Lead Opinion
OPINION OF THE COURT
The issue before us is whether Vehicle and Traffic Law § 415-a (5) (a), having previously withstood challenge on Federal constitutional grounds, is nevertheless unconstitutional under NY Constitution, article I, § 12. We conclude that it is not, and reverse the order appealed from.
I.
On February 17, 1988, at approximately 3:30 p.m., Police Officer Robert Baumert and other police officers arrived at the Jimmy-Son vehicle dismantling yard, which was owned by the defendant, George Keta. Officer Baumert, a member of the Automobile Crime Division of the New York City Police Department, testified that the defendant’s yard, together with another nearby establishment, had been randomly selected for inspection that day. According to Officer Baumert, he and other members of the inspection team walked into the office, identified themselves as police officers and announced that they were present to perform an administrative inspection. Upon the officers’ request, the defendant produced various New York City permits and his vehicle dismantler’s license. The officers recorded the license and permit numbers and then entered the yard, randomly selecting vehicle identification
Since it was "not uncommon” to receive a "hit” on an automobile part (i.e., to learn that the part has been reported as stolen), Officer Baumert and a fellow officer returned to the office and requested that the defendant produce his so-called "police book”, in which entries relating to the purchase of a vehicle part must be recorded by a vehicle dismantler pursuant to Vehicle and Traffic Law § 415-a (5) (a).
II.
The hearing court subsequently granted the defendant’s motion to suppress, determining that Vehicle and Traffic Law § 415-a (5) (a) was violative of NY Constitution, article I, § 12. The hearing court observed that in People v Burger (67 NY2d 338, revd sub nom. New York v Burger, 482 US 691), the Court of Appeals struck down Vehicle and Traffic Law § 415-a (5) (a)
In reversing the Court of Appeals’ holding, the United States Supreme Court focused on the Court of Appeals’ concern that Vehicle and Traffic Law § 415-a (5) (a) was merely an expedient means of enforcing penal, rather than administrative violations, by observing that, "a State can address a major social problem both by way of an administrative scheme and through penal sanctions” (New York v Burger, 482 US 691, 712, supra). The Supreme Court further explained that, "[administrative statutes and penal laws may have the same ultimate purpose of remedying the social problem, but they have different subsidiary purposes and prescribe different methods of addressing the problem” (New York v Burger, supra, at 712). The court found that Vehicle and Traffic Law § 415-a (5) (a) served the legitimate regulatory goal of ensuring that vehicle dismantlers are legitimate businessmen and that the parts which they sell can be traced and identified (see, New York v Burger, supra, at 714-715). The statute was not
In considering the application of the identically worded provision of the New York State Constitution, the hearing court declined to adopt the Supreme Court’s holding in the Burger case (supra). In support of its determination that Vehicle and Traffic Law § 415-a (5) (a) was violative of the New York State Constitution, the hearing court reasoned, inter alia, that in the past, the Court of Appeals had demonstrated its inclination to expand the right of citizens by "relying on State, rather than on more narrowly interpreted Federal grounds” (People v Keta, 142 Misc 2d 986, 994), and that such an expansive interpretation was appropriate under the circumstances presented here. We disagree and find no constitutional infirmity in the challenged statute.
III.
As a threshold matter, the hearing court’s holding with respect to the scope of the State Constitution impinges upon the policy and rule-making function traditionally perceived as the exclusive domain of the Court of Appeals (see generally, Hopkins, The Role of An Intermediate Appellate Court, 41 Brooklyn L Rev 459, 460 [1974-1975]). Where, as here, "noninterpretative”, State-wide policy considerations govern, in part, any inquiry into the existence of enhanced protection by the State Constitution (see, People v Alvarez, 70 NY2d 375, 379), we must temper our actions with restraint in deference to the
IV.
