Majority
Headnote
Examination before Trial.—Discretionary Order.The examination of an adverse party before trial provided for by section 391 of the Code, is a substitute for the former remedy by bill of discovery, which was abolished by this chapter of the Code, and this substituted remedy may be had where a bill for a discovery would previously have been sustained (Carr v. G. W. Ins. Co., 3 Daly, 160 ; King v. Leighton, 58 N. Y. 383 ; Glenny v. Stedwell [court of appeals], 1 Abb. N. C. 327 , and note 332; 64 N. Y. —; Wiggin v. Gans, 4 Sandf. 647 ).
This remedy was formerly the only way in which proof of a fact exclusively within the knowledge of one of the parties could be obtained, because parties in actions at law could not then, as they can now, be called as witnesses upon the trial. It was, moreover, the only effectual mode of getting at a knowledge of the contents of documents which were in the possession of the other party, and of proving what they contained; for the relief which courts of law could afford was limited and attended with many difficulties before the statutory remedy was enacted for compelling the. production and inspection of books and papers by a motion before trial. The statutory
In view of the abuses that would arise if a party, either before any action was brought or before he had stated his cause of action in a pleading, or after an answer had been served, were allowed, without any restriction or limitation, to subject the other party to an inquisitorial investigation, under oath, to ascertain whether he could make out a cause of action, or whether his adversary could probably succeed in establishing a defense, courts of equity, at an early period, imposed limits to such investigations, by requiring that it should appear by the bill that the matter sought to be discovered was essential to the establishment of a cause of action or'of a defense. “ A system of judicial inquiry,” says Mr. Hare, “would be obviously defective which had no means of obtaining and compelling a production of evidence from the parties themselves, whilst a system which should set no bounds to the power of scrutiny would be fertile in expedients of oppression.’ ’ And in respect to the rules and principles by which courts of equity were guided in allowing or refusing such discoveries, he further remarks : “They are the result of that scrupulous care with which a long succession of eminent judges have asserted the power of judicial investigation, without sacrificing the security and secrecy which all are entitled to claim and to preserve. They define and reconcile the rights of individual privacy and the demands of public justice. They express the extent of the privilege,” whilst the limits they impose are “identified with the administration of justice and
Bills for the discovery of evidence being, however, expensive and dilatory, were so seldom resorted to after the inspection of documents could be compelled by motion, and especially after parties could in all cases be examined as witnesses, that the object of this provision in the Code abolishing such bills, and substituting in their stead the simple and inexpensive procedure provided for by section 391, appears not to have been understood or but imperfectly. By many it was interpreted literally, as giving the right to examine the party before trial without any restriction or limitation whatever—wholly overlooking the history of this branch of jurisprudence and the abuses, injustice and oppression that could be practised if that were permitted. Judge J. L. Mason, it is true, shortly after its' enactment, declared, in Wiggin v. Gans ( 4 Sandf. 647 ), that this provision was a substitute for bills of discovery, and nothing else; “that the examination referred to in it, meant, upon every fair principle of interpretation, any examination for the purpose of discovery, in which formerly a bill of discovery would have been resorted to and that “wherever a bill of discovery could have been filed, under the former practice, in support or defense of an action, there the party might be examined in the mode presented in this chapter, and in no other mode. But this interpretation was not followed, and it was held in subsequent cases, as it had been previously held, that upon a simple notice of five days, given by the opposite party, except the judge should, by order, fix a different time, a party was compelled, before the trial, to appear before the judge, at the time and place specified in the notice, and be examined under oath as a witness (Taggart v. Gardner, 2 Sandf. 669 ; Green v. Wood, 15 How. 342 ; Cook v. Bidwell, 19 Id. 483 ).
The effect of holding that this examination of a party before trial was an absolute right without any qualification or restriction, soon became apparent where the party summoned his adversary to be examined in this way, before any complaint was filed, and where the judge had nothing before him to indicate what the examination was to be about, and was left wholly without guide as to its extent, range or purpose. In view of this difficulty, and the consequences to which it would lead, it was held in a large number of cases (from Chichester v. Livingston, 3 Sandf. 718 , to Norton v. Abbott, 28 How. Pr. 388 ) that this examination could not be had until after issue joined. But this did not suffice. In later cases, this construction, for which there never was any foundation, was not adhered to, and it was held that the examination might be had either before or after issue joined (McVicker v. Ketchum, 1 Abb. Pr. N. S. 452; Bell v. Richmond, 50 Barb. 571 ), and to meet, under this interpretation, the difficulty before suggested, it was held, first by Barbour, J., in Green v. Herder (7 Robt. 455), that if the
I have entered thus at length into an examination of this subject and of the contrariety of views and the confusion that has prevailed respecting the object of this section, for the reason that even now scarcely a week passes in this court without an application being made for the examination of a party under it, without anything being presented but an order for his examination at a specified time and place; so difficult has it been to impress upon practitioners that they have not the right to bring a party up in this way before trial and require him to answer, under oath, any questions that they may put to him.
