Court Opinion

ID: 9884672
Source: CourtListenerOpinion
Date Created: 2023-10-06 03:05:35.844372+00
Date Added: 2024-06-11T07:40:25.594150
License: Public Domain

Mr. Justice Crampton, dissenting: I cannot concur in the decision of the court, nor in the reasoning advanced to support it. In my opinion the subpoena duces tecum is much too broad and unreasonable in its terms to justify the judgment of contempt for failure to comply. We have heretofore held that a subpoena duces tecum which in general terms commands the production of all, or even a substantial part, of the records or documents of a person or corporation violates the constitutional protection against unreasonable search and seizure. (People v. Reynolds, 350 Ill. 11.) In that case a grand jury was investigating the activities of a labor union. Pursuant to an order entered on petition of the State’s Attorney, a subpoena was issued and served upon Reynolds, its president, commanding him to produce all its records showing the payment of money to the union during a designated two-year period, also a complete record of all disbursements by the union or its agents during the same period, and all books and records containing lists of the members and persons holding permits from the union, with dates of issuance and cancellation thereof, consideration paid therefor, all copies, drafts and vouchers relating thereto, and all other documents, letters and writings that may afford any information respecting the subject matter of the investigation. Reynolds refused to produce the records, and, after filing an answer to a rule to show cause, was adjudged in contempt of court and fined $100. On writ of error to this court the judgment was reversed. We observed, with reference to the subpoena duces tecum: “There is no suggestion respecting the contents of the complaint nor is the nature of the charge indicated. The books, records, documents and correspondence sought are not specified and their relevancy to the charge under investigation is not disclosed. To obey the command of the subpoena would require the production of all the books, records and papers of the union covering a period of two years as well as complete lists of members and permit holders irrespective of any time limitation. All the transactions of the union including those wholly unrelated to the subject of the undisclosed inquiry and however innocent, are, by the terms of the subpoena to be subjected to the grand jury’s inspection. The subpoena is neither suitably specific nor properly limited in its scope. It lacks that particularity in description of the books, records or writings demanded which the law requires.” After examining with care the subpoena in the case at bar, I can perceive no material difference between its scope and that of the one condemned in the Reynolds case. Among other things it demands all records showing cash receipts, cash disbursements, accounts receivable and accounts payable during a period covering a year and a half, and all records showing the accounts of each member belonging to the club for the last three years. In addition, it commands the production of “all copies, drafts, and vouchers relating to said documents, and all other documents, letters and paper writings whatsoever, that can or may afford any information or evidence in said matter.” It contains no suggestion concerning the nature of the matter under investigation, but mentions only “a. certain complaint” against one George S. May pending before the grand jury. It fails even to intimate what relevancy all the records demanded might have to the undisclosed charge, but demands in sweeping terms the disclosure of every receipt and disbursement of the club, however proper it may be, and the name and account of every member during the designated years. Even in the absence of authority, it should be apparent that such an indiscriminate demand for production of virtually all the books and records of a corporation necessary for the conduct of its affairs is unreasonable and constitutes a flagrant abuse of the judicial process. See Hale v. Henkel, 201 U. S. 43. The court here sustains the validity of the subpoena by saying its demand “is not unreasonable in view of the subject under investigation — the conduct of gambling operations by a country club.” It is not explained why the fact that gambling is being investigated justifies a wholesale and indiscriminate demand for one’s books and records or renders inapplicable the rule requiring the subpoena to be specific and properly limited in its scope. In People v. Reynolds, 350 Ill. 11, discussed above, the petition for issuance of the subpoena recited that the union’s officers had issued many permits to nonmembers authorizing them to operate moving picture machines upon their promises to pay the union ten per cent of their weekly wages; that the money collected from the holders of such permits had not been paid to the union but had been used by the officers for their personal benefit; and that for a number of years no cards had been issued to new members but cards in the names of deceased and disabled members had been issued to men who were not eligible and had not been elected to membership. It was further alleged that, in order to fully investigate the charges in question, it was necessary to examine the books and records of the organization. It is readily apparent that the activities under investigation in that case were not materially different in scope from the subject of investigation in the case at bar. Moreover, in the present case the petition for issuance of the subpoena does not even purport to show the nature of the charges or the relevance of the records demanded, as was done in the Reynolds case, but merely alleges that “the books, records, papers and documents hereinafter set forth are necessary and material to be produced before said Grand Jury.” Surely the requirement that the person served be informed of the nature of the charge and the relevance of the documents demanded is not satisfied by waiting until the issue is presented to the court by petition for rule to show cause and then for the first time purporting to disclose the information. The opinion of the majority does not seek to justify the last clause of the subpoena but asserts instead that it “is clearly surplusage.” It is difficult to understand by what process of reasoning or authority this novel position is supported. It seems clear upon ordinary inspection of the subpoena that the clause in question is as much a part of it as the other demands made therein, and that to comply with its command Ryan would have to produce the papers referred to if he had them in his possession. A catchall provision of a similar nature was held invalid in Bowman Dairy Co. v. United States, 341 U. S. 214, and a judgment of contempt for failure to comply with the subpoena, which was otherwise proper in its requirements, was held erroneous. The court said: “One should not be held in contempt under a subpoena that is part good and part bad. The burden is on the court to see that the subpoena is good in its entirety and it is not upon the person who faces punishment to cull the good from the bad.” This language of the United States Supreme Court applies with equal force to the proceedings in the case at bar. Even if remaining portions of the subpoena were properly limited in scope, it should not be incumbent upon Ryan to determine at his peril which of the demands for documents and materials were “surplusage” and which ones were not. The majority opinion reasons further