Turning to the substantive issue at hand, a review of relevant holdings by the Court of Appeals discloses that a determination to depart from a recently enunciated Federal constitutional standard is cautiously undertaken (see, People v Reynolds, 71 NY2d 552, 557), and only after serious consideration of the competing interests involved. Although the court has, in the past, construed the New York State Constitution as providing greater protections than those afforded by the Federal Constitution (see, e.g., People v Dunn, 77 NY2d 19; People v Vilardi, 76 NY2d 67; People v Torres, 74 NY2d 224; People v P. J. Video, 68 NY2d 296, cert denied 479 US 1091; Matter of Patchogue-Medford Congress of Teachers v Board of Educ., 70 NY2d 57), it does not "disregard the Supreme Court’s decisions merely because it disagrees with them or dislikes the result reached” (People v Vilardi, supra, at 80 [Simons, J., concurring]; People v Alvarez, supra; see also, Golden v Clark, 76 NY2d 618). Rather, the court’s holdings reflect a careful balancing process, in which the historical significance and local character of the right in question is weighed against, among other things, the desirability of consistency and uniformity in constitutional jurisprudence (see, Golden v Clark, supra [Hancock, Jr., J., dissenting]; People v P. J. Video, supra; People v Alvarez, supra). Although the Court of Appeals has always tempered the exercise of its "independent judgment” in such matters by considering "sound policy, justice and fundamental fairness” (People v P. J. Video, supra, at 303; see, People v Alvarez, supra, at 378-379), it has also emphasized the important practical considerations of maintaining " 'bright line’ rules to guide the decisions of law enforcement and judicial personnel who must understand and implement * * * decisions in their day-to-day opera
The court itself has described its constitutional inquiry as more circumspect in the area of Fourth Amendment rights due to the identity of language in the Federal and State Constitutions. In this respect the court has observed that, "[o]ur conduct in the area of Fourth Amendment rights has been somewhat more restrained because the history of section 12 supports the presumption that the provision 'against unlawful searches and seizures contained in NY Constitution, article I, § 12 conforms with that found in the 4th Amendment, and that this identity of language supports a policy of uniformity between State and Federal Courts’ ” (People v P. J. Video, supra, at 304, quoting People v Johnson, 66 NY2d 398, 406). More particularly, the court has stated that where there is an identity in the textual content of the State and Federal Constitutions, a so-called " 'noninterpretative analysis’ ” (People v Alvarez, 70 NY2d 375, 378, supra) must be undertaken, requiring consideration of, inter alia, whether the "right at issue has historically been afforded greater protection in New York than is presently required under the Federal Constitution, whether the right is 'of peculiar State or local concern,’ or whether the State citizenry has 'distinctive attitudes’ toward the right” (People v Alvarez, supra, at 379, quoting People v P. J. Video, supra, at 303).
In his concurring opinion in the court’s recent Vilardi opinion, Judge Simons concisely summarized the circumstances under which the court has applied the State Constitution by noting that, "[i]n the past when we have departed from the Supreme Court’s decisions, we generally have done so because (1) we chose to adhere to our own established law or because the Supreme Court has retreated from previously announced rules * * * (2) to establish a more protective State right by constitutionalizing a prior fully developed common-law right * * * or (3) because we have found a separate State rule justified by concerns peculiar to New York State residents” (People v Vilardi, 76 NY2d 67, 83, supra [Simons, J., concurring]). An analysis of the foregoing considerations fails to support the conclusion that an expansive construction of the New York State Constitution is warranted under the circumstances.
Significantly, the constitutional right in question differs materially from those which the Court of Appeals has singled out as meriting special protection under the provisions of the
Nor do we believe that the Supreme Court’s Burger rationale constitutes a departure from that which it had previously applied where the propriety of an administrative search has been assessed (see, Donovan v Dewey, 452 US 594; United States v Biswell, 406 US 311; Colonnade Corp. v United States, 397 US 72). Although the dissenters in the Supreme Court’s Burger decision took issue with, inter alia, the majority’s factually premised conclusion that the vehicle dismantling industry was "pervasively regulated” (New York v Burger, 482 US 691, 718, supra [Brennan, J., dissenting]), the majority’s holding in this respect can hardly be described as signalling a doctrinal revision or departure from the court’s previously enunciated standards governing warrantless administrative searches (see, e.g., United States v Biswell, supra; cf., People v Vilardi, 76 NY2d 67, supra). Indeed, the Court of Appeals itself declined to describe the vehicle dismantling
Finally, it bears noting that the circumstances surrounding the regulatory inspection conducted at bar differ materially from those in Burger. Here, the defendant maintained a "police book”, which the officers permissibly requested and
In short, neither the policy concerns applicable to the present inquiry nor the considerations of fundamental fairness from which they proceed (see, People v Alvarez, 70 NY2d 375, 379, supra), predominate so as to counterbalance the desirability of consistency and uniformity in constitutional construction (see, People v Reynolds, 71 NY2d 552, 557, supra). Accordingly, we conclude that the regulatory scheme created by Vehicle and Traffic Law § 415-a (5) (a) comports with relevant constitutional requisites and we reverse the order appealed from, deny the branch of the defendant’s omnibus motion which was to suppress physical evidence and statements made by him to law enforcement officials, and remit the matter to the Supreme Court, Queens County, for further proceedings consistent herewith.
