People v. Siciliano
Concurring in Part
While I agree that a plea of guilty can constitute a waiver of fundamental constitutional rights (see Tollett v Henderson, 411 US 258, but see Menna v New York, 423 US 61 [Per Curiam]), it is clear that in these matters there was no intentional waiver. (People v Chirieleison, 3 NY2d 170.) In the present situation, it was made perfectly clear that the guilty plea was being taken subject to the right of appeal on several constitutional and statutory points.
With respect to the issues raised, it would seem that there is no rational basis (see United States v Wood, 299 US 123), for the legislation (Judiciary Law, § 598) which specifically excludes from service on a Grand Jury all public employees receiving over $1,000 annual compensation. The effect of this legislation is to exclude from Grand Jury service, among many others, for example, a part time janitor earning $1,100. Inasmuch as foreclosing jury service by a significant segment of the population (Taylor v Louisiana, 419 US 522), renders their action a nullity, we are constrained to reverse and dismiss the indictment.
If we were to reach the point of considering the sentences imposed, they are clearly not excessive, and there was no abuse of discretion with respect to them.
Judgments of conviction affirmed in opinion by Birns, J.; Markewich, J. P., and Capozzoli, J., in a separate partially concurring and partially dissenting opinion, concur with Birns, J., as to affirmance, as to constitutionality of section 598 of Judiciary Law and as to absence of a sufficient record to present for appellate review question of existence of a constitutionally discriminatory practice excluding women from service on Grand Juries, but dissent insofar as to hold that defendants-appellants’ pleas of guilty constitute a waiver
Three judgments, Supreme Court, Bronx County, each rendered February 27, 1976, affirmed.
Opinion of the Court
I agree that defendants by their plea of guilty as disclosed by the record in this case did not waive a possible challenge to the constitutionality of section 598 of the Judiciary Law. I further concur in the carefully considered opinion of Justice Lupiano that section 598 of the Judiciary Law does have a rational basis, and, accordingly, does withstand the constitutional challenge raised by the defendants.
I do not agree, however, that a hearing is warranted on the methods used to impanel the Grand Jury which in 1972 returned the indictments before us. There is no support in the record for the statements attributed to the County Clerk of Bronx County that "it was the custom and practice in Bronx County systematically and intentionally to mail qualification notices to prospective jurors based upon a fixed mathematical formula which specifically discriminated against women in that a substantially greater number of such qualification notices were sent to men than to women with the result that substantially more men than women were qualified for service”.
In fact, when this claim was first recited in the Bronx County Supreme Court, Trial Term characterized it as "tenuous and unsubstantiated,” and based upon "hearsay,” and found it "not to be the fact.” (People v Echavarry, 79 Misc 2d 509, 511.)
Although as Justice Lupiano observes, it appears that on a motion for reargument that the District Attorney of Bronx County "stipulated” that "the County Clerk in Bronx County engaged in the same administrative practice at the time of our indictments as that followed in New York County at the time of the Feinstein indictment, to wit, summoning fewer women than men for jury qualification” that stipulation by its terms cannot be equated with a practice of "systematic exclusion and discrimination” sufficient to make a factual showing that the Grand Jury herein was constituted illegally.
To reach out for remote issues of constitutional law on the basis of mere allegation not only prevents the termination of a criminal action, but permits the beginning of a new appellate process (see People v Giuliano, 52 AD2d 240). After all, a plea of guilty, ordinarily, is designed to prevent regenerated litigation.
For the foregoing reasons, the judgment below should be affirmed.
Concurring Opinion
We concur in
the separate opinion of Justice Birns and, therefore, in the result, except insofar as it holds that defendant-appellants did not, by their pleas of guilty, waive any infirmity in the procedures theretofore had. The minutes of the plea contain no indication whatever that any so-called reservation of the right to appeal was made; the plea was unconditional.
Concurring in Part
On June 7, 1971, a job action involving certain municipal employees occurred in the City of New York. Defendants, members of Local 237 of the International Brotherhood of Teamsters, a striking union, were employed by the City of New York as bridge tenders. Each was responsible for the opening and closing of a particular drawbridge in Bronx County, which bridges are links in major arteries for vehicular traffic and span a navigable body of water. In furtherance of a plan conceived by the union to maximize disruption during the strike, each defendant on the day set forth above, opened his bridge, removed certain electrical equipment so that the bridge could not be closed and left his post. The predictable chaotic effect on vehicular traffic resulted.