that a different result is warranted in the case at bar because Ryan failed to move that the subpoena be quashed. In my opinion the rule relied upon is not applicable here. Where compulsory process is so broad and unrestricted in scope as to constitute a violation of constitutional protection against unreasonable search and seizure, the party against whom it is directed may refuse to obey, and in a prosecution for contempt may show in defense that it was beyond the authority of the court. Carden v. Ensminger, 329 Ill. 612; Lester v. People, 150 Ill. 408. Aside from the matter of unreasonable search and seizure, I think there still remains a serious question of infringement of _ the constitutional privilege against self-incrimination. The opinion of the court asserts that in his answer Ryan admitted he was “attorney in fact” of the corporation and in that capacity held possession of the records demanded. Examination of the answer discloses, however, that his authority was created by resolution adopted July 24, 1950, a date subsequent to the service of the subpoena upon him, and was restricted to the execution of documents desirable or necessary to protect the constitutional rights of the corporation. His answer contains nothing as to the capacity in which he possessed the records in question. It expressly denies that he is or ever has been a member, officer, director or official of the corporation. It states that the books and records contain matters which would tend to incriminate him, and that their forced production would be compelling him to give evidence against himself in a criminal proceeding. Service of the subpoena was not made upon the corporation, nor upon any officer or agent thereof as such, but only upon Ryan as an individual. Moreover, neither the petition for the issuance of the subpoena nor the order directing its issuance contains Ryan’s name. His name appears on the subpoena written therein in longhand, by whom the record does not disclose. It should be borne in mind that Ryan, himself, was under investigation by this grand jury before the first subpoena was issued. Additional facts, relied upon by Ryan as distinguishing the case at bar from Wilson v. United States, 221 U. S. 361, and other decisions involving service of subpoenas duces tecum upon corporate officers as such, appear of record. But enough has been mentioned here to show that the question presented is not answered by a mere reference to such decisions. Certainly we should not imply, without explanation or discussion, that he was a corporate agent at the time of service upon him, or that agency at such time is immaterial if he subsequently receives authority, however restricted. The decision in the Wilson case was based upon the corporation’s duty to produce its records or books, and emphasis was placed upon the facts that at all times Wilson was subject to the direction of the corporation and that the books were under its control. The court there said: “When the appellant became president of the corporation, and as such held and used its books for the transaction of its business committed to his charge, he was at all times subject to its direction, and the books continuously remained under its control. If another took his place, his custody would yield. He could assert no personal right to retain the corporate books against any demand of government which the corporation was bound to recognize.” If control by the corporation is the reason for denying a person the protection he would otherwise have against being compelled to produce documents in his possession which would incriminate him, it becomes highly important to inquire into the existence and extent of such control in the particular case. In the present case Ryan stated under oath that he was not an officer of the corporation, and that no person other than himself had access to or knowledge as to the location of the records and books demanded. If the rule of the Wilson case is to be extended to one who is neither an officer nor a general agent of the corporation, but is subsequently authorized merely to protect its constitutional rights before a grand jury, the decision should be supported by convincing reasoning and accurate analysis. As I think the judgment should be reversed on grounds discussed above, I express no opinion concerning the application of the constitutional privilege against self-incrimination. But in my estimation the decision of the court fails to adequately consider the significance of the peculiar facts of the case, and improperly decides the question as if Ryan were at all times equivalent to a duly constituted officer of the corporation, authorized to use its books in the transaction of its business. I must also express my disagreement with the holding that the sentence to indefinite imprisonment is proper in the present case. Prior to this decision it was considered well settled in this State that imprisonment for a criminal contempt must be for a definite term. (People v. Realich, 402 Ill. 270; Rothschild & Co. v. Steger Piano Co. 256 Ill. 196.) The reason for the rule is that in criminal cases the sentence is imposed solely for punitive purposes, and not to compel the performance of acts ordered for the benefit or advantage of a party to the proceeding. Indefinite imprisonment is appropriate only where the sentence is imposed as a remedial measure, to advance the relief granted to a party. Such is not the nature of the present case. There is no contention that it is anything but a criminal contempt, and cases or quotations concerning the dividing line between civil and criminal contempts, or situations resting on the boundary, are irrelevant here. For this court there is no more important duty than that invoked when constitutional rights are asserted. No more fundamental issue can be presented than the question whether the right of the individual shall prevail against the power of the State. In this case, as the court observes, a grand jury was investigating possible violations of anti-gambling laws. Doubtless this is generally considered a worthy undertaking. But the beneficial nature of its purpose should not be allowed to obscure the character of the methods employed to achieve that purpose, nor to justify any relaxation of the vigilance with which this court must protect the rights of persons involved. Constitutional protections are not measured by their effect upon efforts to suppress or punish crime. They must be adhered to firmly, although the result at times may be that crime goes unpunished. It is contemplated by the constitution that such might occur, and that it is a lesser evil than compelling a person to aid in his conviction or subjecting him to unreasonable searches and seizures. In my opinion the constitutional protections of the citizen cannot be disposed of in the summary fashion of this decision. Until now this court has jealously enforced the principles of freedom implicit in the prohibition of unreasonable searches and seizures. Its safeguards should not now be impaired by interpretations which fail to recognize its underlying purpose or by casual and uncritical use of facts. Neither the breadth which the State chooses to ascribe to its investigations, nor considerations of expediency and efficiency, should be utilized to warrant a narrow construction of rights deemed important enough to be made constitutional. The present decision gives the sanction of this court to methods which we have condemned in the past, and which I regard as still offensive to our fundamental conceptions of justice.