Willner v. Committee on Character and Fitness, Appellate Div. of Supreme Court of NY, First Judicial Dept.
Willner v. Committee on Character and Fitness, Appellate Div. of Supreme Court of NY, First Judicial Dept.
Opinion of the Court
Opinion of the Court by
Petitioner passed the New York bar éxaminatións in 1936 but has not yet been admitted to practice. The present case is the latest in a long series of proceedings whereby he seeks admission.
Under New York law the Appellate Division of-the' State Supreme Court of each of the four Judicial Departments
The Appellate Division is required by Rule 1 of the New York Rules of Civil Practice to appoint a committee of not less than three practicing lawyers “for the purpose of investigating the character and fitness” óf applicants. •“Unless otherwise ordered by the Appellate Division, no person shall be admitted to practice”'without a favorable .certificate from the Committee. Ibid. Provision is made for submission by the applicant to the Committee of “all the information and data required by the committee and the Appellate Division justices.” Ibid. If an applicant has once applied for -admission and failed to obtain a certificate of good character and fitness, he must obtain and .submit “the written consent” of the Appellate Division to a renewal of his application. Ibid.
The papers of an applicant for admission to the Bar .are required by Rule 1 (g) of the Rules of Civil Practice to be kept on file in the Office of the Clerk of the Appellate Division.
The. Court of Appeals pursuant to its rule-making authority (Judiciary Law § 53(1)) has promulgated Rules for the Admission of Attorneys and Counsellors-at-Law which provide, inter alia, that every applicant must produce before the Committee “evidence that he possesses the good moral character and general fitness requisite for an attorney and counsellor-at-law”. (Rule VIII-1), and that justices of the Appellate Division shall adopt “such additional rules for ascertaining the moral and general
The Appellate Division to which petitioner has made application has not promulgated any “additional rules” under Rule VIII-4. Its Character and Fitness Committee consists of 10 members; and that Committee, we are advised, has not published or provided any rules of procedure.
The statute provides that “all papers, records and documents” of applicants “shall be sealed and be deemed private and confidential,” except that “upon good cause being shown, the justices of the appellate division . . . are empowered, in their discretion, by written order, to permit to be divulged all or any part of such papers, records and documents.” Judiciary Law §90(10). And for that purpose they may make such rules “as they may deem necessary.” Ibid.
But New York does not appear to have any procedure whereby an applicant for admission to the Bar is served with an order, to show cause by the Appellate Division before he is denied admission nor any other procedure that gives him a hearing prior to the court’s adverse action.
Willner had been certified by the State Board of Bar Examiners as having passed the bar'examinations in 1936, and the Committee in 1938, after several hearings, filed with the Appellate Division its determination that it was not satisfied'and could not “certify that the applicant possesses the character and general fitness requisite for an attorney and counsellor-at-law.” In 1943 Willner applied to the Appellate Division for an order directing the Committee to review its 1938 determination. This motion was denied without opinion. Willner in 1948 again petitioned the Appellate Division for a reexamination of his application, and for permission to file a new application. The Appellate Division permitted him to file a new application. Upon the filing of that application, the Committee conducted two hearings in 1948 and, by a report in 1950, refused to certify him for the second time. In 1951 Willner again made application to the Appellate Division for an order directing, inter alia, the Corn-
The present petition further alleged that Willner has been a member in'good standing of the New York Society of Certified Public Accountants and of the American Institute of Accountants since 1951 and that he has been admitted to practice before the Tax Court and the Treasury Department since 1928. Petitioner alleged that in connection with his hearings before the Committee on his 1937 application he was shown a letter containing various adverse statements about him from a New York attorney; that a member of the Committee promised him a personal confrontation with that attorney; but that the promise was never kept. Petitioner also alleged that he had been involved in litigation with another lawyer who had as his purpose “to destroy me”; that the secretary of the Committee was taking orders from that lawyer and that two members of the Committee were' “in cahoots” with that lawyer.