Subsequently, defendants were indicted by the Bronx County Grand Jury, which indictments contained three counts charging that defendants’ actions as outlined above constituted criminal tampering (a class D felony under Penal Law, § 145.20), obstruction of governmental administration (a class A misdemeanor under Penal Law, § 195.05) and official mis
At the outset we must consider the defendants’ contention
Defendants concededly walked off their job after first opening the three bridges. As they intended to leave their posts for the day, with the consequence that the bridges would be unattended by them in dereliction of their duty, the bridges unopened would of necessity obstruct water traffic. Thus, defendants take solace in the above statute, contending that the opening of the bridges by them was mandated by Federal law. This simple act, namely, the opening of the bridge, taken out of context, serves as the basis for the defendants’ convoluted rationale that the State and municipal jurisdiction has been pre-empted by Federal jurisdiction. Essentially defendants argue that though their action was disruptive of surface traffic, the Congress constitutionally determined the priority of unobstructed watercraft passage and its judgment must prevail under the Supremacy Clause (US Const, art VI, cl 2). Thus they conclude that the State penal statutes here invoked to punish their action must give way under the supremacy doctrine. Viewing the circumstances of defendants’ conduct on a pragmatic basis, the opening of the bridges was only part of a series of acts which only incidentally resulted in the avoidance of a violation of Federal law. The purpose of a bridge, relevant to this analysis, is to afford convenient passage over a river and a drawbridge over a navigable river fulfills two
Section 499 of title 33 of the United States Code by its terms recognizes the purposes of a drawbridge and places responsibility upon those operating such facilities. The State Penal Law section which defendants have been convicted of violating is not in conflict with the Federal statute. Patently, the Federal statute seeks to proscribe the willful failure, refusal or negleót to open draws of bridges across navigable waters, while the State penal statutes proscribe tampering with bridges with intent to cause a substantial interruption and impairment of services rendered to the public and effecting that result. Federal law will not displace a State’s exercise of police power, unless there is a clear and manifest purpose by Congress, where otherwise proper, to do so. In the Federal statute at issue there is no explicit statement of congressional intent to pre-empt State power to regulate drawbridges over navigable waters. In the absence of such specific statement, the statutory rule is that "federal regulation of a field of commerce should not be deemed preemptive of state regulatory power in the absence of persuasive reasons—either that the nature of the regulated subject matter permits no other conclusion, or that the Congress has unmistakably so ordained” (Florida Avocado Growers v Paul, 373 US 132, 142). Applying this rule to the instant matter, we view the defendants’ argument that the State and city are pre-empted from enacting reasonable regulations consonant with the direction to open the draws of drawbridges and, at the same time, to insure proper operation to serve the public in utilizing the bridge for passage over the waterway, as specious. The statutes at issue herein, both Federal and State coexist for necessary purpose. There is no conflict.
Before considering the defendants’ claims that the Grand Jury which indicted them was unconstitutionally selected, it is necessary to resolve the issue whether their voluntary pleas of guilty to the crime of obstructing governmental administration, entered on the advice of competent counsel, foreclose such inquiry. Study of the record discloses that at sentencing, defense counsel pointed out that the constitutionality of the
Tollett v Henderson (411 US 258), which is urged in support of the contention that defendants’ guilty plea precludes appellate review of the constitutional issues advanced by them, upon close study, warrants the conclusion that defendants are entitled to such review at this point. In that case a defendant indicted for first degree murder in Tennessee pleaded guilty on the advice of counsel and was sentenced to a term of 99 years in prison. Some 25 years later, he urged by way of habeas corpus proceedings that he was deprived of his constitutional right because Negroes had been excluded from the Grand Jury which indicted him. The highest State appellate court ruled he waived his claim by his failure to raise it before pleading to the indictment and by pleading guilty. The
People v Chirieleison (3 NY2d 170) further supports our determination that defendants have not waived their constitutional challenge by pleading guilty. In that case, the defendant’s motion to dismiss the indictment on the ground that he
In Merma v New York (423 US 61), the United States Supreme Court held that a defendant’s double jeopardy claim is not barred by a guilty plea. In footnote 2 to its Per Curiam, the court stated: "Neither Tollett v Henderson, 411 U.S. 258 (1973), nor our earlier cases on which it relied, e.g., Brady v United States, 397 U.S. 742, and McMann v Richardson, 397 U.S. 759 (1970), stand for the proposition that counseled guilty pleas inevitably ’waive’ all antecedent constitutional violations * * * [I]n Tollett, we emphasized that waiver was not the basic ingredient of this line of cases, 411 U.S., at 266. The point of these cases is that a counseled plea of guilty is an admission of factual guilt so reliable that, where voluntary and intelligent, it quite validly removes the issue of factual guilt from the case. In most cases, factual guilt is a sufficient basis for the State’s imposition of punishment. A guilty plea,
In each of these appeals it is averred that section 598 of the Judiciary Law is unconstitutional insofar as it provides that "[n]o public officer or employee of the United States government, or of any state, city, or municipality, or of any political subdivision of any of them, or of any official board, authority, council, commission, corporation, or other agency of any of them, receiving annual compensation in excess of one thousand dollars from the aforesaid sources, shall serve on any grand jury.” It is initially noted that public employees are excused from Grand Jury service only and not from petit jury service.