. Vehicle and Traffic Law § 415-a (5) (a) provides, in part: "5. Records and identification, (a) * * * Every person required to be registered pursuant to this section shall maintain a record of all motor vehicles, trailers, and major component parts thereof, coming into his possession together with a record of the disposition of any such motor vehicle, trailer or part thereof and shall maintain proof of ownership for any motor vehicle, trailer or major component part thereof while in his possession. Such records shall be maintained in a manner and form prescribed by the commissioner. * * * Upon request of an agent of the commissioner or of any police officer and during his regular and usual business hours, a vehicle dismantler shall produce such records and permit said agent or police officer to examine them and any vehicles or parts of vehicles which are subject to the record keeping requirements of this section and which are on the premises. * * * The failure to produce such records or permit such inspection on the part of any person required to be registered pursuant to this section as required by this paragraph shall be a class A misdemeanor.”
. In People v Burger (67 NY2d 338, supra), the arresting officers conducted an inspection of the defendant’s yard even though they had ascertained prior to the inspection that the defendant had not maintained records required under the statute. It should be noted that in Burger the Court of Appeals also found New York City Charter § 436 to be unconstitutional on grounds similar to those identified by it in striking down Vehicle and Traffic Law § 415-a (5) (a) (see, People v Burger, supra, at 344-345). Although, at bar, one of the arresting officers testified before the Grand Jury that the inspection was also conducted pursuant to New York City Charter § 436, our conclusion with respect to the constitutionality of Vehicle and Traffic Law § 415-a (5) (a) obviates the need to consider the application of the New York City Charter (see, New York v Burger, 482 US 691, 698, supra).
. The legislative memorandum drafted in connection with Vehicle and
Dissenting Opinion
(dissenting).
I dissent and vote to affirm the order from which the People appeal. I do not agree with the majority’s suggestion that an intermediate appellate court, the court of last resort in a majority of cases and only one of the functions of which is error-correcting (see, Hopkins, The Role of an Intermediate Appellate Court, 41 Brooklyn L Rev 459, 460, 475, 478 [1974-1975]), should reverse a determination by a hearing court
The facts surrounding the challenged "inspection” as set forth by the majority do not need repetition here. I note in addition, however, that, according to Police Officer Baumert, the only witness to testify at the suppression hearing, the "job” of the five-member police team making the random inspections of vehicle dismantling businesses and junkyards was "to detect and to prevent ongoing auto crime in the City of New York”. I also note that notwithstanding the ostensible "administrative” purposes of Vehicle and Traffic Law § 415-a (5) (a)
It has long been recognized that the Fourth Amendment prohibition against unreasonable governmental searches and seizures protects commercial premises as well as private homes and it applies in both civil and criminal contexts (see, e.g., Marshall v Barlow’s, Inc., 436 US 307; See v City of Seattle, 387 US 541). It has also heretofore been recognized that, in circumspect classes of cases involving industries which are pervasively regulated, administrative searches are excepted from the general rule requiring warrants issued on
In People v Burger (67 NY2d 338, revd 482 US 691), the highest court of this State expressed its recognition of these principles and in light of them ruled that both Vehicle and Traffic Law § 415-a (5) (a) and New York City Charter § 436 were violative of the Fourth Amendment because, inter alia, they did little more than authorize general searches by police of certain commercial premises, not to further any administrative or regulatory purpose but rather solely to uncover evidence of criminality (see, People v Burger, supra, at 344). As noted by the majority, "[t]he fundamental defect in the statutes before us is that they authorize searches undertaken solely to uncover evidence of criminality and not to enforce a comprehensive regulatory scheme. The asserted 'administrative schemes’ here are, in reality, designed simply to give the police an expedient means of enforcing penal sanctions for possession of stolen property. Furthermore, an otherwise invalid search of private property is not rendered reasonable merely because it is authorized by a statute, for to so hold would allow legislative bodies to override the constitutional protections against unlawful searches” (People v Burger, supra, at 344).
