The People &c.,
Appellant,
v.
Thomas Gilmour,
Respondent.
2002 NY Int. 52
On this appeal, we must determine when the Attorney
General may undertake prosecution of a criminal case pursuant to
Executive Law § 63(3). Most criminal prosecutions are conducted
by District Attorneys, who are authorized to prosecute "crimes
and defenses cognizable by the courts of the count[ies]" in which
they serve (County Law § 700). The District Attorney's
prosecutorial power, however, is not exclusive. The Legislature
has authorized the Attorney General to prosecute crimes upon the
request of certain officials, including "the head of any * * *
Based on a tip from defendant's former girlfriend, the Attorney General's office and the State Police conducted an investigation that gave rise to a search warrant for defendant's home. Executing that warrant, investigators found 44 images of child pornography on defendant's computer.[1]
Glenn Valle, Counsel to the State Police, sent a letter
to then-Attorney General Dennis Vacco, asking him to prosecute
the case. Valle wrote on State Police stationery, with his name
"Dear Mr. Vacco:
"Members of the New York State Police, working with investigators assigned to your Organized Crime Task Force and Criminal Prosecutions Bureau, have developed information that Thomas J. Gilmour may be using the Internet to promote the use of a child in a sexual performance in violation of Penal Law Article 263. This conduct occurred within the State of New York.
"Pursuant to Executive Law, Section 63(3), we request that you review the facts of the investigation and take whatever prosecutorial action you deem appropriate.
"Thank you for your cooperation.
"Very truly yours,
/s/ Glenn Valle
Glenn Valle
Counsel"
After receiving the letter, the Attorney General's
office presented the matter to a Grand Jury, which indicted
defendant for possessing a sexual performance of a child (see
Penal Law § 263.16). Defendant moved to dismiss the indictment,
claiming that the letter did not comply with Executive Law
§ 63(3), in that the request to prosecute was not made by the
head of the State Police. Supreme Court denied the motion.
Following a trial at which an assistant Attorney General
represented the People, the jury convicted defendant. The
Appellate Division reversed the conviction and dismissed the
indictment, concluding that the letter did not meet the
requirements of Executive Law § 63(3) (see People v Gilmour, 284
AD2d 341, 342 [2001]). A Judge of this Court granted the People
From New York's earliest history, the scope of the Attorney General's powers has involved "splitting of the prosecution with local prosecuting officers."[2] Today's case arises out of that division of authority, and requires us to examine the history and statutory delineation of the Attorney General's prosecutorial powers.
Prior to the War for Independence, the Attorney General
of New York served the English Crown as this Colony's chief law
officer.[3]
Through colonial times and until 1796, the Attorney
In 1796, the Legislature provided for some local
control over criminal prosecutions by vesting prosecutorial power
in "assistant Attorneys General," who, despite their misleading
title, were independent of the State Attorney General (see id. at
163-164; L 1796, ch 8). Under the enactment, an assistant
Attorney General was to serve in each of the seven districts of
the State (see L 1796, ch 8; 1 Chester, Legal and Judicial
History of New York, 426 [1911]), which then consisted of 22
counties.[4]
In 1801, the Legislature created the office of
District Attorney, so named to reflect the district -- comprising
a number of counties -- over which that official would exercise
prosecutorial power (see L 1801, ch 146). This "district" system
continued until 1818, when the Legislature provided for the
appointment of a separate District Attorney for each county (see
L 1818, ch 283).[5]
Some overlap existed, with the Attorney
The New York State Constitution establishes the offices of Attorney General (see NY Const, art V, §§ 1, 4) and District Attorney (id. at art XIII, § 13), but does not specify or allocate the powers of the respective offices. To discern the scope of the Attorney General's prosecutorial powers, we must turn to the history of Executive Law §§ 62 and 63, the provisions now before us.
We note at the outset that since 1796 the Legislature
has never accorded general prosecutorial power to the Attorney
General (see People v DiFalco, , 44 NY2d 482, 486 [1978] [per
curiam]).[6]
Indeed, this Court has pointed out that "the Attorney
In 1892, the Legislature first crafted a statute
authorizing the Attorney General to prosecute at the behest of
certain officials. It was a two-fold grant. First, Executive
Law § 52(2) authorized the Attorney General to prosecute specific
cases when so required by the Governor or a Justice of the
Supreme Court (L 1892, ch 683). In essence, this involved
filling the shoes of the District Attorney in a particular case.