In equity, a party was allowed to discover from his adversary any matter which was material to the establishment of Ms cause of action or of Ms defense,
The affidavits on which the order for the defendant’s- examination in these two cases, before trial, were granted, state that the plaintiff shall endeavor, upon such examination, to disclose that the letters which constitute the libel for which the actions are brought were published by the defendant; that they were published in malice; that they were received by
The letters being libelous, the law would imply that there was malice, and that the plaintiff was injured by their publication; and as no fact is stated in the affidavit having a tendency to show actual malice or special damage, the discovery sought is reduced to the inquiry whether the defendant published the letters and to whom he sent them. The discovery which the plaintiff seeks is to compel the defendant to disclose whether he has published a libel, or, in other words, whether he has been guilty of a criminal offense for which he could be indicted and punished.
In the restriction imposed upon this right of discovery, nothing was better settled than that a party could not be compelled to discover any matter which might subject him to a penalty, a forfeiture, or a criminal prosecution (Hare on Discovery, part 3, chap. 1, § 1; Wigram on Discovery, 60,'§§ 83-94). “A plaintiff,” says Mr. Wigram, “whatever the merits of his case may be, is not entitled to a discovery from the defendant of any matter which would criminate him or tend to do so” (Wigram on Discovery, 195). Lord Eldon, in Paxton v. Douglass (19 Ves. 226), went even further, Saying: “ The strong inclination of my mind is to protect the party against answering any question, not only that has a direct tendency to criminate him, but that forms one step towards it.” In Baily v. Dean ( 5 Barb. 303 ), Judge Pratt was of opinion that a defendant could not be compelled to disclose facts to enable a plaintiff to sustain an action of slander, because in such actions punitory damages may be given; and in Browsward v. Edwards (2 Ves. Sr. 246), Lord Hardwicke said that the court would not force the party, by his own oath, to subject himself to punishment for usury (and see March v. Davidson, 9 Paige,
It is apparent upon the face of the affidavits that that the plaintiff had no right to the discovery sought, and both orders should therefore, be vacated.
J. F. Daly and Larbemoee, JJ., concurred.
Note.—The new Code of Civil Procedure makes an important change in the form of the law as to examinations taken on deposition, and one which involves a change as to the manner in which the question whether the case is a proper one for examination before trial is presented; but it seems intended to preserve the rule stated in the case .in the text, and to leave the discretion of the court as to the enforcement of the order to be guided by the same principles that courts of equity have uniformly administered.
The now statute requires the judge to whom the application is made to grant an order for the examination of a party in an action pending,—as well as for the examination of a person whose testimony is material and necessary to one who expects to be a party to an action about to be brought,—in case an affidavit, complying with the statute, is presented. And the statute which prescribes the requisites of the affidavit makes no distinction in regard to the class of actions. Nor does it even expressly require that the applicant make a prima fade case showing a good cause of action. In this respect the language of the statute only requires him to set forth “the nature of the action and the substance of the cause of action and of the judgment demanded therein.”
Power to vacate the order is not expressly given by the statute, but it clearly exists. By sections 877 and 878 of the original act, provision was made allowing the party thus required to submit to examination to apply for its vacatur on certain specified grounds only; and in the discussions to which the new provisions gave rise these grounds being deemed too narrow to allow an equitable discretion to be exercised, the amendments of 1877 were adopted, repealing the restraints on vacating the order contained in sections 877 and 878.
It is to be observed also, that the provisions of the new Code relating to taking depositions for the purpose of a motion, exempts parties from being subjected to such examination, in accordance with the ruling in King a. Leighton. The provisions of the new statute,
Parties. § 870. “ The depositions of a party to an action, pending in a court of record, other than a court specified in sub-division sixteenth, seventeenth, eighteenth'.or nineteenth of section two of this act, may be taken, at the instance of an adverse party, or of a co-plaintiff or co-defendant, at any time before the trial, as prescribed in this article.”
The exception'is of certain inferior local courts.
Witness not a party. § 871. “The deposition of a person not a party, whose testimony is material and necessary to a party to an action, pending in a court of record, other than a court specified in sub-division sixteenth, seventeenth, eighteenth or nineteenth of section two of this act, or to a person who expects to be a party to an action, about-to" be brought in such a court, by a person other than the person to be examined, may also be taken, as prescribed in this article.
