People v. Diaz

761 N.E.2d 577, 97 N.Y.2d 109, 735 N.Y.S.2d 885, 2001 N.Y. LEXIS 3418
New York Court of Appeals·Decided November 20, 2001·Published·Cited by 21 cases

Opinions

[112] OPINION OF THE COURT

Rosenblatt, J.

CPL 670.10 authorizes a trial court to allow into evidence the testimony of a witness given at a prior trial if the witness is outside the state and cannot with due diligence be brought before the court. In the appeal before us, we must determine whether the People met this due diligence standard.

After three mistrials (two of which resulted in hung juries), defendant was convicted of robbery in the second degree (see, Penal Law § 160.10 [2] [b]). The only prosecution witness who could identify defendant as the assailant was the victim, Oscar Leal. Immediately after the third trial, Leal left the United States to take up permanent residence in Mexico. Leal, a Mexican national, required the assistance of a Spanish-language interpreter at the first three trials. New York officials telephoned Leal to ask him to return to the United States for a fourth trial. They did not, however, address him in his native language or employ an interpreter. Because the People did not ensure that the witness understood those conversations, we hold, as a matter of law, that the People acted with less than due diligence, and therefore reverse and order a new trial,1

L

At the first three trials, Leal testified, in substance, that defendant threatened to shoot him if he did not surrender his valuables. He complied, surrendering $20 and his wristwatch. On the way to a friend’s house to telephone the police, Leal noticed a patrol car. He stopped the car and reported the robbery. After a brief investigation, the police officers arrested defendant and in his pocket found a $20 bill and Leal’s watch. When arrested, defendant claimed that he did not rob anyone, but had merely found the watch.

[113] Following the third mistrial, the defense moved for a trial order of dismissal pursuant to CPL 210.40 (1). After a hearing pursuant to People v Clayton (41 AD2d 204 [1973]), Supreme Court declined to dismiss the indictment. Although Leal had by this time moved to Mexico, the People did not reveal that fact to the Justice deciding the Clayton motion.2

When the case was called for the fourth trial, the People informed the court that Leal would not return to the United States. They sought permission to introduce into evidence a transcript of Leal’s prior testimony in lieu of his live appearance. In opposition, defendant argued that admitting a transcript would violate CPL 670.10 and his constitutional right to confront witnesses against him.

The court conducted a hearing on whether to allow the People to use transcripts in place of Leal’s testimony. At the hearing, the Assistant District Attorney (ADA) testified that during a recess in the third trial, Leal said he intended to return to Mexico to work on his mother’s farm. The ADA believed, however, that Leal was merely musing about the possibility of moving “sometime in the future.” Hearing testimony further revealed that in preparation for the fourth trial, the ADA attempted to contact Leal at his last-known home and workplace, but could not find him. Leal’s employer informed the ADA that he believed Leal had returned to Mexico. Ultimately, police detectives obtained Leal’s Mexican address and phone number from Leal’s cousin.

A detective testified that he telephoned Leal in Mexico and told him, in English, that he was needed in New York for a fourth trial, but Leal said he was too busy to return. The detective testified that in his opinion, Leal could understand English. A different ADA then testified that he telephoned Leal to follow up on the detective’s conversation. Addressing Leal in English, the ADA offered to pay the travel expenses, but Leal still refused to return to New York. The hearing concluded with the ADA’s testimony that Leal “certainly wasn’t fluent in English,” but “appeared to understand me at some point.”

The court granted the People’s motion, concluding “that the People have exercised due diligence” in attempting to bring Leal before the court. The jury convicted defendant of robbery in the second degree, and the Appellate Division affirmed. The [114] dissenting Appellate Division Justice granted defendant leave to appeal to this Court, and we now reverse.

II

Insofar as it allows a jury to convict a defendant based on a witness’s previous testimony, CPL 670.10 (1) is an exception to the Sixth Amendment right of confrontation (see, Preiser, Practice Commentaries, McKinney’s Cons Laws of NY, Book 11 A, CPL 670.10, at 382-383). Although the right of confrontation contemplates that testimony against an accused be “delivered live within eyesight and earshot of the jurors” (People v Arroyo, 54 NY2d 567, 577 [1982]), the statute makes, and the Constitution allows, limited departures based on necessity and fairness.

In a number of instances this Court has sustained the use of previous testimony pursuant to CPL 670.10. We did so, for example, in Arroyo (54 NY2d, at 573, supra), by upholding the introduction of a witness’s prior testimony after she had disappeared inexplicably. In Arroyo, however, the People exercised due diligence in trying to locate her. After she had failed to appear, the prosecutor called her apartment twice; detectives visited the apartment several times, questioned neighbors, and searched for her “at the neighboring public hospital, at the Missing Persons Bureau, at the Bureau of Criminal Investigation and at the local [welfare] office” (id., at 573). These lines of inquiry brought investigators “to but one dead end after another” (id.). Accordingly, this Court concluded that the People exercised due diligence. Similarly, in People v Robinson (89 NY2d 648, 651 [1997]), we permitted the defense to introduce a witness’s Grand Jury testimony when the witness could not be brought before the court, notwithstanding the defendant’s due diligence.3

On the other hand, in other CPL 670.10 settings we have barred the use of transcript testimony when the statute’s terms were not strictly met. For example, we refused to countenance the use of transcript testimony in People v Green (78 NY2d 1029, 1030 [1991]) and People v Harding (37 NY2d 130, 133 [115] [1975]), in which we cautioned that courts may not freely expand CPL 670.10’s exceptions to confrontation.4

To prevent exceptions from devouring the rule, we have required “that the prosecutor’s failure to produce [a witness] * * * not [be] due to indifference or a strategic preference for presenting her testimony in the more sheltered form of [a transcript] rather than in the confrontational setting of a personal appearance on the stand” (Arroyo, 54 NY2d, at 571, supra).

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People v. Diaz, 761 N.E.2d 577, 97 N.Y.2d 109, 735 N.Y.S.2d 885, 2001 N.Y. LEXIS 3418 (N.Y. 2001).

761 N.E.2d 577 (People v. Diaz) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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