People v. MartinPeople v. Martin
Lead Opinion
OPINION OF THE COURT
The narrow issue under review concerns the propriety of the trial court’s exercise of discretion in denying defendant’s presentence motion to withdraw his guilty plea based on recently discovered, purportedly exculpatory, information that the arresting officers were the subject of a departmental investigation involving corrupt activities.
Police Officers Dwayne Townsend and Rich Rivera testified at the suppression hearing. While responding to a complaint of a disorderly crowd, the officers saw defendant conversing with a woman in the location specified in the complaint. The officers knew this to be a drug-prone location in which weapons were often present and knew, in fact, that an undercover officer previously had been shot nearby. When defendant turned toward the officers, the officers saw the glint of metal tucked in defendant’s waistband. Defendant started to run as the police called him over. The officers gave chase, during which defendant, when pushed to the ground, extracted a stainless steel .357 magnum handgun and aimed it at Rivera’s head. After a brief struggle, defendant was disarmed and arrested. During the ride to the precinct, defendant stated that he had been trying to sell the gun to someone in the building to buy crack, and that the officers would have been “justified in shooting him and thank God [they] were veterans because if [they] were rookies he would have been shot.” None of the officers had asked the defendant any questions or conversed with him when this statement was made.
In seeking suppression, defense counsel argued the lack of reasonable suspicion for the initial stop, claiming that defendant neither had displayed a gun nor had acted aggressively toward the officers and that there were no other indications of
Defendant entered a plea arrangement with the District Attorney. Prior to the plea proceeding, defendant had admitted at a parole revocation hearing that he had possessed the gun.
At the plea proceeding, defendant allocated to the basic facts alleged in the information. Defendant stated in open court that “I never denied possessing the weapon, your honor.” He also acknowledged waiver of his right to go to trial, waived his right to move to dismiss, waived his right to appeal denial of pretrial motions to dismiss or suppress and acknowledged that he would not be able to withdraw his plea of guilty. The court then accepted defendant’s plea.
Defendant subsequently moved to withdraw his guilty plea and reopen the Mapp hearing based on newly discovered evidence, consisting of a newspaper article that stated that the arresting officers were targets of a corruption probe in their Bronx precinct. Apparently, around the time of the plea proceeding, Officers Rivera and Townsend were the subject of a Police Department investigation into police corruption in their precinct. After Townsend was caught taking money from a car utilized in a sting operation, he was placed on desk duty, and eventually he was indicted. In response to the Brady claim, the trial prosecutor specifically denied any personal knowledge of the corruption probe, and affirmed that as of the current date, the District Attorney’s office was unaware of any misconduct by the officers. The prosecutor further stated that at most, at some time prior to the plea, the District Attorney’s office received an unsubstantiated rumor, stated by another officer, that Rivera was “up to his old tricks.” The motion court denied defendant’s motion.
Defendant was convicted, pursuant to his guilty plea, of criminal possession of a weapon in the third degree. At the sentencing proceeding, he was adjudicated a persistent felony offender
This appeal brings up for review denial, after a hearing, of defendant’s motion to suppress physical evidence and statements, as well as denial of his motion to vacate his plea and to reopen the hearing.
Initially, a decision to vacate a plea rests in the sound discretion of the motion court, subject only to an abuse-of-discretion standard, determined on a case-by-case basis (People v Fiumefreddo,
A prosecutor’s inadvertent or negligent failure to disclose exculpatory material in his control (Giglio v United States,
Defendant’s appellate position effectively asks us to construct a rule of law that preplea Brady violations, not known to a defendant at the time of the plea, require per se vacatur of the plea. However, that result would be contrary to prevailing
Here, three factors should be considered in evaluating whether there was a Brady violation arising from failure to disclose the departmental investigation: was the information truly exculpatory; was it in the People’s control; and, if so, how should a reviewing court balance the defendant’s right to cross-examine an adverse witness regarding evidence material to the issue of guilt or innocence against a countervailing public interest (see, People v Ortiz,
For the first inquiry, the exculpatory value of the undisclosed information has been equated with materiality, in that if disclosed, it would have materially affected a defendant’s decision to plead guilty rather than to proceed to trial (People v Benard,
An analysis of the facts in this case reveals that the nature of the newly discovered information bears no sufficient nexus
The dissent characterizes defendant’s voluntary admission at the preplea parole revocation hearing as being “completely derived” from the search. We would characterize the issue differently. Defendant’s voluntary admissions, before a separate tribunal utilizing different standards of proof (People ex rel. Singletary v Dalsheim,
Defendant also argues his innocence on appeal, but bare assertions of innocence are an insufficient basis to vacate a plea (People v Carreras,
People v Wright (
Nor do we read People v Baxley (
Regarding the inquiry into whether the District Attorney controlled the information about the officers’ misconduct, it was not generated by the District Attorney’s office, but by the Police Department in an investigation unrelated to the defendant’s arrest. Contrary to the dissent, we find no reason in the record to conclude that the Police Department had conveyed to the prosecutor the target or results of an internal investigation prior to the time of the plea. During the relevant time period, knowledge of the internal investigation apparently was cloistered in the Department’s Internal Affairs Bureau. The initial investigation had been conducted undercover, during a time period that correlates with the time of the plea proceeding. Its results, in view of the ongoing nature of the probe, were not publicly disseminated, notwithstanding a leak to the press after the plea but before the sentence. The prosecutor’s affirmation, which remains uncontroverted in any substantive manner, attests that the District Attorney’s office had not been apprised of the departmental investigation until such time as the matter appeared before the Grand Jury. Hence, the District Attorney did not possess the information which defendant contends should have been disclosed prior to his plea (see, People v Benard, supra; People v Chapman, Sup Ct, NY County 1995, index No. 13641/92).
