People v. Doe

99 Misc. 2d 411, 416 N.Y.S.2d 466, 1979 N.Y. Misc. LEXIS 2303
CourtNew York Supreme Court
DecidedApril 2, 1979
StatusPublished
Cited by5 cases

This text of 99 Misc. 2d 411 (People v. Doe) 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
People v. Doe, 99 Misc. 2d 411, 416 N.Y.S.2d 466, 1979 N.Y. Misc. LEXIS 2303 (N.Y. Super. Ct. 1979).

Opinion

[412]*412OPINION OF THE COURT

George J. Balbach, J.

Petitioner moves to quash or modify a subpoena.

The petitioner in this action is counsel for a nursing home. He was served with a subpoena dated January 24, 1979, which was issued by the office of the Special Prosecutor on behalf of a Queens Grand Jury investigating nursing home abuses. Thereafter, petitioner appeared before the Grand Jury and testified but refused to answer some 24 questions on the grounds that the information which he might supply would violate the attorney-client relationship.

At issue here is petitioner’s unusual contention that knowledge gained as a law student and employee, prior to his admission to the Bar, becomes privileged once he becomes a member of the Bar.

The facts are not in dispute. Petitioner, as a law student, was employed as an assistant administrator of the nursing home from June, 1973 to June, 1975. Thereafter from June, 1975 to February, 1976, the petitioner having successfully completed law school, but before admission to the Bar, served as a clerk to counsel to the nursing home. In February, 1976, petitioner was admitted to the Bar and became a member of the law firm which currently represented the nursing home. In effect, petitioner possesses knowledge derived from three distinct sources, that is: (1) information learned as an administrative assistant; (2) information learned as a law student or clerk to an attorney; (3) knowledge gained in petitioner’s capacity as an attorney. It is maintained that in view of the fact that petitioner has a continuing relationship with the nursing home for a period of over six years, all the knowledge acquired has blended into a unified whole and counsel can no longer distinguish what information he gained as an attorney from those fact acquired during his employee or law clerk stage.

In considering this unique concept of "totality of information”, this court first notes that historically this form of communication is the oldest recognized type of privilege and dates from the reign of Elizabeth I (8 Wigmore, Evidence, § 2290). Traditionally the basis of this privilege lies in the policy of encouraging "persons needing professional advice to disclose freely the facts in reference to which they seek advice, without fear that such facts will be made public to [413]*413their disgrace or detriment by their attorney” (Hurlburt v Hurlburt, 128 NY 420, 424).

Our present law is statutory and reads in pertinent part: "(a) Confidential communication privileged; non-judicial proceedings. Unless the client waives the privilege, an attorney or his employee, or any person who obtains without the knowledge of the client evidence of a confidential communication made between the attorney or his employee and the client in the course of professional employment, shall not disclose, or be allowed to disclose such communication, nor shall the client be compelled to disclose such communication”. (CPLR 4503.)

In applying the privilege, Justice Friendly of the Circuit Court of Appeals set forth the following guidelines: "Certain basic principles, however, are well-established. The privilege finds its justification in the need to allow a client to place in his lawyer the 'unrestricted and unbounded confidence’, United States v. Kovel, supra, 296 F.2d at 921, that is viewed as essential to the protection of his legal rights. But the privilege stands in derogation of the public’s 'right to every man’s evidence’, 8 Wigmore, supra, § 2192, at 70, and as 'an obstacle to the investigation of the truth,’ id., § 2291, at 554; thus, as Wigmore has said, 'It ought to be strictly conñned within the narrowest possible limits consistent with the logic of its principle. ’ Id. It must be emphasized that it is vital to a claim of privilege that the communications between client and attorney were made in confidence and have been maintained in confidence.” (Matter of Horowitz, 482 F2d 72, 81-82; emphasis added.)

For petitioner to prevail then, the burden is upon him to establish his claim of privilege (Bankers’ Money Order Assn. v Nachod, 120 App Div 732) by showing that the information elicited was: (a) a confidential communication; (b) between an attorney and his client; (c) made during the course of professional employment for the purpose of obtaining legal advice (Richardson, Evidence [10th ed], §§ 409, 415). With this background, the court now turns to the different sources of petitioner’s information.

I

INFORMATION GAINED AS AN EMPLOYEE

Before the attorney-client privilege can come into existence [414]*414the relationship of an attorney and client must exist and the communication must be a confidential one and so be considered by the parties (Rosseau v Bleau, 131 NY 177). As regards the information gained as an employee of the nursing home, it is clear that petitioner never acted in the capacity of an attorney since he was not a member of the Bar. Nor does the fact that he was an employee of the nursing home establish that he was authorized to act on its behalf with attorneys. A client has been defined as a person who consults a lawyer for the purpose of obtaining legal advice or assistance (Richardson, Evidence [10th ed], § 412). There is no evidence here that petitioner acted in such a client’s role either in his capacity as administrative assistant or as an indispensable agent for the nursing home in its legal matters (cf. Lelong v Siebrecht, 196 App Div 74). Indeed, as an employee, his normal duties would be more in the nature of "mechanical or administrative or business” matters rather than legal affairs (see Ford Motor Co. v Burke Co., 59 Misc 2d 543, 546). Therefore, since petitioner has not established that he acted as a client for the nursing home during the period he was employed by them, this court finds no validity to the contention that information acquired during his tenure at this institution was privileged.

Nor can this court accept petitioner’s further contention that the earlier knowledge gained by him carried over to his present communications or that he is unable to distinguish between past and present facts. Such a view could insulate all knowledge possessed by an attorney of his client’s affairs, from any form of public scrutiny and render the privilege meaningless. The statute is precise in that it demands "evidence of a confidential communication”. The burden is on one who asserts the privilege to establish the time, date and place, as well as the nature of such communication. Previous communications are immaterial for the purpose of the statute.

II

INFORMATION OBTAINED AS A LAW STUDENT, LAW GRADUATE OR LAW CLERK

Both common law and our present day statutes have restricted the confidentiality privilege to "a member of the bar of a court” (People v Belge, 59 AD2d 307, 309) who is "licensed by the State to practice law” (Kent Jewelry Corp. v Kiefer, 202 Misc 778, 783). The privilege has never been extended to [415]*415quasi-legal fields unless the representatives of these professions have been agents of an attorney. Thus a patent agent licensed to practice before Federal administrative bodies does not qualify (Kent Jewelry Corp. v Kiefer, supra); nor does a prison official (People v Wentz, 37 NY 303) or an accountant acting in a business capacity (United States v Kovel, 296 F2d 918).

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Cite This Page — Counsel Stack

Bluebook (online)
99 Misc. 2d 411, 416 N.Y.S.2d 466, 1979 N.Y. Misc. LEXIS 2303, Counsel Stack Legal Research, https://law.counselstack.com/opinion/people-v-doe-nysupct-1979.