Chani Lightman,
Appellant,
v.
Tzvi Flaum, &c., et al.,
Respondents.
2001 NY Int. 134
In this appeal, we must decide whether CPLR 4505 imposes a fiduciary duty of confidentiality upon members of the clergy that subjects them to civil liability for the disclosure of confidential communications. We hold that it does not.
After 15 years of marriage, plaintiff Chani Lightman
initiated a divorce proceeding against her husband, Hylton
As a result of the rabbis' disclosures of those
conversations, plaintiff commenced this action against them,
asserting causes of action for breach of fiduciary duty in
violation of the CPLR 4505 "clergy-penitent privilege,"
intentional infliction of emotional distress and defamation
against Rabbi Weinberger. Prior to answering, defendants moved
to dismiss the complaint, contending that a violation of the
statutory evidentiary privilege did not give rise to a private
Supreme Court converted the motion into one for summary
judgment and directed the parties to provide further evidence
relevant to that determination. Rabbi Flaum submitted two
additional affirmations in which he expanded on the nature of his
discussions with the Lightmans. He claimed that more than two
years earlier Hylton Lightman first revealed marital problems to
him. That conversation prompted plaintiff's mother to request
that he speak with plaintiff. At the meeting, plaintiff and her
mother berated him for discussing the marriage with plaintiff's
husband and for giving advice without obtaining plaintiff's
version of the situation. He alleged that plaintiff admitted to
discontinuing her religious purification rituals and indicated
she was socializing with men other than her husband. Rabbi Flaum
further contended that these statements were not confidential
because plaintiff never requested spiritual guidance and that,
pursuant to Jewish law, he was obliged to relay this information
to plaintiff's husband in order to prevent him from engaging in
Rabbi Weinberger echoed this doctrinal explanation for the disclosures and alleged that he had met jointly, and separately, with the Lightmans. He claimed plaintiff was accompanied by a friend at these meetings on more than one occasion. Expressing surprise that plaintiff would have admitted her failure to follow religious laws of family purity while in the presence of a friend, Weinberger indicated that these revelations led him to believe the discussions were not confidential. Plaintiff disputed defendants' interpretation of religious law, and characterized her interactions with defendants as spiritual counseling received with the expectation that intimate information would remain confidential.
Supreme Court granted partial summary judgment by
dismissing plaintiff's defamation claim but ruled that the causes
of action for intentional infliction of emotional distress and
breach of fiduciary duty were viable. As to the latter, the
court concluded that there were issues of fact regarding whether
the communications remained confidential despite the presence of
third parties during the various conversations and whether the
communications were made to defendants in their spiritual
capacity. Supreme Court further found that a violation of CPLR 4505 was actionable as a breach of fiduciary duty of
The Appellate Division modified by dismissing the fiduciary duty and emotional distress causes of action. The court determined that plaintiff failed to demonstrate that she had not waived the clergy-penitent privilege due to the presence of third parties during her meetings with each of the defendants. Accordingly, the court declined to address whether plaintiff stated a claim for breach of fiduciary duty.
Two Justices dissented, in part, and would have sustained the causes of action for breach of fiduciary duty, leaving as an issue of fact whether plaintiff waived the clergy- penitent privilege. Finding the fiduciary duty claims actionable, the dissent reasoned that a cause of action for breach of fiduciary duty of confidentiality stems from a breach of CPLR 4505 because claims arising from violations of analogous statutory provisions had been recognized and defendants had not adequately shown they were entitled to First Amendment protection. Plaintiff appealed to this Court as a matter of right, and we now affirm for reasons different from those stated by the Appellate Division.
The common law insulated certain confidential
information from disclosure at trial, such as interspousal
communications made during the course of a marriage ( see,
McCormick on Evidence § 78, at 323-324 [5th ed. 1999]).
