Source: https://supreme.justia.com/cases/federal/us/370/139/
Timestamp: 2019-04-23 02:04:35+00:00

Document:
Petitioner was convicted in a state court of violating a state statute by willfully refusing to answer pertinent questions of a duly constituted legislative committee conducting an authorized legislative investigation, after he had been given immunity from prosecution. In this Court, he contended that his conviction violated the Due Process Clause of the Fourteenth Amendment because a conversation which he had with his brother in a public jail, where the latter was confined, was intercepted without their knowledge by state officials through an electronic listening device and a transcript of the conversation was used by the legislative committee in interrogating petitioner. The State's highest court certified that it had passed upon this claim and held that petitioner's constitutional rights were not violated. However, the record showed that at least two of the questions which petitioner was convicted of refusing to answer were not related in any way to the intercepted conversation, and refusal to answer either of these questions was sufficient to support the judgment.
Held: The constitutional claim asserted by petitioner is not tendered by the record in this case, and the judgment is affirmed. Pp. 370 U. S. 139-147.
9 N.Y.2d 895, 175 N.E.2d 833, affirmed.
368 U.S. 918, to consider the petitioner's claim that he could not constitutionally be punished for refusing to answer the questions put to him by the state legislative committee, because the conversation he had had with his brother in jail had been electronically intercepted and recorded by officials of the State, and a transcript of that conversation had furnished the basis of the committee's questions. For the reasons which follow, we hold that this constitutional claim is not valid, and we accordingly affirm the judgment before us.
The record does not make clear the precise circumstances under which the conversation in the jail between the petitioner and his brother was overheard and transcribed. The State concedes, however, that an electronic device was installed in the room at the Westchester County Jail where the two conversed on February 13, 1957, that, without their knowledge, their conversation was thereby overheard and transcribed by jail officials, and that a transcript of the conversation was in the hands of the legislative committee when the petitioner was summoned to testify.
The Fourth Amendment specifically insures the "right of the people to be secure in their persons, houses, papers, and effects, against unreasonable searches and seizures," by federal officers. We may take it as settled that the Fourteenth Amendment gives to the people like protection against the conduct of the officials of any State. Mapp v. Ohio, 367 U. S. 643; Elkins v. United States, 364 U. S. 206; Wolf v. Colorado, 338 U. S. 25.
Fourth Amendment rights of the occupants. Silverman v. United States, 365 U. S. 505.
in a jail, or perhaps especially there, the relationships which the law has endowed with particularized confidentiality must continue to receive unceasing protection, [Footnote 15] there is no claimed violation of any such special relationship here.
the petitioner's argument would still carry far beyond any decision which this Court has yet rendered. The case before us bears no resemblance to such cases as Leyra v. Denno, 347 U. S. 556, where a State attempted to use as evidence in a criminal trial a confession which had been elicited by trickery from the defendant while he was in jail. See also Spano v. New York, 360 U. S. 315. We do not have here the introduction into a state criminal trial of evidence which is claimed to have been unconstitutionally seized, as in Mapp v. Ohio, 367 U. S. 643. See Rochin v. California, 342 U. S. 165. Nor is this a case where it is claimed that the evidence actually offered at a trial was procured through knowledge gained from what had been unlawfully obtained -- the "fruit of the poisonous tree." Cf. Nardone v. United States, 308 U. S. 338.
Here, no such evidence was ever introduced in a prosecution against the petitioner. Rather, the petitioner was convicted for willfully refusing to answer the pertinent questions of a duly constituted legislative committee in the conduct of an authorized legislative investigation, after having been given immunity from prosecution. To hold that the petitioner could not constitutionally be convicted for refusing to answer such questions simply because they related to a conversation which had been unlawfully overheard by other state officials would thus be a completely unprecedented step.
