notwithstanding the pendency of this order, Perez, who retained a key to Valdez's apartment building, repeatedly confronted or attempted to confront her there. Accordingly, after receiving a telephone call from Perez on the evening of July 19, 1996, in which Perez threatened to kill her, Valdez fled her apartment with her children intent upon seeking refuge at the home of her grandmother. Before getting in her car to drive to her grandmother's, however, Valdez used a street pay phone to call Jose Torres, one of the Domestic Violence Unit police officers assigned to and familiar with her case and its history. According to Ms. Valdez's credited testimony, on hearing of Perez's threat and plaintiff's plan to flee her apartment, Torres instructed plaintiff not to go to her grandmother's, but to "immediately" return to her apartment. He assured her that Perez would be arrested "immediately." Valdez testified that Torres "told [her] don't worry, don't worry, we're going to arrest him. Go to your home and don't worry anymore." Valdez did as Torres said, abandoning her plan of sheltering herself and her children at her grandmother's. That evening and the ensuing night passed without incident and Valdez recalled that she felt her "nightmare was over." The reality was unfortunately very different. Torres evidently took no action in pursuance of his
The Appellate Division reasoned that Ms. Valdez could not have justifiably relied upon Officer Torres's assurances because "there was no [confirmatory] visible police conduct or action of any type" (74 A.D.3d 76, 81 [1st Dept 2010]). We have, however, never made such confirmation a legally requisite condition of a special duty finding. It is true that in Cuffy v City of New York (69 N.Y.2d 255 [1987]) we held that the plaintiffs there could not have reasonably relied upon police assurances that their downstairs tenant would be arrested when the promised time for that action had come and gone and plaintiffs were admittedly aware that the arrest had not been made (69 NY2d at 263). But all Cuffy establishes is that knowledge that the police have not acted in accordance with an assurance will defeat a claim of reasonable reliance on the assurance; it does not stand for the very different proposition formulated by the Appellate Division plurality that absent objective confirmation that the police have made good upon a promise of protection their promise may not be reasonably relied on. Here, Ms. Valdez, unlike the Cuffy plaintiffs, was not in a position visually to confirm whether the promised arrest had been made. She might, of course, have called Torres to find out if Perez had been taken into custody, but under the circumstances the jury properly concluded that this was not, as the City had contended, required to justify her reliance.
Ms. Valdez had a preexisting relationship with Officer Torres, who had been assigned to her case and, along with his partner, Officer Pereira, was aware of the orders of protection against Perez and the history of domestic violence that had led to their issue. Ms. Valdez had every reason to expect that Torres would, upon learning of Perez's death threat and her consequent plan to move to a safer place, act responsibly to see that the order of protection was enforced. In this context, Torres's assurance that Perez would be immediately arrested was one that Valdez should have been able to rely upon, particularly when it was coupled with the instruction that Valdez should dispense with her plan to relocate, as indeed the police themselves had previously urged her to do, and immediately return to her residence.
The majority, like the Appellate Division, extracts from Cuffy the general principle that reliance will not be deemed justified where official action is promised within a time and the time passes without confirmation that the promised act has been performed. Whatever the general applicability of this principle— which, as noted, is not fairly derived from the specific facts of Cuffy—it is here inapposite. Plaintiff had a valid order of protection against Perez and pursuant to CPL 140.10 (4) (b) (i)
To be clear, I do not say that, in every case where a governmental act is legally mandated, its performance, even when made the subject of a personal assurance, may be reasonably relied upon—there may well be situations in which specific objective circumstances known to the plaintiff would preclude such reliance—only that, where, as here, there are no circumstances manifestly preclusive of reliance, it does not seem possible to say as a matter of law that it is unreasonable to expect the government to act in accordance with its legal mandate. That, however, is what the Court holds today. This is from a legal perspective merely incorrect, but from an equitable and policy perspective devastatingly wrong. Orders of protection are intended to, and do, foster reliance. To now say that they may not be reasonably relied upon, even in a situation where the party who has been adjudicated in need of protection has been specifically promised that the order will be enforced and has no objective indication that her reliance was misplaced, fundamentally subverts the utility of these orders. While this undoubtedly shields government from liability, that objective cannot in all circumstances be the decisional imperative.
