Stern v. Morgenthau

465 N.E.2d 349, 62 N.Y.2d 331, 476 N.Y.S.2d 810, 1984 N.Y. LEXIS 4321
CourtNew York Court of Appeals
DecidedJune 12, 1984
StatusPublished
Cited by25 cases

This text of 465 N.E.2d 349 (Stern v. Morgenthau) 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
Stern v. Morgenthau, 465 N.E.2d 349, 62 N.Y.2d 331, 476 N.Y.S.2d 810, 1984 N.Y. LEXIS 4321 (N.Y. 1984).

Opinion

OPINION OF THE COURT

Simons, J.

The issue presented is whether a Grand Jury, acting in furtherance of a lawful investigation involving two Judges, may subpoena confidential records of the State Commission on Judicial Conduct developed during an investigation into conduct of the Judges. Petitioner, the Administrator of the Commission, received such a subpoena from respondent, the District Attorney of New York County, and moved to quash it. Supreme Court denied the motion and the Appellate Division affirmed, without opinion. There should be a reversal. The Legislature has the power to exempt certain records from Grand Jury scrutiny notwithstanding the nonimpairment clause of the Constitution (see Matter of Beach v Shanley, 62 NY2d 241) and it has exercised that power with respect to confidential records of the State Commission on Judicial Conduct (Judiciary Law, § 44 et seq.).

This proceeding arose after a Grand Jury was convened in 1983 to investigate whether the crimes of bribery, bribe receiving and conspiracy had occurred during the course of a civil action in New York County. Upon learning that the Commission was also investigating the incident, the District Attorney requested its files. To assist the Commission, he obtained an order pursuant to CPL 190.25 (subd 4) [334]*334and provided the Commission with a summary of that evidence to aid in its assessment of his request. After examining the summary and reviewing its files, the Commission denied the request, advising him that it had no reasonable basis to determine that any allegation or other matter in its files warranted criminal proceedings (see Judiciary Law, § 44, subd 10). The District Attorney then issued a subpoena addressed to petitioner demanding production of all complaints,- correspondence, letters, investigative reports and transcripts, in sum, the Commission’s entire file on the matter. This proceeding followed.

It is important to note at the outset that the Grand Jury and the State Commission on Judicial Conduct are both constitutional investigative bodies (NY Const, art I, § 6; art VI, § 22). They serve quite different purposes, however. The Grand Jury is drawn from the population at large and charged with the duty of investigating and preferring charges against those suspected of criminal conduct while the Commission is composed of members appointed for fixed terms as defined in the Constitution and charged with the duty of investigating misconduct in the judicial branch of government and imposing discipline if misconduct is found. Thus, while the two bodies serve similar functions, they are separate and independent. One is responsible for investigating crime; the other for disciplining Judges. The Grand Jury may indict a Judge for. criminal conduct, but it may not directly remove him from office, no matter how serious the misconduct may be. A Commission investigation, however, may result in charges and a finding of misconduct based upon specific cause or for persistent failure to perform duties, habitual intemperance, physical disability or for conduct on or off the Bench prejudicial to the administration of justice, i.e., the appearance of impropriety (see NY Const, art VI, § 22, subd a; Judiciary Law, § 44; and see Matter of Aldrich v State Comm. on Judicial Conduct, 58 NY2d 279; Matter of Shilling, 51 NY2d 397; Matter of Spector v State Comm. on Judicial Conduct, 47 NY2d 462). The sanction, once misconduct is established, is admonishment, censure or removal from office. Commission proceedings are not intended to take the place of criminal proceedings but if the [335]*335Commission obtains evidence in the course of investigating a Judge which appears to warrant criminal prosecution, it may refer the evidence to the District Attorney for that purpose (Judiciary Law, § 44, subd 10).

The District Attorney asserts that whether the Commission volunteers the information or not, the Grand Jury has the power to require turnover of the Commission’s files containing evidence of the crime. He rests his claim on the constitutional provision which states that “[t]he power of grand juries to inquire into the willful misconduct in office of public officers * * * shall never be suspended or impaired by law” (NY Const, art I, § 6) and on the broad power of the Grand Jury to investigate criminal activity and to compel people to appear before it (Virag v Hynes, 54 NY2d 437; accord Branzburg v Hayes, 408 US 665, 701-702). He reminds us that “[traditionally, our courts have afforded the Grand Jury the widest possible latitude in the exercise of their powers and insisted that in the absence of a clear constitutional or legislative expression they may not be curtailed” (People v Stern, 3 NY2d 658, 661).

We have recently examined the language contained in section 6 of article I and how it relates to the power of the Grand Jury in a case involving the reporter’s privilege (see Matter of Beach v Shanley, 62 NY2d 241, supra). In that decision we noted that the Grand Jury investigation might well result in the discovery of misconduct by a public official, but we nevertheless held that the “Shield Law” (Civil Rights Law, § 79-h) was a lawful legislative restraint on the Grand Jury’s power to compel disclosure of a reporter’s sources of information obtained in the news gathering process. Moreover, we did so prior to the reporter’s appearance before the Grand Jury though it might have been possible to recognize the privilege and still permit the inquiry to proceed sufficiently to determine whether misconduct by a public official was involved in the disclosure of the contents of the Grand Jury minutes. The dissenters suggested such a procedure but we recognized that the privilege applied whether the investigation involved misconduct by a public official or by a private citizen. In doing so we interpreted the anti-impairment clause as the court did in Matter of Wood v Hughes (9 NY2d [336]*336144, 150), holding that it was intended to prohibit legislation “that directly restricts a grand jury’s right to inquire or that, although facially neutral, would have its primary impact by limiting investigations of public officers” (Matter of Beach v Shanley, 62 NY2d 241, 254, supra). The distinction made was between legislation that removed the Grand Jury’s áuthority to investigate public officials, which is unconstitutional, and legislation which might impede the Grand Jury in its efforts to obtain certain evidence during the cause of an investigation of a public official, which is not. Here, the legislation creating the Commission and defining its powers was not designed to thwart the powers of the Grand Jury, but instead established an independent investigatory body to maintain the integrity of the judiciary (see Matter of Nicholson u State Comm, on Judicial Conduct, 50 NY2d 597, 611). While the Commission’s power may indirectly result in a diminution of the scope of the Grand Jury’s inquiry, it does not deprive the Grand Jury of its power to investigate a Judge or any other public official and therefore does not constitute a violation of the anti-impairment clause.

Insofar as the Grand Jury’s ability to subpoena these records as an exercise of its traditional investigative powers is concerned, those powers although extensive, are not unlimited. For example, it may not violate a valid privilege, whether derived from the Constitution, statutes or the common law (Branzburg v Hayes, 408 US 665, supra; Matter of Priest v Hennessy, 51 NY2d 62 [attorney-client privilege]; Matter of Keenan v Gigante,

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Bluebook (online)
465 N.E.2d 349, 62 N.Y.2d 331, 476 N.Y.S.2d 810, 1984 N.Y. LEXIS 4321, Counsel Stack Legal Research, https://law.counselstack.com/opinion/stern-v-morgenthau-ny-1984.