People v. CortesPeople v. Cortes
OPINION OF THE COURT
In each of these cases, more than two years elapsed between the filing of the initial indictment and the date the charges were dismissed because of the prosecution’s failure to satisfy the readiness prescriptions of
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Defendants Edwin Cortes and Santo Zenon were jointly charged with first degree criminal sale of a controlled substance and several other related offenses, all arising out of an incident in which the two men had allegedly sold more than four ounces of cocaine to an undercover officer. Cortes was arrested and, on June 18, 1987, was arraigned on a felony complaint. Both men were subsequently charged in an indictment filed on July 10, 1987. Cortes was arraigned on that indictment on July 21st, and Zenon was arraigned six days later on July 27th. At that point, Zenon was represented by an attorney from the Legal Aid Society. Cortes, whose retained counsel did not appear, was temporarily represented by an attorney assigned by the court.
On the next calendar date, September 9, 1987, Zenon was present without counsel, but neither Cortes, who previously had posted bail, nor his attorney appeared. The case was adjourned to September 29, 1987, at which time the People declared themselves ready to proceed. Since Cortes was still
Two more adjournments ensued, the first to give Cortes’s new attorney additional time to prepare and the second to enable the People to respond to Cortes’s new attorney’s discovery motion. On May 5, 1988, the case was again adjourned at both counsels’ request, and Cortes’s counsel asked to be relieved. That request was granted at the next calendar call on May 31, 1988. However, despite several additional adjournments and the court’s submission of "a requisition” to the 18-B Panel, no counsel appeared for Cortes until the October 19, 1988 calendar call.
At that time, the court examined the Grand Jury minutes and discovered that the indictment had been obtained in violation of the Appellate Division’s recent decision in People v Cade (
On the same day that the People’s readiness announcement was made, Cortes’s attorney failed to appear, and the court ordered new counsel to be assigned. A similar direction was made on the next court date, April 17, 1989, when Cortes’s former attorney appeared and formally asked to be relieved. Nonetheless, three more calendar calls ensued during which
On September 14, 1989, after two additional adjournments, Cortes’s attorney moved to dismiss the indictment against his client on the ground that the requirements of
The trial court granted both motions, holding that, in both cases, the prosecution had far exceeded the time in which it was required to become ready. The Appellate Division affirmed the trial court’s dismissal decision, although its computations and legal analysis were different in several respects (People v Zenon,
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In felony cases such as this one,
The People’s first claim concerns the availability and proper application of the exclusion for periods when the defendant was without counsel "through no fault of the court” (
In our State, the system for assigning counsel to individuals who cannot afford to pay is derived from article 18-B of the County Law. Section 722 of that article requires counties to provide for the defense of indigents. Under section 722 (3), counties may fulfill this responsibility through "a plan of a [local] bar association * * * whereby the services of private counsel are rotated and coordinated by an administrator.”
Under the rules of the Second Department, in which these prosecutions were commenced, the Second and Eleventh Judicial Districts are required to maintain an Assigned Counsel Plan formulated by an Advisory Committee. The Committee consists of an Administrative Judge of the Supreme Court (or designee), an Administrative Judge of the Criminal Court (or designee) and several nonjudicial members selected by the Presiding Justice of the Second Department (
In addition to its involvement through the Advisory Committee, the judiciary is directly responsible for many important aspects of the 18-B Panel’s operation. The Appellate Division itself designates the attorneys who will serve on the Panel for each county within its jurisdiction, and the Presiding Justice makes the final determination as to whether a particular attorney should be removed or reinstated (
It is thus apparent that the judiciary is intimately involved in both the design and the operation of the 18-B Panel. In view of this pervasive supervisory role, it is both fair and reasonable to hold the courts accountable for deficiencies in the system such as occurred in this case, where the 18-B Panel failed to perform its basic mission of furnishing counsel to a defendant who could not afford to retain an attorney on his own. Under this analysis, the lengthy delays that occurred because of defendant Cortes’s lack of representation were unquestionably attributable to the "fault of the court,” and, consequently, the exclusion provided by
That conclusion, however, does not resolve the ultimate
In People v Giordano (supra, at 525), this Court reiterated the principle it had earlier set forth in People v Brothers (
In People v Anderson (supra, at 535), the Court refined this principle, noting that Giordano did not mean that "no delay on the part of the People * * * after announcement of readiness is to be counted against them.” As the Court stated in Anderson, some postreadiness may be chargeable to the People, but only when the cause of the delay directly implicates the People’s ability to proceed with trial (
In this case, the People had declared themselves ready on September 29, 1987, thereby signifying that they had done everything they could up to that point to move the case to trial. The impediment that caused the delay during the disputed periods — Cortes’s lack of representation — did not affect the People’s ability to present their own case and, consequently, did not affect their "readiness” as that term is used in
The second major source of controversy in this appeal is the 90-day period between October 19, 1988, the date the first indictment was dismissed for a violation of the then-existing rule announced in People v Cade (
Initially, we note that, unlike the postreadiness delays attributable to Cortes’s lack of representation, this 90-day period of delay did implicate the People’s
The People first argue that the entire 90-day period during which there was no extant indictment should have been excluded as an "exceptional circumstance” under
The People’s contention that the 90-day period should be excluded as an "exceptional circumstance” is unpersuasive. First, the court’s decision to dismiss the indictment was not erroneous at the time it was made. To the contrary, the trial court was bound to follow existing precedent and was, accordingly, acting properly when it dismissed the indictment under the authority of the Appellate Division’s decision in People v Cade (
Second, even if the trial court’s ruling had been legally improper, an erroneous dismissal is simply not the type of "exceptional circumstance” that the Legislature had in mind when it enacted
For similar reasons, we reject the People’s alternative argument that the 90-day period before a new indictment was obtained should be excused under
Finally, we decline to follow the People’s request to exclude at least some of the 90-day period between indictments as a "reasonable time” for motion practice (see,
IV.
