In re Phillips

70 Misc. 8, 25 N.Y. Crim. 244, 127 N.Y.S. 1048
CourtNew York Supreme Court
DecidedDecember 15, 1910
StatusPublished

This text of 70 Misc. 8 (In re Phillips) is published on Counsel Stack Legal Research, covering New York Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In re Phillips, 70 Misc. 8, 25 N.Y. Crim. 244, 127 N.Y.S. 1048 (N.Y. Super. Ct. 1910).

Opinion

Kapper, J.

• So much of the facts relating to this case as appears to me to be necessary to a clear understanding of the point involved on this motion is as follows:

Charges against Lawrence Gresser, borough president of the borough of Queens, were lodged with the Governor who thereupon, on September 21, 1910, appointed Samuel H. Ordway, Esq., as commissioner to investigate such charges and to report the evidence taken, the findings made, and the conclusions reached by him to the Governor. The charges were contained in two separate sets, one of which was signed by Charles Brodek and others, and the other by Charles Pope Caldwell and others. Mr. Ordway, as such commissioner, commenced his hearings on October 6, 1910. On October [10]*101910, there was presented to the justice of this court presiding at the Trial Term a designation by the Governor of the Attorney-General to attend the term and to prosecute before or submit to the grand jury any criminal charges “ against any person or persons, growing out of or based upon any violation or alleged violation of law, arising through or from the transactions in Queens county of any person connected with the borough or county of Queens, or the city of New York, or with the officers or employees of any of them.” Said justice, upon such presentation, specifically charged the grand jury to inquire into the matters so designated by the Governor. On November 22, 1910, nine indictments were returned by said grand jury against John M. Phillips, the petitioner herein, five of them accusing him jointly with one Patrick E. Leahey of the crime of grand larceny, two of them accusing him separately of the crimes of grand larceny and forgery, and the remaining two accusing him jointly with one Joseph F. Phillips of the crime of grand larceny.

On December Y, 1910, a subpoena was served upon the petitioner requiring him to testify before Mr. Ordway, as commissioner, but the petitioner, although in attendance, refused to be sworn'. Proceedings to punish him for such refusal were thereupon instituted by said commissioner before the county judge of Queens county, upon an affidavit of the above-named Charles Pope Caldwell, one of the complainants before the Governor against the borough president, and who is entitled in said affidavit as counsel for the petitioners in the proceedings before the commissioner. That motion coming on before the county judge on December 10, 1910, was adjourned to December 13, 1910. Immediately following the adjournment, the petitioner, as he was leaving the court-house, was served with another subpoena, the subject of this motion, which called upon him to appear and attend before said commissioner at two o’clock that day (the tenth) to “ testify and give evidence ” in the proceedings before said commissioner. This subpoena recites the appointment of Mr. Ordway by the Governor, to take evidence of the charges filed by Charles Pope Caldwell and others- as [11]*11petitioners, and commands the attendance of John M. Phillips, the petitioner herein, to there testify “ on the part of the petitioner.” The subpoena is signed “ Samuel H. Ordway, commissioner ” and “ Charles Pope Caldwell, atty.”

The petitioner in moving to vacate said subpoena says in his petition that “ the service of said alleged subpoena is an attempt to compel this petitioner when acting as a witness in said investigation to give evidence which may tend to imperil his constitutional privileges as a defendant under criminal indictments.”

The question before me is new, so far as the brief time at my command for research has permitted an examination for precedents, yet novelty in my opinion is not the sole merit of the application. As on the argument, I am still impressed, in view of the circumstances existing here, with the gravity and possibly appalling consequences to one under indictment if the action of the commissioner is to be upheld.

At the outset of the argument, it was contended on behalf of the Governor’s commissioner that his investigation was not a judicial but an executive act; and, hence, the court was powerless to interpose between the subpoena and the proposed witness. Undoubtedly the removal of a borough president in the city of New York is an executive act. People v. Ahearn, 131 App. Div. 30; affd., 196 N. Y. 221. But this does not extend to the investigation itself, at least, so far as to strip from the courts the power to protect witnesses against an invasion of their constitutional privileges affecting their liberties; and this is so whether the investigation be by the Governor himself or by his commissioner of investigation. The Public Officers ¡Law (§ 34) is the authority under which the commissioner acts, and its provision that in the taking of evidence the commissioner may require witnesses to attend before him undoubtedly empowers the courts to review either the jurisdiction of the commissioner or an excess of power. While no authority is given to the commissioner to punish a recalcitrant witness, the remedy is found in sections 854-8'5‘6 of the Code of Civil Procedure, the provisions of which, in brief, are, that if a witness refuses to be examined a judge of a court of record [12]*12may commit the offender to jail until he does submit to examination. It was under these provisions that both the commissioner and Mr. Caldwell, who appears to be acting as prosecutor before the commissioner for those who made the charges against the borough president, moved before the county judge to punish the petitioner.

The judicial power over the commissioner’s investigation is ample to protect proposed witnesses, not alone against an abuse of process, but against a violation of their rights under the Constitution as well, the most important of which is that they shall not be compelled in any criminal case to give evidence against themselves. This power is not now denied by the commissioner who, in an affidavit filed in opposition to this motion, states that the petitioner’s “ constitutional rights and privileges will always be respected before me as commissioner.” But his contention is, as he also says in this affidavit, that the petitioner must be sworn after which “ he could refuse to answer any questions on the ground that they would tend to incriminate and degrade him.”

The petitioner, on the other hand, avers that the commissioner’s investigation covers the same general subject and under the same authority, to-wit, the Governor, as did the inquiry by the grand jury which resulted in the finding of the nine indictments against him, and that the subpoena to attend before the commissioner is for the purpose of compelling him to disclose his explanations and defense to the said indictments in advance of his trial; and he contends that, inasmuch as he is now under indictment to answer with respect to matters that are the subject of the investigation before the commissioner, a requirement that he obey the subpoena in question will compel him to be a witness against his will and violate his right as a defendant under indictment to stand mute upon the trial thereof, unless he chooses to become a witness on such trial. '

Do the moving papers support the averments and contention of the petitioner?

It is alleged by him, and is not denied by the commissioner, that, in the proceedings before the grand jury which [13]*13resulted in the above indictments, the witnesses were summoned on subpoenas entitled In the matter of the investigation in the Borough of Queens ordered' by the Governor of the State of Hew York.”

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Related

Counselman v. Hitchcock
142 U.S. 547 (Supreme Court, 1892)
People Ex Rel. Taylor v. . Forbes
38 N.E. 306 (New York Court of Appeals, 1894)
People v. . Ahearn
89 N.E. 930 (New York Court of Appeals, 1909)
In re Attorney-General
22 A.D. 285 (Appellate Division of the Supreme Court of New York, 1897)
People v. Ahearn
131 A.D. 30 (Appellate Division of the Supreme Court of New York, 1909)
Foster v. Kenny
139 A.D. 769 (Appellate Division of the Supreme Court of New York, 1910)
In re the Application of the Attorney-General
21 Misc. 101 (New York Supreme Court, 1897)

Cite This Page — Counsel Stack

Bluebook (online)
70 Misc. 8, 25 N.Y. Crim. 244, 127 N.Y.S. 1048, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-phillips-nysupct-1910.