The Appellate Division denied the petition without opinion and denied leave to appeal to the Court of Appeals. Willner thereupon sought leave to appeal to the Court, of Appeals and in an affidavit in support of his motion stated, “I was never afforded the opportunity of confronting my accusers, of having the accusers sworn and cross examining them, and the opportunity of refuting the accusations and accusers.”
“Upon the appeal herein there was presented and necessarily passed upon a question under the Constitution of the United States, viz: Appellant contended that he was denied due process of law in. violation of his constitutional rights under the Fifth and Fourteenth Amendments' of the Constitution. The Court of Appeals held that appellant was not denied due process ixi violation of such constitutional rights.”
We granted certiorari, 370 U. S. 934.
The issue presented is justiciable. “A claim of a present right to admission to the bar of á state and a denial of that right is a controversy.” In re ,Summers, 325 U. S, 561, 568. Moreover, the requirements of procedural due process must be met before a-State can.exclude a person from practicing law. “A State cannot exclude a person from the practice of law of from any other occupation in a manner of for reasons that contravéne the Due Process or Equal Protection Clause of the Fourteenth Amendment.” Schware v. Board of Bar Examiners, 353 U. S. 232, 238-239. As the Court said in Ex parte Garland, 4, Wall. 333, 379, the right is not “a matter of grace and favor.”
“We think that the petitioner having shown by . his application that, being a citizen of the United States and a certified public accountant under the laws of a State, he was within the class of those entitled to be admitted to practice under- the Board’s rules, he should not have been rejected upon charges of his unfitness without giving him an opportunity by notice’ for hearing and answer. The rules adopted by the Board provide that 'the Board may in its discretion deny admission, suspend or disbar any person.’ But this must be construed to mean the exercise of a discretion to be exercised after fair investigation, with such a notice, hearing and opportunity to answer for the applicant as would constitute due process.” Id., p. 123.
We have emphasized in recent years that procedural due process often requires confrontation and cross-examination of those whose word deprives a person of his livelihood. See Greene v. McElroy, 360 U. S. 474, 492, 496-497, and cases cited.
This result, is sought to be avoided in several ways. First, it is. said that the Committee’s action is merely advisory, that it is an investigator not a trier of facts, since under § 90 of the Judiciary Law it is the Appellate Division that ultimately must be convinced of an applicant’s good character. The answer is that “[ujnless otherwise ordered by the Appellate Division” (New York Rules of Civil Practice, Rule 1 (d)), á favorable certificate from the Committee is requisite to admission by the Appellate Division; and where, as here, the Appellate Division has held no hearings of its own to determine an applicant’s character, the role of the Committee is more than that of a mere investigator.
Second, it is said that petitioner has.sought relief too late. But the Court of Appeals did' not reject his peti-' tio'n on that ground. Instead, it stated that it “necessarily” ruled on the constitutional issue “presented.” We can only conclude that the Court of Appeals would have found it “unnecessary” to pass, upon any constitutional question if under state law some other ground had .existed for denying petitioner relief. See Cincinnati Packet Co. v. Bay, 200 U. S. 179, 182; Lynumn v. Illinois, 372 U. S. 528, 535-536.
Third, it is said that the record,shows that petitioner was not rejected on the basis of ex parte statements but on the basis of his. own statements to the Committee. If the Court of Appeals reached this' conclusion, the only constitutional question which was presented and which it could have “necessarily” passed on was whether petitioner was denied due process by not being informed of aiid
“But a ‘full hearing’ — a fair and open hearing— requires more than that. . . . Those ' who are brought into .contest with . . . Government .in a quasi-judicial proceeding aimed at the control of their activities are entitled to be fairly advised of what the Government proposes and to be heard upon its proposals before it issues its final command.” Morgan v. United States, 304 U. S. 1, 18-19.
Petitioner had no opportunity to ascertain and contest the bases of the Committee’s reports to the Appellate Division, and the Appellate Division gave him no separate hearing. Yet, “[t]he requirements of fairness are hot exhausted in the taking or consideration of evidence but extend to the concluding parts of the procedure as well as to the beginning and intermediate steps.” Id., at 20. Cf. Gonzales v. United States, 348 U. S. 407, 414.