We have long recognized "the unfairness ... in precluding recovery when a municipality's voluntary undertaking has lulled the injured party into a false sense of security and has thereby induced him either to relax his own vigilance or to forego other
In McLean, however, the Court, in the course of addressing the plaintiff's contention that she was entitled to prevail even if she had not established the existence and breach of a special duty, since the sued upon negligence was assertedly in the performance of a ministerial function, undertook to address the distinction apparently drawn in our cases respecting the actionability of discretionary as opposed to ministerial government conduct. Quoting language from our decisions in Pelaez v Seide (2 N.Y.3d 186 [2004]) and Kovit v Estate of Hallums (4 N.Y.3d 499 [2005]) which seemed to cast the special duty doctrine simply as an exception to the rule of governmental immunity for discretionary acts, and contrasting that language with portions of our decisions in Tango v Tulevech (61 N.Y.2d 34, 40 [1983]) and Lauer v City of New York (95 N.Y.2d 95, 99 [2000]) describing the immunity for discretionary conduct as absolute, the McLean court said:
The question that has widely arisen since McLean is whether it abrogated the special duty doctrine—whether even though a plaintiff succeeded in demonstrating the existence and breach of a voluntarily assumed special duty, as well as resultant injury, recovery would still be barred because the action was ultimately "based" upon governmental conduct involving the exercise of discretion. While I expressed the view in Dinardo v City of New York (13 N.Y.3d 872, 875-878 [2009, Lippman, Ch. J., concurring]) that McLean does indeed mean what it says—a circumstance other jurists have found "inconceivable" (see Valdez v City of New York, 74 A.D.3d 76, 78 [2010])—I at the same time expressed serious doubts as to the accuracy of McLean's iteration of the law respecting the applicability of the special duty doctrine and misgivings as to what that iteration portended, specifically for claims involving failures to provide promised police protection (13 NY3d at 876-878).
If, as the majority suggests, there is no factual basis for defendants' resort to the broad immunity recognized in McLean, then, as noted, the amply supported jury verdict should be upheld. It appears, however, that this was a case litigated from the outset and ultimately put to the jury upon the theory that because the claim was based on a failure to provide police protection it would be barred unless plaintiff established the existence of a special duty voluntarily assumed by the City and its breach with consequent damages.
The special duty doctrine was conceived precisely to avoid such an inequitable and, frankly, regressive outcome. It was devised as an extremely narrow and difficult-to-establish exception to the rule of nonliability where discretionary government conduct was alleged to have resulted in injury; never, before McLean, was the doctrine applied with respect to claims based on non-discretionary, i.e., ministerial, governmental acts since that conduct had been understood to be categorically actionable, provided the ordinary conditions of tort liability were met (see Signature Health Ctr., LLC v State of New York, 28 Misc.3d 543 [Ct Cl 2010]).
Today's decision, expressly leaving open the possibility that a special duty claim may be established and yet still be dismissed by reason of an ultimately unassailable immunity, effectively tolls the death knell for these actions. The doctrine was devised not simply to establish a duty owed to an individual rather than the public at large, but to permit recovery despite an otherwise preclusive immunity
I do not believe that a doctrine that has been so useful in tempering the harshness of governmental immunity in those rare and extreme cases where the government's voluntary promissory conduct has induced an individual's reliance and consequent harm should be dispatched, and certainly it should not be dispatched without explanation as if it had never existed. Today's decision, premised on a purely theoretical bifurcation of duty and immunity in the special duty context, merely completes the neutering first announced in McLean. I doubt that anyone will discern in it a plausible explanation as to why a doctrine that had for so long been considered to state grounds for overcoming the governmental immunity for discretionary acts, should have been summarily reduced to a vestige.
Accordingly, I would reverse the order of the Appellate Division, reinstate the verdict, and remit for further proceedings.
JONES, J. (dissenting).