The United States Supreme Court reversed (New York v Burger, 482 US 691, supra) and, in an apparent departure from earlier precedents, held that statutorily authorized warrantless searches of closely regulated businesses were reasonable within the meaning of the Fourth Amendment if the regulatory scheme was designed to further a substantial State interest (see, Donovan v Dewey, 452 US 594, supra; United States v Biswell, 406 US 311, supra) and that a statute
The People urge and the majority accepts that, in light of the identity of language guaranteeing the right to be secure against unreasonable searches and seizures contained in the Fourth Amendment and in NY Constitution, article I, § 12, we should adhere to a "policy of uniformity” between State and Federal courts (cf., People v Johnson, 66 NY2d 398, 406; see, People v Gonzalez, 62 NY2d 386; People v Ponder, 54 NY2d 160) and uphold as against the State Constitution Vehicle and Traffic Law § 415-a (5) (a). Identity of language, however, "does not spell the end of state judicial review” of its own constitution (Kaye, Dual Constitutionalism in Practice & Principle, 61
I regard the Supreme Court’s holding in New York v Burger (482 US 691, supra) as a departure from its prior rulings that warrantless administrative searches are unlawful when used to uncover evidence of criminality (see, e.g., Donovan v Dewey, 452 US 594, 598, n 6, supra). Moreover, since lawful warrant-less "administrative” searches were heretofore "indeed exceptions” to Fourth Amendment proscriptions, I regard invalidation of Vehicle and Traffic Law § 415-a (5) (a) and New York City Charter § 436 as a refusal to carve out an additional exception to long-recognized constitutional principles governing police conduct rather than, as the majority views it, the "extension of additional constitutional protections to those who engage in the vehicle dismantling business”. In light of New York’s "long tradition of interpreting our State Constitution to protect individual rights” (People v P. J. Video, supra, at 303; see also, People v Harris, 77 NY2d 434, supra), in light of prior judicial commitment to guarding against dilution, under the guise of administrative regulation, of procedural and other safeguards attendant upon policing conduct of individual citizens (see, e.g., Donovan v Dewey, supra, at 598, n 6; See v City of Seattle, 387 US 541, supra; People v Burger, 67 NY2d 338,
Nor can New York City Charter § 436 be used to legitimize the challenged police conduct. That legislative enactment lacks even the time limitation which was among the factors relied on by the United States Supreme Court in upholding Vehicle and Traffic Law § 415-a (5) (a) on Fourth Amendment grounds (see, New York v Burger, supra). Indeed, New York City Charter § 436 specifically authorizes searches and inspections of a variety of "junk” businesses (cf., Marshall v Barlow’s, Inc., 436 US 307, supra) and those inspections may take place in conjunction with the performance of "any police duties” (People v Burger, supra, at 344). While I am of the view that New York City Charter § 436 could not presently withstand even Fourth Amendment scrutiny (cf., People v Burger, supra), that scrutiny need not be undertaken here because "resort to the State Constitution * * * is particularly apt when the result under Federal law is uncertain” (Matter of Patchogue-Medford Congress of Teachers v Board of Educ., 70 NY2d 57, 66). And broad inspections in connection with the performance of "any” police duty do not pass State constitutional muster (NY Const, art I, § 12).
Because in my view the "inspection” of the defendant’s premises was not authorized by a constitutionally valid legislative enactment, the search warrant premised on information thereby obtained and which was sought so that a search for additional automobile parts could be made is also invalid (see,
Ordered that the order is reversed, on the law, the branch of the defendant’s omnibus motion which was to suppress physical evidence and statements made by him to law enforcement officials is denied, and the matter is remitted to the Supreme Court, Queens County, for further proceedings consistent herewith.
. As the majority notes, Vehicle and Traffic Law § 415-a (5) (a) provides in pertinent part: "[ujpon request of an agent of the commissioner or of any police officer and during his regular and usual business hours, a vehicle dismantler shall produce such records and permit said agent or police officer to examine them and any vehicles or parts of vehicles which are subject to the record keeping requirements of this section and which are on the premises. * * * The failure to produce such records or to permit such inspection on the part of any person required to be registered pursuant to this section as required by this paragraph shall be a class A misdemeanor.”
. By virtue of New York City Charter § 436, the Commissioner of Police "shall possess powers of general supervision and inspection over all licensed or unlicensed pawnbrokers, vendors, junkshop keepers, junk boatment [sic] cartmen, dealers in second-hand merchandise and auctioneers within the city; and in connection with the performance of any police duties he shall have power to examine such persons, their clerks and employees and their books, business premises, and any articles of merchandise in their possession. A refusal or neglect to comply in any respect with the provisions of