If the Court of Appeals based its decision on the ground that denying petitioner the right of confrontation did not violate due process, we also hold that it erred for the reasons earlier stated. But because respondent has asserted that the ex parte statements involved in this case played no part in any of the decisions below, we have searched the record to assess this contention. It shows that the
We hold that petitioner was denied procedural due process when he was denied admission to the Bar by the Appellate Division without a hearing on the charges filed against him before either the Committee or the Appellate Division.
Reversed.
In New Jersey the Committee on Character and Fitness is directed by Rule 1:20-6 (a) of the Supreme Court Rules to take the •following steps in case of an adverse report:
“If the committee believes that an applicant is not of fit character or has not served a satisfactory clerkship, it shall promptly notify the applicant of • its intention to' file an .adverse report as to his moral character or clerkship and of the time, not less than 5 days, within which the applicant may file with the committee a written request fór a hearing. If the applicant does not request a hearing within the time fixed by the committee, it shall promptly notify'him of its action and file its report with the court for appropriate action by it. If the applicant requests a hearing within the time fixed by the committee, it shall promptly notify him of the time and' place of the*100 hearing. The hearing shall be conducted in private and in a formal manner. A complete stenographic record shall be kept and to this end an official court reporter of the county, assigned by the supervising court reporter for that purpose, shall serve the committee and prepare, without additional compensation, such transcripts as may be ordered by it. A transcript may be ordered by the applicant at his own expense. The committee shall submit a report of its findings and conclusions to the court, with a copy to the applicant, for appropriate action by it. An applicant aggrieved by the determination of the committee may, on notice to the committee, petition the court for relief.”
Rule 1:20-6 (b) goes on to provide:
“The Board of Bar Examiners, subject to the approval of the court, shall prescribe the procedures to be followed by the committees on character and fitness in the performance of their duties under paragraph (a) of this rule.”
Cf. Cafeteria Workers v. McElroy, 367 U. S. 886, where only “the opportunity to work at one isolated and specific military installation” was involved. Id., at 896.
Concurring Opinion
concurring.
I ■ concur in the opinion and judgment of the Court believing, as I do, that under all of the circumstances here the petitioner was denied procedural due process which the Constitution demands be accorded by the States to. applicants for admission to the bar. No conflict exists between ■ constitutional requisites and exaction of the highest moral standards from those who would practice, law. See Schware v. Board of Bar Examiners, 353 U. S. 232, 238-239. Certainly lawyers and courts should be particularly sensitive of, and have a special obligation to' respect/the demands of due process. This special awareness, . however, does not alter uur' essential function or duty. In reviewing state action in this area, as in all others, we look to substance, not to bare form, to de
The New York admissions procedures described in the opinion of the Court are fairly characteristic of those prevalent throughout the country. ' In general, they contemplate that.an applicant for admission who has successfully passed the bar examination will file an application before a court-appointed committee of lawyers which conducts an inquiry into his moral character and on the basis thereof recommends the grant or denial of admission by the court. Committee proceedings are often informal and, for the protection of the candidate, are generally not publicized. Committee member's are usually unpaid and serve in fulfillment of their obligation to the profession and as officers of the court. They perform an indispensable and very often thankless task. While the vast majority of candidates are approved without difficulty, in exceptional cases, such as this, either information supplied by the applicant himself or material developed in the course of the committee’s investigation gives rise to. questions concerning the applicant’s moral character.
