76 N.Y.2d 293 | NY | 1990
Lead Opinion
OPINION OF THE COURT
The Commission on Judicial Conduct has found the petitioner, a Justice of the Supreme Court in Manhattan, guilty of misconduct for failing to render decisions promptly in eight cases pending before him. The. Commission also determined
Petitioner has been a Judge for more than 25 years. He was first elected in 1963 as a Civil Court Judge in the City of New York. He was elected to the Manhattan Supreme Court in 1968 and was reelected in 1982. His current term is due to expire in 1996 but he will reach State constitutional retirement age of 70 in December of 1992.
In 1988 the Commission on Judicial conduct filed a complaint against petitioner containing a single charge alleging that he "delayed unduly and inexcusably in deciding motions and otherwise disposing of pending matters” in nine particular cases. The complaint alleges that he thereby violated the Rules of Judicial Conduct, particularly the rule requiring a Judge to promptly dispose of pending matters (Rules of Judicial Conduct [22 NYCRR] § 100.03 [a] [5]). Petitioner conceded that thé delays occurred and stipulated to the facts in the cases at issue. After a hearing at which the petitioner testified the Referee sustained the charge with respect to all but one of the cases which he concluded was not unduly delayed.
The Commission confirmed the Referee’s report and determined that the petitioner should be censured. It stated that petitioner’s "repeated failure to dispose promptly of the business of his court, prompting Article 78 proceedings to compel decisions in four cases, constitutes misconduct and is cause for public discipline.” Two members of the Commission dissented with respect to the sanction and voted that the petitioner be admonished.
Throughout his judicial career, petitioner has disposed of approximately 25,000 cases. He often worked evenings, weekends and holidays and volunteered for difficult cases. There is no suggestion that he was not devoting his full time and
The delays range between seven months for a decision on a motion to restore a complaint in a tort action against a utility, to over nine years on several discovery motions in an admiralty case. Decisions on motions in two other admiralty cases were delayed for nearly four years in one case, and over seven years in the other. In one complicated real estate dispute the parties had to wait nearly eight years for a decision on the merits after a nonjury trial in 1979. The parties in four cases commenced article 78 proceedings to compel petitioner to render a decision. In all but one of those cases, which was settled, the petitioner decided the matter soon after the motion was made. Several times the Appellate Division noted that these delays were unreasonable, and court administrators spoke to the petitioner about them. In 1987 petitioner’s case load was reduced so that he could dispose of those matters which were still overdue, and he complied.
At the hearing petitioner was cooperative and contrite and sought to explain the delays. He candidly admitted that the three admiralty cases "got away” from him. These were complicated suits involving multiple parties who had made motions and cross motions, most of which related to discovery. Petitioner mistakenly believed that all outstanding motions had been resolved. When the oversight was brought to his attention he decided all of these motions in late 1986 and early 1987. But he also conceded that in other cases at issue here, he was aware that the parties were awaiting a decision and he kept putting them off, despite repeated inquiries from counsel. He stated that these cases were extremely complex and required him to set aside a large "block of time” to review a voluminous record and research complicated questions of law, which he was unable to do because of the daily pressure of an ever increasing case load.
This may explain the delays; but as petitioner himself acknowledged at the hearing, it does not justify them. The question is whether these administrative failings constitute judicial misconduct.
The canons of judicial ethics require a Judge to "dispose
The Commission concedes that it does not have jurisdiction over all delays. It recognizes that ordinarily delays do not constitute misconduct and that if the Commission were to exercise general oversight of court calendars it would be exceeding its authority and would interfere with, if not displace, the role of the independent judicial officers and those specifically charged with managing the court system. It urges, however, that at some point a Judge’s failure to dispose of pending matters must be viewed as misconduct within its jurisdiction.
Because most of the delays in this case are so lengthy and inexcusable it is tempting to accept the Commission’s argument without reflection, ignoring the fact that the rule it proposes has no defined or definable limits and would overlap the jurisdiction clearly granted to those administering the courts. Basically it would permit the Commission to intervene in the administrative process whenever it believes that a Judge has failed to dispose of pending matters within unspecified time limits in an unspecified number of cases and on a case-by-case basis.