Second, Executive Law § 52(3) provided a broader grant by which
The statutory distinction between individual case prosecution (which required a request from the Governor pursuant to Executive Law § 63[2]),[8] and the broader prosecutorial authority (requiring a request from one of several officials pursuant to Executive Law § 63[3]) continued until 1965. In that year, the Legislature amended Executive Law § 63(3) so that the officials enumerated in subsection 3 were no longer faced with the choice of asking the Attorney General to handle all of the department's criminal prosecutions or none of them. After the 1965 amendment, those officials were permitted to tap the Attorney General's prosecutorial power in specific cases (see L 1965, ch 790 [providing that the Attorney General shall "investigate the alleged commission of any indictable offense or offenses in violation of the law * * *"]).
In 1969, the Legislature again amended Executive Law
§ 63(3) to allow "the head of any * * * department, authority,
division or agency" to activate the Attorney General's
prosecutorial powers (L 1969, ch 814), and thereby avoid
The evolution of Executive Law § 62 and its related provisions makes clear that the Legislature has sought to delineate meticulously the prosecutorial powers of the Attorney General. In keeping with that concern, this Court has held in an analogous context that if the Attorney General lacks power to prosecute a defendant, any resulting indictment must be dismissed (see People v Romero, , 91 NY2d 750, 758 [1998]; see also People v Fox, 253 AD2d 192, 195 [1999]).[9]
In the case before us, the People resist dismissal,
arguing that Valle's status as counsel to the State Police should
itself be sufficient for courts to presume that the agency head
approved any request for the assistance of the Attorney General.
We also note that no construction of the statute can permit a deviation from its plain meaning. Executive Law § 3) authorizes only the agency "head" to request that the Attorney General prosecute a case, and we cannot interpret the statute in a way that undermines the Legislature's plainly expressed intent. If the Legislature intended that the prosecutorial powers of the Attorney General could be invoked by requests from counsel (not to mention deputy counsel, assistants, bureau chiefs, administrators or other ranking aides), it would have said so. We are unpersuaded by the argument that counsel "acts" for the department head so as to satisfy the strictures of the Executive Law. If that were the test, a host of other department personnel could trigger the statute, inasmuch as they all act on behalf of the department head. As worded, however, the statute requires the approval of the agency "head," not "counsel," and no showing has been made here that the Superintendent of State Police even knew of the request, let alone that he approved or directed it.
Arguing that the prosecution complied with the statute,
the People point out that Valle, as counsel to the State Police,
had the duty to represent the Superintendent in legal matters and
to assist in preparing criminal cases. In support, they cite
The People further contend that Valle's letter is
sufficient because it states that "we request that you review the
facts of the investigation" (emphasis added). This argument
would require us to infer that use of the pronoun "we"
necessarily means that Valle was speaking on behalf of himself
and the Superintendent. We are unwilling to draw that inference.
The "we" could just as well connote the editorial "we" or refer
to the investigative unit or to personnel in counsel's office.
Under these circumstances and in light of the statutory command,
the mere choice of a pronoun is not enough. The agency head's
sponsorship or approval of the request must be clear and
We are also unpersuaded by the People's reliance on Matter of Landau v Hynes (, 49 NY2d 128, 135 [1979]) to support their argument that the statute before us should be construed liberally to effectuate its intent. Aside from the insurmountable obstacle that the intent of the statute is to allow prosecutions by the Attorney General when so requested by the agency head and not by any others, Landau does not support the People's position.
Landau involved a prosecution by the Attorney General upon the request of two agency heads. The defendant Landau claimed that the letters of request did not comply with the law because they were not specific enough in identifying the offenses to be prosecuted. The Court disagreed, reasoning that agency heads cannot be expected to identify the precise criminal statutes that would form the basis for a prosecution. Indeed, the very point of the request is to allow the Attorney General, as prosecutor, to make that determination. Landau cannot be read as excusing compliance with the requirement that the request come from the agency head.