The constitutional requirements in this context may be simply stated: in all cases in which admission to the bar is to be denied on the basis of character, the applicant, at some stage of the proceedings prior to such denial, must be adequately informed of the nature of the evidence against him and be accorded an adequate opportunity to rebut this evidence.' As I understand the opinion of the Court, this does not mean that in every case confrontation and cross-examination are automatically required. It must be remembered that we are dealing, at least at the initial stage of proceedings, not with‘a court trial, but with -a necessarily much more informal inquiry into an applicant’s qualifications for admission to the bar. . The circumstances will determine the necessary limits and incidents implicit in the concept of a “fair” hearing. Thus, for
Application of these principles to this case leads me to concur in the Court’s opinion and judgment. The record here, to say the least, is complex, muddled, and in many respects unsatisfactory. We are dealing with an applicant who first applied for admission 25 years ago. Comparison of his applications with facts later confirmed by the petitioner himself suggests a lack of complete candor in dealing with the committee. While this failure to disclose, along with other more .recently- occurring riiatters here present, might have supported a refusal to certify the petitioner’s character, there are present additional ele-, ments which indicate that the committee may have been motivated in its conclusion by charges made against the petitioner by certain informants, the evaluation of which would necessarily depend upon estimates of credibility. The record is not clear whether the petitioner actually requested an opportunity to confront and cross-examine
Dissenting Opinion
dissenting.
The majority and concurring opinions bear witness to the difficulty the Court has had divining from this messy and opaque record whether the case in truth presents a substantial federal question. Obviously much influenced by the amended remittitur of the Court of Appeals, the
It would take a great deal to persuade me that either of these experienced and respected New York courts has been guilty of such a questionable constitutional holding. In light of the record, I do not believe that either the Court of Appeals’ affirmance or its amended remittitur by any means points to the interpretation which .this Court now places on the action of that court. In my view the more reasonable, and correct, interpretation is that the Court of Appeals simply held that, in light of what had gone before,
Now that plenary consideration has shed more light on this case than in the nature of things was afforded at the time the petition for certiorari was acted upon, I think the proper course is to dismiss the writ as improvidently. granted.
The chronology of events was in substance this: The Appellate Division, upon the Character Committee’s refusal to certify the applicant, originally denied admission in 1938. Refusal of certification had followed petitioner’s appearance before the Committee at which, among other things, he had been informed and interrogated about complaints received from two lawyers, Wieder and Dempsey. (Wieder charged that petitioner had not completed his required “clerkship,” having been discharged from Wieder’s office for unsatisfactory performance before the end of the clerkship period. Dempsey’s complaint related to certain litigation involving petitioner and one of Dempsey’s clients, in which petitioner had been charged with fraud in connection with accountancy services performed for the client.) Apart from these ex 'parte charges, petitioner in his return to the Committee’s written questionnaire had (1) stated that he had not been connected with any law offices, although in a later interview he had informed the Committee that he had in fact been employed in Wieder’s office for a short time; (2) stated that he had served "no clerkship,” although he had subsequently informed the Committee of the filing of a certificate of clerkship with the Court of Appeals in Albany; (3) failed to disclose the aforementioned suit brought against him by Dempsey’s client; (4) failed to disclose an annulment suit that had been brought against him by his 16-year-old wife, later
Although he made.no contemporary effort to obtain review of the original denial of admission, petitioner thereafter sought to attack it before the Appellate Division on four successive occasions during the years 1943-1951 — all to no avail. Again, he sought no review of any of these proceedings, one of which involved a de novo hearing before the Character Committee, and in none does he appear to have raised the confrontation claim now made here.
Lack of confrontation seems to have been asserted for the first time in 1954, when petitioner again unsuccessfully moved the Appellate Division for leave to file a de novo application for admission. Leave to appeal to the New York Court of Appeals, sought then for the first time, was denied, and this Court in turn denied certiorari. 348 U. S. 955.
Finally in 1960 and 1961 petitioner twice more unsuccessfully moved the Appellate Division for leave to file a de novo application for admission, the latter proceeding being the one presently before the Court.
In his petition initiating the present proceeding petitioner alleged that during the interviews held in connection with his original application the Chairman of the Character Committee promised him “a confrontation.” The record, however, discloses no such episode. Indeed at the third Committee hearing in 1938 petitioner was asked whether he had anything .further to present and he responded simply by referring to one of the affidavits submitted on his behalf purporting to refute the Wieder charge (note 1, supra). He made no request for confrontation.
Reference
- Full Case Name
- Willner v. Committee on Character and Fitness, Appellate Division of the Supreme Court of New York, First Judicial Department
- Cited By
- 400 cases
- Status
- Published