1957, about releasing his brother on parole. [Footnote 17] He was asked to describe the efforts he had made to assist in obtaining his brother's release. [Footnote 18] Not only is it apparent on their face that these questions were not dependent upon the conversation overheard at the jail, but committee counsel unequivocally so testified at the petitioner's trial. [Footnote 19] Costello v. United States, 365 U. S. 265, 365 U. S. 279-280. Refusal to answer either of these questions fully supports the judgment as modified by the New York courts. [Footnote 20] Whitfield v. Ohio, 297 U. S. 431, 297 U. S. 438.
his stay in jail. [Footnote 22] And the record shows that the committee had other independent information which could have occasioned the petitioner's interrogation. In short, we conclude that the ultimate constitutional claim asserted in this case, whatever its merits, is simply not tendered by this record.
Four parole officers had concurred in a report finding that the petitioner's brother was "not a fit subject for restoration to parole." This report had been endorsed by three superiors in the Division of Parole. Shortly after receiving these recommendations, a member of the Commission ordered the petitioner's brother released.
"full power and authority to investigate, inquire into and examine the management and affairs of any department, board, bureau, commission . . . of the state, and all questions in relation thereto. . . ."
"the administration of state and local laws and the detection and prevention of unsound, improper or corrupt practices in connection therewith."
New York Penal Law, §§ 381, 584, 2447.
"A person who being present before either house of the legislature or any committee thereof authorized to summon witnesses, wilfully refuses to be sworn or affirmed, or to answer any material and proper question, or to produce upon reasonable notice any material and proper books, papers, or documents in his possession or under his control, is guilty of a misdemeanor."
The Appellate Division modified the judgment by directing that the terms imposed on the several counts of the indictment be served concurrently. 10 App.Div.2d 315, 199 N.Y.S.2d 598. The New York Court of Appeals modified the judgment further, holding that the petitioner had committed but a single crime in refusing to answer the various questions put to him by the committee. 9 N.Y.2d 895, 216 N.Y.S.2d 706, 175 N.E.2d 833.
"Upon the appeal herein, there was presented and necessarily passed upon a question under the Constitution of the United States, viz.: Defendant argued that the imposition of penal sanctions for his refusal to answer certain questions deprived him of liberty without due process of law in violation of the Fourteenth Amendment. The Court of Appeals held that defendant's constitutional rights were not violated."
Silverthorne Lumber Co. v. United States, 251 U. S. 385; Zap v. United States, 328 U. S. 624; cf. Irvine v. California, 347 U. S. 128, 347 U. S. 132; see also Nueslein v. District of Columbia, 73 App.D.C. 85, 115 F.2d 690; McGinnis v. United States, 227 F.2d 598.
Silverthorne Lumber Co. v. United States, 251 U. S. 385; Gouled v. United States, 255 U. S. 298.
Amos v. United States, 255 U. S. 313; Davis v. United States, 328 U. S. 582.
Lustig v. United States, 338 U. S. 74; United States v. Jeffers, 342 U. S. 48.
Jones v. United States, 362 U. S. 257.
Gambino v. United States, 275 U. S. 310; Carroll v. United States, 267 U. S. 132; Brinegar v. United States, 338 U. S. 160; Henry v. United States, 361 U. S. 98.
Rios v. United States, 364 U. S. 253.
N.Y.Correction Law § 500-c provides, in part: "Convicts under sentence shall not be allowed to converse with any other person, except in the presence of a keeper."
"All parts of the jail should be frequently searched for contraband."
"A thorough search should be made of all packages to prevent forbidden articles being smuggled into the jail. The number of articles permitted to be taken into the jail should be kept to a minimum. Saws have been secreted in bananas, in the soles of shoes, under the peaks of caps, and drugs may be secreted in cap visors, under postage stamps on letters, in cigars and various other ways. Constant vigilance is necessary if your jail is to be kept safe."
"Cells should be systematically searched for materials which would serve as a weapon or medium of self-destruction or escape. Razor blades are small and easily concealed."
"The law requires that visitors be carefully supervised to prevent passing in of weapons, tools, drugs, liquor and other contraband."
"In jails where a visitors' booth is provided, the safekeeping of prisoners, especially those held for serious crimes, will be best insured if the booths are used for visits. Where there are no booths, and where prisoners are permitted to receive visitors in the corridors or jailer's office, visits should be closely supervised. Experience has shown that laxity in supervising visitors and searching packages has resulted in escapes, assaults on officer and serious breaches of discipline."