Litigants should not be put to the added expense of having to appeal erroneous decisions hastily made when the court could have prevented the error if it had devoted additional time to reviewing the case and researching the applicable law. On the other hand, litigants should not be expected to wait years for a decision because a Judge wants to produce a scholarly writing; neither should they be required to commence collateral proceedings to compel the Judge to render a decision. The law is a learned profession but it is also a practical one. A Judge’s personal interest in promoting or preserving a reputation as a scholar cannot be given priority over the needs of the parties, and the legal system, for prompt resolution of pending disputes. These are circumstances which require administrative attention and action. And if the Judge fails to comply with administrative orders, his conduct must necessarily be deemed an appropriate subject for disciplinary action.
There is also much that administrators can do in future cases to eliminate the types of delay which occurred here. Regulations are now being enforced uniformly and strictly which provide for reporting of matters not resolved within
The problem unique to this case is that these reporting rules were in their infancy when most of the delays occurred. At that time, as the dissent notes, there were similar Appellate Division rules, but as the petitioner’s Administrative Judge observed at the hearing, those predecessor rules were not consistently applied and enforced. It was not until recently, when the rules were adopted State-wide and routinely enforced by the Office of Court Administration, that administrators received sufficient information to be made aware of such delays before they became substantial in number or duration. When the responsible officials finally learned of the full extent of the petitioner’s problems in this case, firm administrative action was interposed. His case load was reduced and he immediately turned to and completed those matters which were long overdue. In the context of his overall performance these were isolated incidents. It cannot be said that he was not devoting sufficient time to his over-all duties or was indifferent to them generally. On the contrary it appears that he assumed that he was always able to do more than his share and could not bring himself to ask for help or write a decision which did not meet the high standards which he had set for himself although that caused delay which burdened others. These are failings but, without more, not the kind of derelictions commonly associated with misconduct warranting formal penalties.
Accordingly the determined sanction should be rejected, without costs, and the charge dismissed.
Dissenting Opinion
(dissenting). The issue is whether the failure of a Judge to dispose of the business of the court promptly may
I
Respondent, the State Commission on Judicial Conduct, has been authorized by the Constitution and Judiciary Law to "receive, initiate, investigate and hear complaints” concerning the performance of Judges or Justices in the Unified Court System and to sanction them for cause (NY Const, art VI, § 22; Judiciary Law § 44 [2]). Cause may be provided by a violation of the Rules of the Chief Administrator of the Courts which state that the judicial duties of a Judge take precedence over all others and that among those duties is the obligation to dispose promptly of the business of the court (22 NYCRR 100.3, 100.3 [a] [5]). Significantly rule 100.3 (a) (5) is cast in terms of prompt disposition of the court’s business, rather than proscribing inordinate delay. These rules were adopted with the approval of this court (Judiciary Law § 212 [2] [b]) and are consistent with provisions found in the Code of Judicial Conduct, approved by the American Bar Association, and similar standards applied in every jurisdiction in this Nation (see, Code of Judicial Conduct, Preamble; Canon 3A [5]). They are necessary predicates to years of institutional efforts to avoid judicial delay and the court congestion which results from it.
Petitioner refers to no standards, established by decision or otherwise, specifying what is excusable delay and what is not. Significantly, however, both the Legislature and the Chief Judge have spoken on the general subject. The Legislature has
Although these guides do not establish a bright line separating an excusable violation of the rules and misconduct, none is needed in this case. If the requirement that a Judge shall promptly dispose of the business of the court has any meaning, it bans delays involving a number of cases over an extended period of years and respondent’s determination that petitioner was chargeable with misconduct for violating it is inescapable.
II
It will be helpful to add some facts from the record to those set forth in the majority opinion.
The nine matters investigated by the Commission involved actions and proceedings before petitioner between 1979 and 1987. Respondent found he delayed in eight of the nine cases specified in the charge. The longest delay, occurring in two of the counts, was nine years, three months (Starkaiser and Public Administrator) but in those two cases petitioner also had failed to timely dispose of five applications for interlocutory relief for periods ranging in length from four to eight years. The other seven counts involved delays of seven months to more than eight years.