The basic duty of a Grand Jury is to accuse or to exonerate in a proper case, and a Grand Jury proceeding is an investigation rather than a prosecution. As aptly observed in United States v Calandra (414 US 338, 349): "Because the grand jury does not finally adjudicate guilt or innocence, it has traditionally been allowed to pursue its investigative and accusatorial functions unimpeded by the evidentiary and procedural restrictions applicable to a criminal trial”. A petit jury as distinct from a Grand Jury, has a defined narrowed function, to wit, the determination of facts and, in the criminal area, the concluding of the issue of the guilt or innocence of a defendant. Taylor v Louisiana (419 US 522) and United States v Wood (299 US 123), clearly demonstrate that the composition of a petit jury must be representative of a cross section of the community. However, public employees may serve on a petit jury in this State and there is no Sixth Amendment violation of an impartial jury trial therefore emanating from section 598 of the Judiciary Law.
Study of the legislative background of section 598 of the Judiciary Law discloses that the paragraph under attack herein was "recommended by the Grand Jury Association of New York County, on the ground that, although it is the practice not to place such persons on grand juries, specific provision to that effect should be included in the law because of the quasi-judicial, quasi-prosecutioning character of the grand juries when investigating oficial corruption” (Sixth Annual Report of NY Judicial Council, 1940, p 208; emphasis supplied). This brief legislative history viewed in conjunction with the functions of a Grand Jury as set forth above, warrants the conclusion that the classification embodied in the subject paragraph has a rational basis. It is well recognized that a statute is presumed valid and constitutional and the one challenging the statute has the burden of demonstrating the contrary beyond a reasonable doubt (see McKinney’s Cons Laws of NY, Book 1, Statutes, § 150, subd b). Consequently, appellants carry the heavy burden of showing the statute insofar as they object to it to be wholly without rational basis.
It is also noted that in Matter of Alessi v Nadjari (47 AD2d 189), we were concerned with a claim that the exclusion of women from the pool of jurors, that is, from both petit jury and Grand Jury service, under Taylor v Louisiana (419 US 522, supra) mandated quashing a subpoena on the ground that the Grand Jury was unconstitutionally impanelled. We held that there was no practical difference to the claim that Taylor applied to a petit jury in view of the nature of the defect in the impaneling process. Here, however, public employees, we reiterate, are not excluded from service on a petit jury and, therefore, a practical distinction is present.
Accordingly, in light of the presumption of constitutionality and the grave burden placed on those who would overturn the statute, which burden has not been carried, and cognizant that the Criminal Procedure Law specifically mentions misconduct in public office for Grand Jury action, and viewing the classification embraced in section 598 of the Judiciary Law as having a rational basis, we conclude that said statute is constitutional.
In addition, defendants challenge the indicting Grand Jury on the ground that at and prior to the time of such jury’s
In Taylor v Louisiana (419 US 522, supra) the United States Supreme Court viewed the selection of a petit jury from a representative cross section of the community to be an essential component of the Sixth Amendment right to a jury trial in a criminal case.
Trial Term sentenced each defendant on the class A misdemeanor to a $1,000 fine, plus three years’ probation, the only term of which enumerated at sentencing was that each defendant be barred from taking any civil service promotional examination or accepting any such promotion during the probationary period. Later that day, the court signed an order for each defendant which bears the legend "Conditions of Probation 410.10 CPL—65.10 PL” and incorporates the ordl conditions of probation set forth above and additional probationary conditions which may aptly be described as standard. Defendants claim that the sentences are invalid in that a written copy of the conditions was not presented at the time sentence was imposed (CPL 410.10). CPL 410.10 (subd 1) provides in pertinent part that "[w]hen the court pronounces a sentence of probation * * * it must specify as part of the sentence the conditions to be complied with. Where the sentence is one of probation, the defendant must be given a written copy of the conditions at the time sentence is imposed” (emphasis supplied). It is clear that the conditions are part of the sentence and must be in writing. Failure to abide by this statutory mandate may not be excused by characterizing the error as "technical”. On this basis alone defendants are entitled to have this matter remanded for resentencing. In light of this conclusion, the court does not consider defendants’ remaining contention that the sentences imposed are excessive.
However, as noted above, defendants are entitled to a
. Though not material here, it should be noted that the third count of official misconduct of each indictment was later suspended to correct pleading defects.
. Reading of the sentencing minutes further discloses that defense counsel addressed the fact that in People v Feinstein, (Indictment No. 858-1072) where the president of the Bridgetenders Union was similarly indicted and the same constitutional challenge to the Grand Jury selection process raised, the indictment was dismissed in the Supreme Court, New York County. Alluding to the divergence of result between the New York County disposition and the Bronx County disposition, counsel declared: "We have an unusual situation in which the president of a union has met one fate, namely, his indictment was dismissed, and those that were in the union, who were members * * * [I]t would be inappropriate * * * for these gentlemen to meet a fate so starkly contrasted to what has happened in New York County.” Counsel also declared that his observation was to illustrate the propriety of "preservation of rights” of the three defendants.
