Alonzo M. v. New York City Department of Probation

532 N.E.2d 1254, 72 N.Y.2d 662, 536 N.Y.S.2d 26, 1988 N.Y. LEXIS 3468
CourtNew York Court of Appeals
DecidedDecember 15, 1988
StatusPublished
Cited by75 cases

This text of 532 N.E.2d 1254 (Alonzo M. v. New York City Department of Probation) 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
Alonzo M. v. New York City Department of Probation, 532 N.E.2d 1254, 72 N.Y.2d 662, 536 N.Y.S.2d 26, 1988 N.Y. LEXIS 3468 (N.Y. 1988).

Opinions

OPINION OF THE COURT

Bellacosa, J.

The New York City Department of Probation (Probation) reviewed sealed information of favorably terminated matters concerning petitioner — a juvenile — and supplied protected data from its own separately maintained records to the Family Court in connection with the disposition of the youth’s latest brush with the law. The core issue is whether Probation violated the sealing protections of Family Court Act § 375.1 and the implementing judicial sealing orders. We agree with the lower courts that Family Court Act § 375.1 governs, that it [664]*664is clear on its face and in its purpose, and that it has been violated. We thus affirm the order of the Appellate Division.

Petitioner, Alonzo M., had been placed on probation after a Family Court finding that he had engaged in acts constituting for an adult the crime of robbery in the third degree. Ten months later, it was alleged that the juvenile violated probation in respect to reporting and school attendance conditions. He conceded the violation, the matter was adjourned, and the court ordered Probation to provide an updated Investigation and Report (I & R) for the dispositional hearing (see, Family Ct Act § 351.1; 9 NYCRR part 350).

An I & R is a document prepared to assist a Family Court Judge in determining the appropriate disposition after adjudication of juvenile delinquency charges. The updated I & R in this case listed four arrests under "previous legal history”. The first two were accompanied by a reference that they were sealed, and the remaining two were followed by the notations "dismissed” and "petition withdraw[n]”. The report added that "[djuring the period of Probation Supervision, Respondent was rear[r]ested on 2 different occasions on Robbery related charges”. The charges arising from each of these incidents were also terminated in the juvenile’s favor and the related records were sealed pursuant to Family Court Act § 375.1 and CPL 160.50.

Petitioner in this article 78 proceeding sought Probation’s compliance with the requirements of Family Court Act § 375.1 and CPL 160.50 to keep the records of his favorably terminated cases sealed and not to reveal the existence and contents of those materials. He also asked for an order requiring Probation to delete from the I & R all references to information acquired from sealed records.

Probation claimed the invoked sealing provisions were inapplicable because it did not derive any information submitted to the Family Court from a review of sealed court records, but rather acquired the data from "indexed case record materials” or from an "administrative folder” it maintained for itself. Alternatively, Probation argued that because it is obliged to supervise petitioner and to report on his conduct to the Family Court at the dispositional phase of the latest juvenile proceeding the sealing provisions did not bar it from disclosing the juvenile’s past conduct to the Family Court.

Supreme Court granted the petition to the extent of ordering Probation to redact from its I & R the notations regarding [665]*665the dates of arrest, docket numbers and dispositions of the favorably terminated cases, as well as the characterization of the two most recent charges as "robbery related” (133 Mise 2d 98, 102). The court permitted the recitation of the facts underlying the arrests, as contained in an accompanying psychological report because, while the mere date of and charge on an arrest are not sufficiently material and relevant to be admitted in the dispositional hearing, the facts underlying these prior acts were (see, Family Ct Act § 350.3 [1]).

The Appellate Division affirmed because the Family Court Act § 375.1 protection of " 'the rights of the individual from the adverse consequences of allegations that do not result in conviction’ would be vitiated if the Department of Probation were permitted to refer to its official records pertaining to such prior sealed cases in a subsequent investigation and report” (133 AD2d 631, 632 [citation omitted]).

We are of like mind that the sealing provisions of Family Court Act § 375.1 are violated when a public agency, privy to and maintaining records and information concerning cases terminated in the juvenile’s favor, divulges information resurrected from otherwise sealed records. It is also correct, however, that the background facts to such matters, if relevant and material, may be disclosed in an I & R prepared for a juvenile dispositional hearing if derived from sources other than sealed records and materials.

Family Court Act § 375.1 (1) is unambiguous in its direction that "[u]pon [favorable] termination of a delinquency proceeding * * * the court shall enter an order which shall immediately be served * * * upon the heads of the appropriate probation department * * * directing that all official records and papers * * * relating to the arrest, the prosecution and the probation service proceedings, including all duplicates or copies thereof, on file with the * * * probation service * * * be sealed and not made available to any person or public or private agency.”

Courts should construe clear and unambiguous statutes so as to give effect to the plain meaning of the words used (Doctors Council v New York City Employees’ Retirement Sys., 71 NY2d 669, 674-675). Where a statute describes the particular situations in which it is to apply and no qualifying exception is added, " 'an irrefutable inference must be drawn that what is omitted or not included was intended to be omitted or excluded’ ” (Patrolmen’s Benevolent Assn. v City of New York, [666]*66641 NY2d 205, 208-209). The words and purport of Family Court Act § 375.1 (1) are plain. Moreover, statutory construction, even when required with materials beyond the facial words of the statute, is rarely fortified by such a powerful set of support rods.

The provisions of this sealing statute were patterned after those in CPL 160.50. The dissent even acknowledges the State is not obligated to provide identical statutory protections in adult and juvenile proceedings. But when the Legislature does grant a protection in this area, the courts do not have a policy choice to override it or circumscribe it. Thus, we note that the Family Court Act version applicable here includes a thicker cocoon of protection which may be appreciated from these distinguishing features: the records of probation agencies are explicitly included as materials to be sealed under the Family Court Act provision; the CPL provision permits exceptional disclosure, despite sealing, to law enforcement agencies and the Family Court Act provision does not; and the statute applying to adult offenders expressly allows Probation Department use of sealed records when the accused is under supervision and the records concern an arrest occurring during the term of supervision (see, CPL 160.50 [1] [d] [vi]; Sobie, Practice Commentary, McKinney’s Cons Laws of NY, Book 29A, Family Ct Act § 375.1, at 591).

The Legislature has recently reinforced its distinctive coverage of the two categories of offenders, adult and juvenile, by twice failing to enact proposed amendments to the Family Court Act § 375.1 (3) that would have authorized Probation Departments to use information included in sealed records and papers for the purpose now claimed to be authorized by what at best may be described as strained interpretation of existing law (see, A.11351, introduced May 29, 1986; S.19, introduced Jan. 7, 1987).

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Bluebook (online)
532 N.E.2d 1254, 72 N.Y.2d 662, 536 N.Y.S.2d 26, 1988 N.Y. LEXIS 3468, Counsel Stack Legal Research, https://law.counselstack.com/opinion/alonzo-m-v-new-york-city-department-of-probation-ny-1988.