Petitioner acknowledges that although he lost track of two or three cases, he knew that most of the matters were undecided for extended periods of time. Indeed, he could not avoid knowing of the delays. There was evidence that attorneys called or wrote the Judge’s Chambers repeatedly, speaking with the Judge personally or with his staff, to urge that a decision be rendered. In one matter, the evidence established that counsel made over 24 calls to request a decision. Moreover, on six occasions article 78 proceedings were instituted to compel a decision or to have the matter transferred to another
Notwithstanding this unfortunate incident, petitioner was a respondent in four subsequent article 78 proceedings instituted by litigants unable to obtain decisions on pending matters. In one case, Corporation of Presiding Bishop of Church of Jesus Christ of Latter-Day Saints v Solow Bldg. Corp., plaintiff’s counsel made several attempts to obtain a decision and was repeatedly assured that one was forthcoming. When he received none, he instituted an article 78 proceeding seeking to have the matter transferred to another Judge for the purpose of rendering a decision on the record. Counsel was subsequently persuaded to withdraw the proceeding by petitioner’s sworn affidavit stating that he would render a decision promptly. Nine months passed without him doing so, however, and plaintiff commenced another proceeding. By the time it came before the Appellate Division, the issue had become moot because after the second article 78 proceeding was instituted, and almost eight years after the matter was submitted to him, petitioner decided the case. Nevertheless, the Appellate Division took the unusual step of going beyond a perfunctory dismissal of the petition for mootness, criticizing petitioner and declaring his delay inexcusable (see, Matter of Corporation of Presiding Bishop of Church of Jesus Christ of Latter-Day Saints v Greenfield, 131 AD2d 355, 356).
Moreover, the Church case was not the only matter in
Thus, when the majority asserts that when petitioner’s "oversight was brought to his attention” he resolved the pending matters (majority opn, at 296), it should be remembered that the "oversight[s]” were "brought to his attention” many times, over many years, by complaining litigants, article 78 proceedings, repeated administrative cajoling and Appellate Division criticism and that the matters were not fully resolved until petitioner was relieved of part of his calendar.
m
Petitioner admits that the delays were inexcusable but he denies that he has been guilty of any misconduct. He maintains generally that censure is not warranted because he has already been "sanctioned” enough by the statements contained in the Appellate Division’s decisions and the continued complaints of the local and State-wide administrators calling him to task.
Petitioner’s principal legal contention is that the Commission was without jurisdiction in these matters and that its actions constituted an "unwarranted intrusion” into the courts because the time taken to dispose of cases is a matter of individual judicial discretion. In his view, the only remedies for judicial delay are administrative supervision or article 78 proceedings.
As for his suggested solution for the problem, obviously the administrative efforts did not remedy the delays here, and even though article 78 proceedings did produce some decisions they are not an acceptable alternative for addressing misconduct. Litigants go to court to solve their problems, not multiply them. It can be little comfort to them, therefore, to learn that having reluctantly entered the courtroom they have acquired a new adversary, the assigned Judge, who must be sued in one or more legal proceedings before they obtain a decision in their case.
Although the majority rejects petitioner’s contention that the Commission lacks jurisdiction in cases involving delay and it finds petitioner guilty of "lengthy” and "inexcusable” delay (majority opn, at 297), it adds a gloss to our rule which substantially changes its meaning. The majority finds no misconduct because (1) the delay was not accompanied by aggravating factors and (2) the petitioner acted with good intentions.
First, the majority construes the rule to require delay plus some additional violation before misconduct is established, and asserts that the plus is not present in this case. The rule is not violated, it holds, unless there is delay coupled with other derelictions (see, majority opn, at 298, citing Matter of Lenney, 71 NY2d 456; and Matter of Reeves, 63 NY2d 105; Matter of Leff, Aug. 12, 1982, reported in Ann Report of State
Second, the majority holds that if petitioner acted in good faith a finding of misconduct is unwarranted under the rules. It cites in support of this principle only a New Jersey case (Matter of Alvino, 100 NJ 92, 494 A2d 1014, 1016) which involved inadvertent delays of undisclosed length in "some” matters (see, majority opn, at 297). In New York, however, good intentions do not change prohibited conduct to permitted conduct. On the contrary, our cases have consistently adopted the view that misconduct remains misconduct, even though the offending Judge acts in good faith. This is so because the violation results from the unexcused failure to meet judicial standards, not from the Judge’s motives, and because the damage to the litigants individually and the court system as a whole is the same whether the delay is intentional or not. The appearance of impropriety cases offer an appropriate parallel (see, e.g., Matter of Edwards, 67 NY2d 153, 155 [interceding with another Judge concerning pending charges against son]; Matter of Lonschein, 50 NY2d 569, 572-573 [interceding with city licensing officials on behalf of friend]; see also, Matter of Harris, 72 NY2d 335, 336-337 [conducting charity fund drive in the courtroom]). Motive may be relevant in determining the appropriate discipline imposed but it is not relevant when evaluating the seriousness of delay to determine misconduct.