Affidavit. § 872. “The person desiring to take a deposition, as prescribed in this article, may present to a judge of the court in which the action is pending; or, if it is pending in the supreme court, to a county judge; or, if an action is not pending, but is expected to be brought, to a judge of the supreme court, or of a superior city court, or to a county judge; an affidavit, setting forth as follows:
“ 1. The names and residences of all the parties to the action, and whether or not they have appeared ; and, if either of them has •appeared by attorney, the name, and the residence or office address of the attorney; or, if no action is pending, the names and residences of the expected parties thereto.
“2. The nature of the action, and the substance of the cause of action, and of the judgment demanded therein; or, if no action is pending, the nature of the controversy, which is expected to be the subject thereof.
“3. If the application is made by the defendant in a pending action, or by the plaintiff, after answer, the nature of the defense.
“4. The name and residence of the person to be examined, and that the testimony of such a person is material and necessary for the party making such application, or the prosecution or defense of such action, and, at the option of the applicant, the place where he is sojourning, or where he regularly transacts business.
“5. If an action is pending that the person to be examined is about to depart from the State; or that he is so sick or infirm, as to afford
reasonable ground to believe, that he will not be able to attend the trial. But this subdivision does not apply to a case, where the person to be examined is a party to the action.
“ 6.' If no action is pending, that the person expected to be the adverse party is of full age, and a resident of the State, or sojourning within the State ; or, if two or more persons are expected to be adverse parties, that they are all so resident or sojourning.
“7. Any other fact, necessary to show that the case comes within one of the last two sections, or relevant to the question specified in the next section.
Order. § 873. “The judge, to whom such an affidavit is presented, must grant an order for the examination, if an action is pending; if no action is pending he must grant it, if there is reasonable ground to believe that an action will be brought, as stated in the affidavit; otherwise he must dismiss the application. The order must require the party or person to be examined to appear before the judge, or before a referee named in the order, for the purpose of taking the examination, at a time and place therein specified. The order must also direct the time of service of a copy thereof; which must be made within the State, not more than twenty, nor less than five days, before the time fixed for the examination, unless special circumstances,, making a diSerent time of service necessary, are shown in the affidavit, and that fact is recited in the order.
Punishment. § 874. 1 ‘ If the party or person so served fails to. obey the order, his attendance maybe compelled, and he may be punished, in like manner, and the proceedings thereon are the same,, as. if he failed to obey a subpoena, issued from the court, in which the action is pending; or, if no action is pending, from the court of which the judge is a member.”
The subject of witness fees is not regulated by the' new Code so far as yet enacted.
Service on attorney, &c. § 875. “A copy of the order, and of the affidavit upon which it was granted, must be served upon the attorney for each party to the action, who is required thereby to appear, in like manner as a paper in the action; or, if a party has not appeared in the action, they must be served upon him, as directed by the order. If no action is pending, they must be personally served upon each of the persons, named therein as expected adverse parties.
Taking the deposition. § 876. “Upon proof,, by affidavit, that service of a copy of the order and of the affidavit has been duly made, as directed in the order, the judge or the referee must
Footnotes
- * Present, Daly, Ch. J., and J. F. Daly and Larremore, JJ.
Cases cited
- Gelston v. Hoyt 1 Johns. Ch. 543 p. 148
- Taylor v. Bruen 2 Barb. Ch. 301 p. 148, p. 149, p. 159
- Conant v. Delafield 3 Edw. Ch. 201 p. 148
- Sharp v. Sharp 3 Johns. Ch. 407 p. 148
- Deas v. Harvie 2 Barb. Ch. 448 p. 148
- Bailey v. Dean 5 Barb. 297 p. 148
- People v. Mather 4 Wend. 229 p. 149, p. 150
- In re for an Attachment against Tappan 9 How. Pr. 394 p. 149, p. 150, p. 159
- M'Intyre v. Mancius 16 Johns. 592 p. 149
- Byass v. Smith 4 Bosw. 679 p. 150
- Van Tine v. Nims 12 How. Pr. 507 p. 150
- Fellows v. Wilson 31 Barb. 162 p. 150
- King v. Leighton 58 N. Y. 383 p. 152
- Merchant v. New York Life Insurance 2 Sandf. 669 p. 154
- Chichester v. Livingston 3 Sandf. 718 p. 155
- Norton v. Abbott 28 How. Pr. 388 p. 155
- Bell v. Richmond 50 Barb. 571 p. 155
- Duffy v. Lynch 36 How. Pr. 509 p. 156
- Kimberly v. Sells 3 Johns. Ch. 467 p. 157