The third major block of disputed time involves the periods
The question of prearraignment delays was recently addressed in People v Correa (
It is true, as the People contend, that Correa did not go so far as to hold that prearraignment delays are always automatically chargeable to the People. Some prearraignment delays may be excused if they are caused by events recognized as exclusions under
In the Zenon case, the People are chargeable with most of the 47 days of prearraignment delay. The 17-day period between the filing of the first indictment (July 10, 1987) and
Of the 30 days that elapsed between the filing of the second indictment (January 17, 1989) in Zenon and the arraignment on that indictment (February 16, 1989), all but 8 days are chargeable to the People, since the People made essentially the same faulty arguments with respect to this period as they did in connection with the delay that preceded the first arraignment. The period between February 8, 1989 and the February 16, 1989 arraignment should be excluded, however, because the court and the prosecutor were prepared to proceed on the 8th but defense counsel requested a later date due to his own scheduling problems. Thus, this part of the prearraignment delay was, in actuality, consented to by the defense (see,
Finally, we reject the People’s contention that the delays between the filing of the second indictments and defendants’ separate arraignments on those indictments should not be charged to them under People v Anderson (supra) because they were, in fact, "ready” within the meaning of
V.
The last large blocks of time in dispute involve two adjournments, both of which primarily affected defendant Cortes: one resulting in a 44-day delay and the other resulting in a 70-day delay. The 70-day delay occurred between Cortes’s first arraignment on July 21, 1987 and the People’s readiness declaration on September 29, 1987. The 44-day delay occurred between August 1, 1989, when Cortes appeared with counsel but the case was nevertheless adjourned, and September 14, 1989, when Cortes moved for a
With regard to the latter delay, we agree with the Appellate Division’s conclusion that it should be included within the People’s unready time, although we reach our own conclusion by a somewhat different route. The People argued before the trial court that the delay between August 1 and September 14, 1989 was occasioned by Cortes’s counsel’s expressed intention to make a
The 70-day period between Cortes’s first arraignment on June 18, 1987 and the People’s first readiness declaration on September 29,1987 is also chargeable to the People because of their failure to meet another burden of proof that the case law construing
Thus, as defendant Cortes argues, the entire 70-day period should be charged to the People in his case. In defendant Zenon’s case, the only claim made on appeal with respect to delay between the first arraignment and the first readiness declaration concerns the period between an adjournment occurring on September 9, 1987 and the People’s declaration of readiness on September 29, 1987. Since the defense did not affirmatively consent to this adjournment, the intervening 20 days are chargeable to the People.
VI
Applying the foregoing legal conclusions to the facts in these cases, we hold that both indictments were properly dismissed.
In Cortes, the People are chargeable with the 22 days from the filing of the felony complaint to the filing of the first indictment, the 11 days from the filing of that indictment to
In the Zenon case, there were 17 days of unexcused prearraignment delay associated with the first indictment and 30 days of unexcused prearraignment delay associated .with the second. Additionally, as in the Cortes case, the People are chargeable with the entire 90-day period between the dismissal of the first indictment and the filing of the second. The People’s unreadiness time also included a 24-day adjournment from December 15, 1987 to January 8, 1988 that was occasioned by the unavailability of the People’s file
Chief Judge Wachtler and Judges Simons, Kaye, Hancock, Jr., and Bellacosa concur; Judge Smith taking no part.
In each case: Order affirmed.
Notes
. In Cade, the Appellate Division had held that where the Grand Jury has voted a true bill and, before any indictment can be filed, has vacated it at the prosecutor’s request to hear additional evidence, the resulting indictment is fatally defective (
. The period during which Cortes was unrepresented was relevant to Zenon’s motion as well because
. The six months that the People have to become ready in felony cases is measured by calendar months. Since the number of days in each calendar month may differ, the period in question, which is computed from the date the action was first commenced (see, People v Osgood,
. Even where the postreadiness delay is attributable to the People’s inability to proceed to trial, the delay may be excused if it was occasioned by "some exceptional fact or circumstance” (see,
. The 84 days includes the 22-day period between the filing of the felony complaint (June 17, 1987) and the filing of the first indictment (July 10, 1987), the 11-day period between the filing of the first indictment and the arraignment on that indictment (July 21, 1987) and the 51-day period between the filing of the second indictment (January 17, 1989) to the arraignment on that indictment (March 9,1989).
. On this appeal, the People make a number of other claims for exclusions during this 84-day period. However, since none of these claims were made before the trial court, they are not cognizable on this appeal.
. The foregoing is not inconsistent with the Court’s holding in People v Lomax (
. This period occurred after the August 1, 1989
. The additional explanations offered by the People on appeal cannot be considered, since they are not preserved for our review.
. The People’s present argument that this 70-day period should be excluded under
. When the prosecutor reported that the file was missing, the court initially suggested January 8, 1988 as the next court date, but at Zenon’s counsel’s request, the adjourn date was postponed to January 19, 1988. Contrary to defendant Zenon’s present contention, the intervening 11 days are not chargeable to the People, since that delay is directly attributable to the defense (see, People v Anderson, supra, at 536 ["with respect to postreadiness delay it is the People’s delay alone that is to be considered”]).
. Before the trial court, the People argued that this period should be excluded because defendant consented to the adjournment. That argument is simply not supported by the record (see, People v Liotta, supra). To the extent that the People now rely on other grounds for excluding this time period, their claims are unpreserved and therefore not reviewable.