It is undisputed that "[m]unicipalities long ago surrendered common-law tort immunity for the negligence of their employees," save for discretionary acts (Lauer v City of New York, 95 N.Y.2d 95, 99 [2000]; see Tango v Tulevech, 61 N.Y.2d 34, 40 [1983]). Plainly stated, discretionary acts "may not result in the municipality's liability even when the conduct is negligent," and "[m]inisterial negligence may not be immunized" (Lauer, 95 NY2d at 99). However, concurrent with the Court's application of the governmental immunity defense to discretionary acts and its recognition of tortious ministerial acts, this Court declared the "narrow right to recover from a municipality for its negligent failure to provide police protection where a promise of protection was made to a particular citizen and, as a consequence, a `special duty' to that citizen arose" (Cuffy v City of New York, 69 N.Y.2d 255, 258 [1987]). This exception is consistent with the well-settled principle that there can be no liability against a municipality for negligence without the plaintiff demonstrating that a specific duty was owed to that person (see Lauer, 95 NY2d at 100).
Therefore, in my view, Cuffy's "narrow right to recover from a municipality" remained unaffected by the Court's continued application of immunity to discretionary acts in claims by "a member of the public ... against a municipality for its employee's negligence" (Lauer, 95 NY2d at 97; see Dinardo v City of New York, 13 N.Y.3d 872 [2009]; McLean v City of New
To that end, a "special relationship" is established between a municipality and plaintiff when there is
This Court has made clear that it is "the injured party's reliance," as well as "the municipality's voluntary affirmative undertaking of a duty to act," that are "critical in establishing the existence of a `special relationship'" (id. at 261).
Whether a special relationship existed is a question for the jury (see generally De Long v County of Erie, 60 NY2d at 306). Most significantly in this case, the jury had resolved the following in the affirmative: that plaintiff called her local police precinct and informed an officer that Perez had threatened to kill her; that the officer instructed her to stay home and that Perez would be arrested; that she justifiably relied on the police when she stayed at home with her children; and that the police's negligent inaction led to her harm. In other words, the jury specifically found a special relationship existed between plaintiff and the police department, and there was no basis upon which a court should have disturbed this jury verdict.
As in Cuffy, justifiable reliance is the issue upon which the majority relies to bar plaintiffs' recovery. In that case, the plaintiffs sought police protection from the tenants located on the ground-floor apartment of their two-family home. Mr. Cuffy advised a lieutenant at a local precinct that he would move his family immediately from the two-family home if an arrest of his tenant was not made. The lieutenant informed Mr. Cuffy that an arrest would be made or something else would be done "first thing in the morning" (69 NY2d at 259). On the following evening, Mrs. Cuffy and her two sons sustained severe injuries from an attack by the tenants at the home. The Court concluded that, although "the police [may have] had a `special duty' to [the plaintiffs] because of the promise ... made [to] those plaintiffs' overnight," the plaintiffs' justifiable reliance had dissipated by midday because the Cuffys, who remained home at the direction of the police, were "aware that the police had not arrested or otherwise restrained [the tenants] as had been promised" (id. at 263, 264).
Here, plaintiff provided her local police precinct with an order of protection so that it could be served on Perez. Two officers
I disagree with the majority's assessment that (1) plaintiff could not have justifiably relied upon the police's assurance that Perez would be arrested "immediately" because "his location had to be discovered" and (2) her "own statements concerning her expectations undercut the claim of justifiable reliance" because she expected a call from the police confirming the arrest (majority op at 82). To my mind, the word "immediately" implies that the police will act with urgency and the failure to receive a phone call from the police within 24 hours of her complaint does not demonstrate that plaintiff knew or should have known that the police did not act. Plaintiff secured an order of protection against Perez, had the order served by the police, and contacted the same unit to enforce the order. Based on the time that had passed (enough for the police to act, but insufficient for plaintiff to suspect inaction) and the officer's familiarity with her case, it is reasonable to conclude that plaintiff was justifiably lulled, by the police officer's promise, into a state of relaxed vigilance. Moreover, there is truly nothing noteworthy that indicates her reliance upon the police, who were assigned to her case and served the order of protection, was unjustified or, if justified, that it had dissipated (cf. Cuffy, 69 NY2d at 264). Thus, it cannot be said, as a matter of law, that plaintiff's reliance upon the promises of the police was unjustifiable. In fact, to conclude that this case involves unjustifiable reliance may be to remove claims based upon a "special duty" from possibility.
Accordingly, I too would reverse the Appellate Division order and reinstate the verdict.
Order affirmed, with costs.