Although under compelling circumstances, information possessed by another agency may be imputed to an unknowing prosecutor (see, e.g., People v Wright, supra), we do not find a sound basis in this case to impute possession of the information to the District Attorney (People v Chapman, supra; cf, People v Curry, supra). Brady’s affirmative obligations do not, carte blanche, extend to require prosecutorial inquiry of other law enforcement agencies into any and all information about a police officer which “may or may not prove to be exculpatory” (People v Coleman,
Finally, even if the information had been requested by the prosecutor for subsequent disclosure to the defendant, it is not clear that it would have been provided by the Police Department. The record indicates that, prior to the plea, this was an internal, undercover and ongoing departmental probe of a precinct, which ensnared these officers among others. It was unrelated to the defendant’s arrest and, pending the filing of charges, essentially of a confidential nature (see, People v Coleman,
Since we conclude that no Brady material was in issue in this case, we need not resolve the issue of whether defendant’s guilty plea waived a subsequent claim of a Brady violation. However, we decline to adopt a per se rule and would prefer to treat each case ad hoc, and we would scrutinize any claims of waiver as to genuine knowledgeability and voluntariness.
We have considered defendant’s remaining contentions and find them to be meritless.
Accordingly, the judgment of the Supreme Court, Bronx County (Irene Duffy, J.), rendered June 9, 1995, which convicted defendant, upon his plea of guilty, of criminal possession of a weapon in the third degree, and sentenced him, as a persistent felony offender, to a term of six years to life, should be affirmed.
Dissenting Opinion
The defendant’s guilty plea should be vacated and the matter remanded for a new Mapp hearing, on the ground that the People failed to disclose Brady material to the defendant prior to his decision to plead guilty.
At the Mapp/Huntley hearing, the sole witnesses were Officers Dwayne Townsend and Rich Rivera, who testified that at
The officers testified that the defendant then pulled out a gun and pointed it at Officer Rivera. However, the defendant has consistently denied pointing the gun at the officers.
After observing the gun, the officers disarmed the defendant and arrested him. On the drive to the precinct, the defendant allegedly said that he was not trying to shoot them and that he had intended to sell the gun to someone in the building because he needed money for drugs.
On May 26, 1994, the court ruled that the initial pursuit was unjustified, but denied suppression on the grounds that the defendant’s act of pointing the gun at Officer Rivera was an independent act that attenuated the illegality of the seizure. The court obviously credited the officers’ version of events concerning their discovery of the gun. Having found that the police had probable cause to arrest when the defendant allegedly pointed the gun at them, the court determined that the defendant’s statement was spontaneous and voluntary. Thus, the admissibility of all of the material evidence against the defendant depended on the officers’ credibility.
On June 30, 1994, defense counsel informed the court that as a result of the suppression ruling, the defendant would plead guilty to criminal possession of a weapon in the third degree, in exchange for a term of six years to life. At the plea hearing, the defendant admitted possessing the weapon, but asserted that he never pointed the gun at Officer Rivera.
On March 15, 1995, the defendant’s new counsel moved to withdraw the plea and reopen the Mapp hearing, on the basis of a New York Post article that allegedly indicated that the People had not complied with their obligation to furnish exculpatory material in their possession (Brady v Maryland,
The article in question stated that Officers Townsend and Rivera had been placed on modified assignment due to
According to defense counsel, this article showed that prior to the defendant’s guilty plea, the People had actual or imputed knowledge that Officers Townsend and Rivera were being investigated for corrupt activities, some of which dated back to the time of the defendant’s arrest. Defense counsel further argued that had the defendant possessed this information at the time of the suppression hearing, he could have undermined their credibility and suggested a motive for them to lie. This, in turn, could have convinced the court that the defendant had not committed the intervening act (pointing the gun at the officers) that supposedly attenuated the taint of the illegal pursuit. Without the evidence resulting from this pursuit, the indictment would have been dismissed.
By opposing affidavit dated May 3, 1995, the Assistant District Attorney (ADA) who conducted the suppression hearing stated that at the time of the plea, he and his office were unaware of any allegation or evidence of misconduct by the officers. However, prior to the plea, he had heard a rumor that another officer liad said that Officer Rivera was “up to his old tricks,” i.e., improper activity. The ADA claimed that this did not amount to Brady material, and that in any event the Brady claim was waived by the defendant’s guilty plea.