Cf. Lanza v. N.Y. State Joint Legis. Comm., 3 N.Y.2d 92, 164 N.Y.S.2d 9, 143 N.E.2d 772, affirming 3 App.Div.2d 531, 162 N.Y.S.2d 467; Matter of Reuter, 4 App.Div.2d 252, 164 N.Y.S.2d 534; see Coplon v. United States, 89 U.S.App.D.C. 103, 191 F.2d 749.
See Jones v. United States, 362 U. S. 257.
"Mr. Lanza, please tell the committee the name of anybody with whom you spoke during the month of February, 1957, about the restoration to parole of your brother Joseph Lanza."
"On February 5, 1957, your brother Joseph Lanza was arrested and returned to prison charged with a violation of parole. Tell the committee, please, any and all efforts extended by you to assist in obtaining the release of your brother Joseph Lanza on parole or his restoration to parole."
"Q. You say that you did not gather any material from the tapes upon which to predicate that question, Mr. Bauman?"
"A. I have said, and I say, Mr. Direnzo, that that question, as well as the previous one, was not based upon any material in the tapes."
"Q. You are sure about that?"
The others were the brother's wife and his lawyer.
I agree with MR. JUSTICE BRENNAN that the decision of the New York courts comes to us resting firmly upon an independent state ground, and I therefore join his memorandum opinion. However, because the opinion of the Court departs from our practice of refusing to reach constitutional questions not necessary for decision, I deem it appropriate to add a few words.
the Committee were not in any way related to the intercepted conversation, the refusal to answer those questions alone "fully supports the judgment as modified by the New York courts." Ante, p. 370 U. S. 146. Despite the fact that this holding deprives the Court of jurisdiction to intimate views on the other, more serious problems of constitutional dimension presented by the record, Herb v. Pitcairn, 324 U. S. 117; Enterprise Irrigation District v. Farmers Mutual Canal Co., 243 U. S. 157; Murdock v. Memphis, 20 Wall. 590, and would warrant dismissing the writ as improvidently granted, Benz v. New York State Thruway Authority, 369 U. S. 147; Atchley v. California, 366 U. S. 207, the opinion undertakes, as MR. JUSTICE BRENNAN characterizes it, a "gratuitous exposition" upon those more difficult constitutional problems originally thought presented for decision. These expressions of dicta are in a form which can only lead to misunderstanding and confusion in future cases. Such dicta, when written into our decisions, have an unfortunate way of turning up in digests and decisions of lower courts; they are often quoted as evidencing the considered opinion of this Court, and this is so even though such intention is denied by the writer.
"brought forth a storm of protest from lawyers, some of whom had not previously been audibly concerned [with] . . . efforts to protect the people's right of privacy."
incident was the enactment of Article 73 of the Penal Law of New York, making it a felony to do what the officials in this case did. And finally, the Appellate Division of the Supreme Court, affirmed by the New York Court of Appeals, reduced the bizarre and unprecedented sentence of ten years for contempt of court to one year.
It seems to me that, when this Court puts its imprimatur upon conduct so universally reproached by every branch of the government of the State in which the case arose, we invite official lawlessness which, in the long run, can be far more harmful to our society than individual contumacy.
I must protest the Court's gratuitous exposition of several grave constitutional issues confessedly not before us for decision in this case. The tenor of the Court's wholly unnecessary comments is sufficiently ominous to justify the strongest emphasis that, of the abbreviated Court of seven who participate in the decision, fewer than five will even intimate views that the constitutional protections against invasion of privacy do not operate for the benefit of persons -- whether inmates or visitors -- inside a jail, or that the petitioner lacks standing to challenge secret electronic interception of his conversations because he has not a sufficient possessory interest in the premises, or that the Fourth Amendment cannot be applied to protect against testimonial compulsion imposed solely as a result of an unconstitutional search or seizure.
a state legislative committee. On appeal, the judgment, which had imposed 10 identical sentences to run consecutively, was modified by the Appellate Division to provide that the sentences on each count should run concurrently. The record shows, affirmatively and without rebuttal, that at least two of the questions were conceived and propounded independently of the search and seizure which the petitioner claims infringed his constitutional rights, and there is nothing which supports his contention that he would not have been questioned at all but for that claimed infringement.
adequate, independent state ground, it should forbear from any further review of the case; for, in light of the clearly established New York law, a decision by this Court on the federal questions sought to be tendered here would be but an exercise in futility. [Footnote 2/2] In any event, historic principles demand that any consideration of constitutional issues at least abide a clarification from the court below as to the basis for its judgment, in order "that this Court not indulge in needless dissertations on constitutional law." Minnesota v. National Tea Co., 309 U. S. 551, 309 U. S. 557.
