In re Investigation No. 04-730

8 Misc. 3d 238, 794 N.Y.S.2d 873
CourtNew York County Courts
DecidedMarch 2, 2005
StatusPublished

This text of 8 Misc. 3d 238 (In re Investigation No. 04-730) is published on Counsel Stack Legal Research, covering New York County Courts primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In re Investigation No. 04-730, 8 Misc. 3d 238, 794 N.Y.S.2d 873 (N.Y. Super. Ct. 2005).

Opinion

[239]*239OPINION OF THE COURT

Joseph E. Fahey, J.

This is an application brought by a witness subpoenaed before an Onondaga County Grand Jury seeking to have the subpoena quashed or to “be excused from testifying” upon the ground that she is the subject of person in need of supervision (PINS) proceeding and a witness in a neglect proceeding in Onondaga County Family Court. In support of the application her attorney contends that her testimony “will presumably deal with the subject matter of the two Family Court matters that have not been resolved.” Additionally, she urges that if “found to be a Person In Need of Supervision, she would be facing placement in a non-secured detention facility,” and, as such, “any testimony she gives could put her liberty at stake.” Upon receipt of the application, the court determined it to be made pursuant to section 2304 of the Civil Practice Law and Rules and heard oral argument on the part of the People and the movant in camera on February 9, 2005.

Criminal Procedure Law § 190.40 provides:

“1. Every witness in a grand jury proceeding must give any evidence legally requested of him regardless of any protest or belief on his part that it may tend to incriminate him.
“2. A witness who gives evidence in a grand jury proceeding receives immunity unless:
“(a) He has effectively waived such immunity pursuant to section 190.45.”

In the instant case, it is uncontraverted that the movant will not be obligated to execute a waiver of immunity. Thus, the question turns upon whether the grant of transactional immunity conferred by section 190.40 of the Criminal Procedure Law extends to the PINS proceeding pending in the Family Court in this county.

The issue of whether the Fifth Amendment privilege against self-incrimination applied to juvenile proceedings was fully discussed by Justice Fortas in In re Gault (387 US 1, 47-48 [1967]) in which Justice Fortas observed:

“It would indeed be surprising if the privilege against self-incrimination were available to hardened criminals but not to children. The language of the Fifth Amendment, applicable to the States by operation of the Fourteenth Amendment, is unequivocal and without exception. And the scope of [240]*240the privilege is comprehensive. As Mr. Justice White, concurring, stated in Murphy v. Waterfront Commission, 378 U. S. 52, 94 (1964):
“ ‘The privilege can be claimed in any proceeding, be it criminal or civil, administrative or judicial, investigatory or adjudicatory ... it protects any disclosures which the witness may reasonably apprehend could be used in a criminal prosecution or which could lead to other evidence that might be so used.’

Following the decision in Gault, New York amended its law governing both juvenile delinquency (JD) and persons in need of supervision proceedings to require that the subject of those proceedings be advised of their right to counsel, or alternatively, appointment of a law guardian (see, Family Ct Act §§ 360.3, 741). The courts of New York, however, have differed on the issue of whether a PINS proceeding, like a JD proceeding, is a quasi-criminal proceeding. In Matter of Keith H. (188 AD2d 81 [1993]), the Appellate Division, Second Department, held that section 732 of the Family Court Act was not unconstitutional despite the fact that it afforded less procedural safeguards for a PINS respondent than that afforded to a JD respondent under article 3 of the act. In so holding, Justice O’ Brien observed:

“Federal and State constitutional guarantees of due process apply to PINS proceedings (see generally, McKeiver v Pennsylvania, 403 US 528; In re Gault, 387 US 1; Matter of Cecilia R., 36 NY2d 317; Family Ct Act § 711), and among the fundamental due process requirements applicable to such proceedings is fair notice of the charges (see, In re Gault, supra).” (188 AD2d 81, 84 [1993].)

Notwithstanding this observation, the Court went on to take note of the different objectives of the two proceedings and that it was for the Legislature to import more constitutional criminal protections into the PINS proceedings if it so desired.