On that same date, Officer Townsend was indicted by a Bronx County Grand Jury on charges of larceny in the fourth degree, official misconduct and petit larceny; Officer Rivera was indicted for perjury in the first degree, burglary in the second degree, robbery in the second degree, grand larceny in the fourth degree, official misconduct, petit larceny, and other related crimes.
A key issue in this case is whether a guilty plea waives the defendant’s Brady claims. Other intermediate appellate courts are in conflict here. The Second Department has said that there is a waiver (People v Day,
I believe this Court should follow the Third Department’s approach, which is also in line with Federal case law (e.g., Tate
A Brady violation undermines the validity of the plea itself. If exculpatory evidence was concealed from the defendant, his plea was arguably not voluntary, knowing and intelligent. To say that the plea prevents examination of its own validity is illogical. It is bootstrapping.
As for the merits of the defendant’s Brady claim, I reject the majority’s conclusion that the information was neither material nor in the control of the prosecution.
First of all, the alleged lack of personal knowledge of police misconduct on the part of the District Attorney’s office is not significant. In Kyles v Whitley (
Because the prosecutor’s office has the ability to establish procedures that ensure that the police will communicate all relevant information to him, the prosecutor’s lack of personal knowledge will not excuse his nondisclosure of information which is in the government’s possession. “Since, then, the prosecutor had the means to discharge the government’s Brady responsibility if he will, any argument for excusing a prosecutor from disclosing what he does not happen to know about boils down to a plea to substitute the police for the prosecutor, and even for the courts themselves, as the final arbiters of the government’s obligation to ensure fair trials” (supra, at 438).
Relying on Kyles, the Court of Appeals recently held that “[t]he mandate of Brady extends beyond any particular prosecutor’s actual knowledge” (People v Wright,
Two trial court cases from New York County have attempted to define the scope of the ADA’s duty to investigate. In People v Curry (
By contrast, in People v Benard (
In the case at bar, as in Curry, the confidentiality of the investigation into Officers Townsend and Rivera was one reason why the information was not directly known to the ADA. Under these circumstances, I would apply Curry’s interpretation of the People’s duty to find the exculpatory evidence that is in the possession or control of law enforcement agencies.
Taken as a whole, the material that the People failed to discover and disclose casts sufficient doubt on the credibility of the People’s sole witnesses to create a Brady violation. “A prosecutor’s duty of disclosing exculpatory material extends to disclosure of evidence impeaching the credibility of a prosecution witness whose testimony may be determinative of guilt or innocence” (People v Baxley,
In the instant case, the People’s only witnesses at the Mapp hearing were Officers Townsend and Rivera, both of whom were later convicted on various corruption charges, including peijury and illegal searches. There is no question that the officers acted unlawfully when they initially stopped and then chased the defendant. The court chose to believe the officers’ testimony that the defendant subsequently displayed the gun in a manner that gave them independent probable cause to arrest him. Yet, if the defendant had had the impeachment evidence to present to the court at the Mapp hearing, he could have argued at the hearing that they fabricated this incident. It is certainly plausible that the court would have credited his word over that of the officers, the gun would have been suppressed and the entire case would have been dismissed.
The credibility of the officers at the Mapp hearing is far from a collateral issue, where the only admissible evidence of factual guilt depended on the officers’ testimony that they discovered the gun because he pointed it at them, an allegation that the defendant has always denied (see, People v Clausell,
Brady is equally applicable when the officer whose testimony would have been impeached testified to the circumstances of the search and seizure at a Mapp hearing, rather than at trial (see, People v Burney,
The majority mistakenly points to the defendant’s postarrest statements to the officers as proof that their testimony was not the only evidence of his guilt. If he had gone to trial, this would be the case, but that is not the issue here. The issue is that at the Mapp hearing, the only evidence that the gun was discovered lawfully—a prerequisite to the admissibility of the statements on which the majority relies—was the officers’ testimony that the defendant pointed it at them. The aforementioned statements had nothing to do with this.
As noted above, a violation of the defendant’s right to review exculpatory evidence in the People’s possession casts doubt on whether his plea was voluntary, knowing and intelligent. Here, the evidence in question would have impeached the credibility of the People’s only witnesses on a dispositive threshold issue in the case. The prosecutor was at best negligent in failing to discover and produce this evidence. This constitutional violation undermines the very validity of the plea itself.
Wallach and Rubin, JJ., concur with Tom, J.; Rosenberger, J. P., dissents in a separate opinion.
Judgment, Supreme Court, Bronx County, rendered June 9, 1995, affirmed.
Notes
Moreover, the prosecution in Vasquez turned over all their reports of complaints against the officer; the Brady claim was based solely on secret bad acts known only to the officer himself, knowledge which we declined to impute to the People.