Compliance with Executive Law § 63(3) is not onerous.
The State can easily satisfy its obligation by having the agency
head sign the letter of request. Alternatively, the letter may
be signed by his or her designee, provided there is a clear
Accordingly, the order of the Appellate Division should be affirmed.
1 Before the Appellate Division, defendant challenged the issuance of the search warrant on Fourth Amendment grounds. The court did not address the challenge in light of its determination that the indictment should be dismissed for failure to comply with Executive Law § 63(3). We likewise do not consider the Fourth Amendment argument.
2 Swanson, The Background and Development of the Office of Attorney General in New York State, 163 (1958). The Executive Law itself recognizes this division of prosecutorial responsibility. Section 62, as passed in 1895 and as it reads today, provides that when conducting a criminal action, the Attorney General
"shall exercise all the powers and perform all the duties in respect of such actions or proceedings, which the district attorney would otherwise be authorized or required to perform; and in any of such actions or proceedings the district attorney shall only exercise such powers and perform such duties as are required of him by the attorney-general or the deputy attorney- general so attending" (L 1895, ch 821).
3 When American independence stripped King George III of his power to appoint the New York Attorney General, the Constitutional Convention of 1777 assumed that role and appointed Egbert Benson as the State's first Attorney General (see 2 Lincoln, The Constitutional History of New York, 526-527 [1906]). Following Benson's appointment, the Council of Appointment continued to choose the Attorney General until the Constitution of 1821 abolished the Council. From then on, the office of Attorney General has been elective (see Report of Temporary State Commission on the Constitutional Convention, Report No. 14, State Government, 195-196 [1967]).
4 The statute provided, however, that in New York County the prosecutorial duties remained with the Attorney General.
5 Under the Constitution of 1846, District Attorneys were to be
elected by voters of the respective counties, as is true today
(see NY Const, art XIII § 13; see also 2 Lincoln,
6 Upon proper request pursuant to the Executive Law, however, the Attorney General's "latent powers [of prosecution] are revived" (People v Zara, 44 Misc 2d 698, 701 [Sup Ct, Suffolk Co 1964] [Munder, J.]). Zara properly recognized that when those powers are activated, the Attorney General has the prosecutorial powers otherwise held by the District Attorney (see Letter of Attorney General Louis Lefkowitz, Bill Jacket, L 1965, ch 790; see also CPL 1.20[32] [defining "district attorney" to mean, "where appropriate, the attorney general, an assistant attorney general, a deputy attorney general or a special deputy attorney general"]).
7 To be sure, the Attorney General enjoys a sweeping statutory array of prosecutorial and other law-enforcement authority: to prosecute business frauds and other deceptive practices (see Executive Law § 63[12]; General Business Law §§ 349 et seq); commence civil investigations in the public interest (see Executive Law § 63[8]); bring actions to remove persons unlawfully in public or corporate office (see Executive Law § 63- b); enforce the State's anti-discrimination and human rights laws (see Executive Law § 63[9]-[10]); enforce statutes regulating toxic substances in the workplace (see Labor Law § 882); prosecute members and members-elect of the Legislature and the Commissioner of General Services indicted for corruption or attempted corruption (see Executive Law § 63[4]); bring actions to recover public funds (see Executive Law § 63-c[1]); defend the State's remainder interest in certain trusts (see Executive Law § 63[11]; Social Services Law § 366[2][b][ii]); and other powers too numerous to mention (see generally 96 NY Jur 2d, State of New York §§ 24 et seq).
8 In 1895 the Legislature amended Executive Law § 62 to allow only the Governor -- and not Justices of the Supreme Court -- to request the Attorney General to prosecute an individual case (see L 1895, ch 821).
9 The Appellate Division in People v Fox dismissed the defendant's indictment, concluding that the prosecutorial request by the department's Acting General Counsel was insufficient to satisfy Executive Law § 63(3) where, as here, the record contained no information that the department head was aware that an investigation was taking place or that counsel made the request. Relying on CPL 210.20 and DiFalco (44 2 at 488), however, the Fox court went on to hold that the dismissal of the indictment following conviction did not foreclose a proper re-prosecution (see Fox, 253 AD2d at 195).