The Third Department has been steadfast in its position that the requirements of Family Court Act § 321.3 mandate that a respondent in a JD proceeding be informed of his rights before an admission can be made and that the respondent must be afforded a fact-finding hearing, adopting the Second Department’s rationale in Matter of Keith H. (188 AD2d 81 [1993]). In Matter of Jason O. (197 AD2d 784 [1993]), Justice Casey held:

“This Court has recognized a clear distinction between a juvenile delinquency proceeding under the [241]*241Family Court Act article 3 and a PINS proceeding under Family Court Act article 7 (see, Matter of Jodel KK. 189 AD2d 63, lv denied 82 NY2d 652). The Second Department has noted that conduct under article 7 does not rise to the level of criminal conduct and therefore, the emphasis in a PINS proceeding is on ‘supervision and treatment rather than confinement’ (Matter of Keith H., 188 AD2d 81, 87). Because of this distinction, we decline to extend the requirements of Family Court Act § 321.3 to PINS proceedings under article 7.” (197 AD2d 784, 785 [1993]; see, also, Matter of Mary Jane HH., 120 AD2d 906 [3d Dept 1986]; Matter of Guy II., 192 AD2d 770 [3d Dept 1993].)

The Appellate Division, Fourth Department, on the other hand, has taken the opposite view, and has held that the requirements of section 321.3 are imported into article 7 proceedings. (See, Matter of Christopher W., 154 AD2d 937 [1989]; Matter of Jacqueline P., 149 AD2d 933 [1989]; Matter of Rickey B., 158 AD2d 1002 [1990].)

The Court of Appeals addressing the very narrow issue of whether a respondent in a PINS proceeding must be advised of her rights under section 321.3 of the Family Court Act held no such requirement existed. In Matter of Tabitha LL. (87 NY2d 1009 [1996]), the Court in a footnote to a memorandum decision addressed the Fourth Department holdings noting, “[t]o the extent Matter of Jacqueline F. (149 AD2d 933), Matter of Rickey B. (158 AD2d 1002), and Matter of Christopher W. (154 AD2d 937) are to the contrary, they are not to be followed.” (87 NY2d 1009, 1011 n [1996].)

What the Court of Appeals did not address, however, was the underlying issue of whether the PINS proceedings, like the JD proceedings, were quasi-criminal in nature as declared in the Third Department decisions. While one can argue that such a distinction is implicit in their holding and the footnote, such a conclusion is somewhat speculative. Moreover, even if this were the proper conclusion, it does not so facilely dispose of the issue of the extent to which a grant of transactional immunity in a grand jury proceeding impacts on the transaction or the testimony sought to be utilized in such a proceeding. The only case which addressed this issue appears to be Matter of Mary Jane HH.

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Related

In Re GAULT
387 U.S. 1 (Supreme Court, 1967)
McKeiver v. Pennsylvania
403 U.S. 528 (Supreme Court, 1971)
Kastigar v. United States
406 U.S. 441 (Supreme Court, 1972)
Matter of Tabitha LL.
666 N.E.2d 171 (New York Court of Appeals, 1996)
In re Cecilia R.
327 N.E.2d 812 (New York Court of Appeals, 1975)
In re Jane HH.
120 A.D.2d 906 (Appellate Division of the Supreme Court of New York, 1986)
In re Jacqueline P.
149 A.D.2d 933 (Appellate Division of the Supreme Court of New York, 1989)
In re Rickey B.
158 A.D.2d 1002 (Appellate Division of the Supreme Court of New York, 1990)
In re Keith H.
188 A.D.2d 81 (Appellate Division of the Supreme Court of New York, 1993)
In re Jodel KK.
189 A.D.2d 63 (Appellate Division of the Supreme Court of New York, 1993)
In re Guy II.
192 A.D.2d 770 (Appellate Division of the Supreme Court of New York, 1993)
In re Jason O.
197 A.D.2d 784 (Appellate Division of the Supreme Court of New York, 1993)

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Bluebook (online)
8 Misc. 3d 238, 794 N.Y.S.2d 873, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-investigation-no-04-730-nycountyct-2005.