At bottom, the majority’s analysis is unsound not only because it recasts the plain language of our rule but because it links delay with the Judge’s response to administrative action. Under the majority’s theory, if the administrators failed to perform their duties in overseeing the prompt disposition of the court’s business, individual Judges could not be guilty of misconduct. No matter how egregious the Judges’ delay they could not be guilty of insubordination, contumacious conduct, or the like, in resisting the administrators. Administrative action is simply irrelevant when measuring delay or misconduct resulting from delay. Delay is delay and petitioner’s conduct is neither more nor less censurable because of administrative shortcomings, if such there were. But notwithstanding the majority’s analysis, the administrators did act here and petitioner’s knowing delay and his failure to take any steps to correct his delays under the extreme condi
There is a more fundamental reason why petitioner should be censured. Petitioner admittedly knew the rules and he had to know under the circumstances that he had grossly violated them by failing to decide several matters. He was personally responsible for observing the rules regulating his conduct and, having failed to do so, he should be answerable for his failures regardless of any administrative lapse.
Finally, the majority, again confusing administration with misconduct, suggests that the Commission’s action in this case constituted an unwarranted interference with the administration of the courts.
IV
Our rules proscribing delay embody the simple truth that the courts, like all public institutions, exist for the benefit of those they serve. If there is one thing that parties appearing in court are entitled to ask of the judicial system, it is that matters submitted to the court be decided. If they are not, the
Certainly the problems of busy Trial Judges struggling to cope with increasing work loads cannot be minimized. Many Judges fall behind at one time or another but in most cases the delay is so insignificant that no one would seriously allege misconduct or contend that discipline is warranted. Unlike violations involving corruption or venality, where even one violation requires condemnation and discipline, the determination that a Judge has been guilty of inexcusable procrastination requires a consideration of the length of the delay and its causes. However, Judges must endeavor to dispose of their business promptly and when confronted by delays of the magnitude of those confronting petitioner, they must establish priorities to take into account the time necessary for decision. They must not only judge well but they must also organize their work well. Their conscious failure to recognize these concerns and dispose of the matters before them or, if unable to do so promptly, to take steps to eliminate delays, constitutes a violation of our rules.
There is no evidence that petitioner made adequate provision for his problems or that he ever, because of overwork or disability, asked for administrative relief. Indeed, notwithstanding his precarious situation in a number of cases, and the obvious distractions and demands on his time from the complaints and article 78 proceedings against him, the record indicates that petitioner continued to seek out new difficult cases, apparently unconcerned about the potential for prejudice or destruction of the litigant’s claims in cases pending before him and indifferent to the immeasurable loss of public confidence in the court system resulting from his failure to decide them. Nonetheless, the majority hold that the Commission cannot discipline him for such violations and that the court will not do so. If the Commission was not justified in acting in this case, then I cannot envision one in which it could act to discipline a Judge for failing to promptly dispose of the court’s business.
Chief Judge Wachtler and Judges Titone, Hancock, Jr., and Bellacosa concur in Per Curiam opinion; Judge Simons dissents and votes to accept the determined sanction in an opinion in which Judge Alexander concurs; Judge Kaye taking no part.
Determined sanction rejected, etc.
. The Commission dismissed one count involving a case in which an article 78 proceeding was instituted against petitioner.
. In his brief petitioner suggests, and counsel repeated the contention at oral argument, that an article 78 proceeding is the sole remedy contemplated by the Legislature with respect to delay and that if the Judge disposes of the underlying matter before the article 78 proceeding is decided, he is entitled to absolution. The argument was not pressed and it is refuted by provisions in the Constitution, Judiciary Law, The Code of Judicial Conduct and Rules of the Chief Administrator of the Courts which proscribe delay and provide the mechanism for enforcement of the rules.
. I cannot excuse petitioner’s conduct because of his illnesses, as the majority does. Most of his problems in these cases passed the excusable conduct stage long before the illnesses occurred and petitioner does not rely on them to excuse or explain the delay.
. The majority assures us that administrative action will suffice in the future because new reporting rules should produce better results. Similar rules have been in effect since court unification in 1979, however (see, Historical Note following 22 NYCRR 4.1), and by order of the Appellate Divisions long before that. Petitioner was subject to such rules during the entire period involved in this proceeding and neither the rules nor the extensive efforts of others had any noticeable affect on his performance. Although petitioner contended that the rule requiring him to file status reports on cases pending more than 60 days did not apply to some of the matters before him, he knew of those time constraints and the rule concededly applied to several of the matters before him.
. The majority’s concern over hasty or ill-considered decisions is, in the context of this case, absurd (see, majority opn, at 298).