"the rule, frequently stated by this Court, that a judgment upon an indictment containing several counts, with a verdict of guilty upon each, will be sustained if any count is good, and sufficient in itself to support the judgment."
Whitfield v. Ohio, 297 U. S. 431, 297 U. S. 438.
While the Court does ultimately rest its disposition of the case on this ground, it does so by way of affirmance.
It is at least arguable that the proper disposition is to dismiss the case because certiorari was improvidently granted. Benz v. New York State Thruway Authority, 369 U. S. 147; [Footnote 2/3] Fox Film Corp. v. Muller, 296 U. S. 207. But in no event is it arguable that any of the constitutional questions the Court reaches are before it.
See People v. Faden, 271 N.Y. 435, 3 N.E.2d 584; People v. Cummins, 209 N.Y. 283, 103 N.E. 169; Hope v. People, 83 N.Y. 418; People v. Davis, 56 N.Y. 95. That is also the federal rule, see Hirabayashi v. United States, 320 U. S. 81, 320 U. S. 85.
In affirming the conviction, the Appellate Division found it unnecessary to pass on the petitioner's contention that he could be convicted of only a single crime because, the judgment having been modified to cause the sentences to run concurrently, "the conviction on any one count is sufficient to sustain the sentence. . . . People v. Faden, 271 N.Y. 435, 444 (445), 3 N.E.2d 584, 587." 10 App.Div.2d 315, 319, 199 N.Y.S.2d 598, 603. The Court of Appeals, which, in affirming without opinion, modified the judgment to make clear that only a single crime had been committed, found no occasion to reexamine the sentence, because "It is clear . . . that the number of crimes of which the defendant was found guilty did not enter into the duration of the sentence imposed." 9 N.Y.2d 895, 897, 216 N.Y.S.2d 706, 175 N.E.2d 833.
"Before we can pronounce [the judgment of the court below] in conflict with the Federal Constitution, it must be made to appear that its decision was one necessarily in conflict therewith, and not that possibly, or even probably, it was. . . . We do not decide [that the state statute is to be given a construction which would render it constitutional], but we do hold that, in view of the silence of the supreme court, we are not justified in assuming that it [did not so construe the statute]."
"A certificate or statement by the state court that a federal question has been presented to it and necessarily passed upon is not controlling. While such a certificate or statement may aid this Court in the examination of the record, it cannot avail to foreclose the inquiry which it is our duty to make or to import into the record a federal question which otherwise the record wholly fails to present."
Indeed, as Honeyman v. Hanan, supra, and Honeyman v. Hanan, 302 U. S. 375, illustrate, proper pursuit of the matter when suspicions are aroused may disclose that a state court's certificate simply did not mean what it appeared at first glance, to say.
"Defendant argued that the imposition of penal sanctions for his refusal to answer certain questions deprived him of liberty without due process of law in violation of the Fourteenth Amendment. The Court of Appeals held that defendant's constitutional rights were not violated."
"affirmance without opinion is merely an adoption of the result reached by the Appellate Division, the reasoning of which is not necessarily adopted."
Carmody's New York Practice (7th ed. 1956) 678. See Commissioner of Public Welfare v. Jackson, 265 N.Y. 440, 441, 193 N.E. 262; Soderman v. Stone Bar Associates, Inc., 208 Misc. 864, 867, 146 N.Y.S.2d 233, 236. For all we can tell, the Court of Appeals concluded that the petitioner's "constitutional rights were not violated" by reasoning that the two untainted questions supported the conviction.

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