. In their reply brief, defendants-appellants aver that initially these proceedings in Bronx County were co-ordinated with the New York County proceedings in People v Feinstein. They state that "[t]he pleas herein were entered at a time when it appeared likely that the companion New York County indictment in Feinstein would be dismissed * * * based on the same sex discrimination challenge which is at issue herein * * * [Trial Term in Bronx County] had denied dismissal of the Bronx cases * * * before the New York County decision was handed down. Hence, in or about September, 1975, it was agreed that * * * the Bronx cases would be the subject of a plea coupled with a reservation and that the Bronx cases would be held in abeyance for all purposes (including sentencing) until the New York County decision was rendered and a determination then was made in New York County as to reindictment, discharge and the like. Only when the New York County proceedings were finally laid to rest in or about February 1976, were the Bronx trial court proceedings then concluded and the record made as noted above and in accordance with the formula employed (by the same counsel) in People v. Squitieri, 49 A.D.2d 374 (1st Dept., 1975)”.
. In People v Feinstein, Trial Term in New York County entertained a motion by defendant Feinstein to dismiss the indictment. The court refused to dismiss in the furtherance of justice, but on the challenge to the constitutionality of the Grand Jury which indicted Feinstein, observed: "Defendant’s final point is that regardless of the statutory scheme, women were, in fact, excluded from the grand jury which indicted the defendant by the actions of the County Clerk, Norman Goodman, who sent out more qualification notices for jury (and ultimately grand jury) service to men than women. An affidavit admitting and explaining such procedures has been submitted to the court by Mr. Goodman. The District Attorney, in his papers, concedes that such procedure may well be improper and to avoid an additional appellate issue in this case has consented to a dismissal of the indictment and requests leave to resubmit these charges to another grand jury * * * Therefore, in view of the District Attorney’s consent to dismiss and since it is not the evidence presented to the grand jury, but rather the apparently defective procedures in summoning that body, which is the basis of the dismissal, this court feels that the interests of justice would require it to exercise its discretion in fault of the District Attorney’s application to resubmit and authorizes the People to resubmit these charges to another grand jury within sixty days. If such resubmission is not made within such time, the motion to dismiss is final” (People v Feinstein, NYU, Nov. 18,1975, p 6, col 6 [Sup Ct, NY County]).
. Further, in respect of Grand Jury service not all public employees are excluded. Only those receiving compensation in excess of $1,000 are excluded.
. Frontiero v Richardson, 411 US 677.
. See Oyama v California, 332 US 633, 644-646.
. United States v Carolene Prods. Co., 304 US 144, 152-153, n 4; Takahashi v Fish & Game Comm., 334 US 410, 420; Graham v Richardson, 403 US 365.
. McLaughlin v Florida, 379 US 184,191-192; Loving v Virginia, 388 US 1, 9.
. L 1975, ch 4, § 3, eff Feb. 5, 1975 repealed subdivision 7 of section 599 of the Judiciary Law which permitted a woman to claim exemption. The existence of such claim to exemption may well have been the basis for the alleged discriminatory practice complained of by defendants herein in an endeavor to secure an adequate jury pool. Since such issue is not directly relevant for purposes of disposition herein, we do not treat of same.
. Prior to trial on a criminal charge of kidnapping, the defendant sought to quash the petit jury venire from which his jury would be selected. Of the persons eligible for jury service, 53% were female, but no more than 10% of the persons on the jury wheel were women. The discrepancy between females eligible for jury service and those actually included in the venire resulted from the operation of Louisiana constitutional and statutory provisions (later repealed) which excluded a woman from jury service selection unless she had previously filed a written declaration of her desire to be subject to jury service.
. It has been noted that "when we enter the realm of 'strict judicial scrutiny,’ there can be no doubt that 'administrative convenience’ is not a shibboleth, the mere (n. contd.)
. It appears that the opposition by the People was primarily concerned with disputing the legal conclusions to be drawn from the existence of such discriminatory practice. A full factual delineation of such discriminatory practice is not presented by this record. It appears to be acknowledged that such discriminatory practice has been discontinued. In United Stated v Zirpolo (450 F2d 424, 428-429) a note of caution is sounded: "Whether the exclusion be total, as in Ballard v [United States, 329 US 187, 195], or only partial, as here, in denying representation to a substantial percentage of women, the ultimate objective of achieving a true cross-section of the community is ill-served. Any deliberate interference—irrespective of purpose—with a random jury selection from a list of all qualified citizens cripples the cross-section ideal”.
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