The clergy-penitent privilege was unknown at common law
(see, Matter of Keenan v Gigante, , 47 NY2d 160, 166, cert denied
444 US 897).[1]
It arose from the Roman Catholic sacrament of
Penance, which requires sins to be disclosed to a priest who is
prohibited by ecclesiastical law from revealing the substance of
those disclosures even when the refusal to disclose results in
Recognizing the value of extending the privilege to
other religions (see, Second Prelim Report of Advisory Comm on
Prac & Pro, 1958 NY Legis Doc No. 13, at 93), the Legislature
adopted CPLR 4505 , which applies to confidential communications
made by congregants to clerics of all religions (see, People v
Carmona, 82 NY2d at 608-609). CPLR 4505 provides that unless
"the person confessing or confiding waives the privilege, a
clergyman, or other minister of any religion or duly accredited
Christian Science practitioner, shall not be allowed [to]
disclose a confession or confidence made to him in his
professional character as spiritual advisor." A communication is
not privileged merely because it is made to a cleric (see, Matter
of Keenan v Gigante, 47 NY2d at 166). Rather, the statute's
protection envelops only information imparted "in confidence and
for the purpose of obtaining spiritual guidance" (People v
Here, plaintiff acknowledges that she cannot prevail without proving the existence of a fiduciary relationship with each defendant and the requisite expectation of confidentiality, but argues that she automatically satisfies both elements because the information protected by CPLR 4505 is confidential as a matter of law. Defendants, on the other hand, reject the notion that a rule of evidence can establish an actionable fiduciary duty of confidentiality. They contend that clerics cannot be compared to the secular professionals enumerated in article 45 because those practitioners derive their professional authority from the issuance of licenses. Defendants emphasize that these professionals must conduct themselves in accordance with the rules that regulate their interactions with clients or patients and are subject to disciplinary measures for professional misconduct. Finally, defendants claim that utilizing CPLR 4505 as the fiduciary standard would raise significant constitutional concerns because it would require courts to interpret religious principles and chill defendants' exercise of Jewish beliefs.
We find a distinction between confidential
information under the rules and regulations that govern secular
professionals and information cloaked by an evidentiary privilege
under the CPLR. This difference demonstrates that statutory
privileges are not themselves the sources of fiduciary duties but
are merely reflections of the public policy of this State to
In fact, we have previously explained that a significant purpose of the Code of Professional Responsibility is to ensure "that attorneys remain faithful to the fiduciary duties of loyalty and confidentiality owed by attorneys to their clients" (Kassis v Teacher's Ins. & Annuity Assn., , 93 NY2d 611, 616) as well as the "duty to deal fairly, honestly and with undivided loyalty" (Matter of Cooperman, , 83 NY2d 465, 472; see also, Matter of Russakoff, , 79 NY2d 520, 524 and Greene v Greene, , 47 NY2d 447, 451).
A similar dichotomy between professional
The clergy and the other classes of professionals
specified in CPLR article 45 are also fundamentally different
with respect to the extent of State regulation of their
professional practices. Individuals employed in other fields
subject to statutory privileges derive their authority to
practice from the State, which conditions the issuance of a
license on, among other requirements, the completion of
formalized education and/or training (see, Education Law §§ 6524
Defendants and the amici strenuously argue that the
imposition of liability without regard to a cleric's religious
principles which motivate or compel disclosure would violate the
Free Exercise and Establishment Clauses of the First Amendment of
the United States Constitution. Despite the inconsistencies in
defendants' rationale for revealing plaintiff's communications
(as aptly noted by the dissent in the Appellate Division), the
prospect of conducting a trial to determine whether a cleric's
disclosure is in accord with religious tenets has troubling
constitutional implications. To permit a party to introduce
The United States Constitution protects the right of individuals to "believe what they cannot prove. They may not be put to the proof of their religious doctrines or beliefs * * * [I]f those doctrines are subject to trial before a jury charged with finding their truth or falsity, then the same can be done with the religious beliefs of any sect. When the triers of fact undertake that task, they enter a forbidden domain" (United States v Ballard, 322 US 78, 86-87). As we explained in a different context, "civil courts are forbidden from interfering in or determining religious disputes. Such rulings violate the First Amendment because they simultaneously establish one religious belief as correct * * * while interfering with the free exercise of the opposing faction's beliefs" (First Presbyt. Church of Schenectady v United Presbyt. Church in the United States of Am., , 62 NY2d 110, 116, cert denied 469 US 1037; see also, Park Slope Jewish Ctr. v Congregation B'Nai Jacob, , 90 NY2d 517, 521; Avitzur v Avitzur, , 58 NY2d 108, 114, cert denied 464 US 817).
Guided by these well-settled principles and in the
absence of a statute, regulation or other source delineating the
scope and nature of the alleged fiduciary duty, we view the CPLR
In light of this conclusion, we need not address plaintiff's remaining contentions, including whether there was an issue of fact concerning her purported waiver of the privilege.
Accordingly, the order of the Appellate Division should be affirmed, with costs.
1 The privilege has been alternatively referred to as the
"priest-penitent" privilege (Matter of Keenan v Gigante,