People v. Garcia

169 A.D.2d 358, 573 N.Y.S.2d 257, 1991 N.Y. App. Div. LEXIS 9874
Appellate Division of the Supreme Court of the State of New York·Decided July 18, 1991·Published·Cited by 10 cases

Opinion

OPINION OF THE COURT

Ellerin, J.

At issue on this appeal is the propriety of the prosecutor’s cross-examination which sought to impeach the defendant with his supposed dishonesty in having entered pleas of not guilty at arraignments in prior cases in which he ultimately pleaded guilty.

At trial, undercover Police Officer Joseph Connors testified to the facts of the "buy and bust” operation that resulted in defendant’s arrest. Officer Connors had approached defendant on East Second Street at 11:00 a.m. on April 3, 1989 and asked for "two”. Defendant told him to put his money away because there were police officers in the area, but then handed him two glassine envelopes stamped "Brainbuster”, in exchange for $20. After Connors left the scene, defendant was arrested by backup officers and was found to have in his possession $324 in cash, a single glassine envelope which was also marked "Brainbuster” and two glassine envelopes marked "Yoya”. All of the envelopes were submitted for testing and, while those marked "Brainbuster” were found to contain heroin, the two marked "Yoya” did not contain a controlled substance.

Defendant testified on his own behalf. He acknowledged that Connors had approached him with money in hand and that he had told Connors to put his money away. Defendant stated that the glassine envelopes which he then sold to Connors did not contain heroin, but were "dummies”, filled with milk sugar. While he admitted that he did have some heroin, he stated that he chose to pass off the fake drugs to the officer because he felt that the officer was not acting like a drug user and because he wanted to keep the heroin he had for his own use.

Defendant also testified that between March 1982 and April 1986 he had been convicted of various felonies, to each of which he had entered a plea of guilty prior to trial. Defense counsel then asked, without objection, why defendant had pleaded guilty in those cases and defendant answered, "I was guilty of them, sir.” When asked why he had not pleaded guilty in the instant case, defendant answered, "[Bjecause I’m not guilty of selling drugs, sir, I’m guilty of selling no controlled substance. It wasn’t drugs that I gave that man.”

[361]*361On cross-examination, the prosecutor questioned defendant about each of his prior convictions, in accordance with the court’s pretrial Sandoval ruling. After eliciting such permissible information, the prosecutor asked defendant whether he recalled being arraigned on the charges which led to those prior convictions, to which defendant replied in the affirmative. Over defense objection, the prosecutor was then permitted to ask whether defendant had ever pleaded not guilty in those cases, and defendant eventually answered that he had, in fact, pleaded not guilty at arraignment. At that point the prosecutor commented, "So you were lying in court.” After extensive argument, defense counsel’s objection to this line of questioning was again overruled and the prosecutor was permitted to ask, "[S]o when you pled not guilty in front of a judge in those cases you were not telling the truth?” After several repetitions of that question, defendant eventually admitted that this was so. Defense counsel’s objection was again overruled.

We find that this line of questioning was so fundamentally unfair that it deprived defendant of a fair trial and compels reversal of his conviction.

It is well established that a prosecutor bears a duty, not only to the People, but " 'to the defendant in insuring an untrammeled fair trial.’ ” (People v Feretti, 85 AD2d 40, 43, quoting People v Nunez, 74 AD2d 805, 806.) One of the most important obligations of the prosecutor is to refrain from misleading the jury about the true facts. (People v Whalen, 59 NY2d 273, 280-281; People v Perez, 127 AD2d 707, 710; People v Negron, 161 AD2d 537.) In this case, the tenor of the prosecutor’s questioning of the defendant could not help but mislead the jury concerning the true import of defendant’s prior pleas of not guilty.

There is certainly no question that a plea of not guilty, entered at arraignment, is not the equivalent of a factual assertion of innocence. (United States v Norris, 910 F2d 1246, 1247; Wood v United States, 128 F2d 265, 273; see also, United States v Xheka, 704 F2d 974; Driscoll v United States, 356 F2d 324, 327-328, vacated on other grounds sub nom. Piccioli v United States, 390 US 202.) Rather, it is merely the device by which a person accused of a crime informs the prosecutor and the court that he or she intends to put the government to its proof and preserves the right to defend (Wood v United States, supra; Ezzard v United States, 7 F2d 808). As such, it automat[362]*362ically constitutes a denial of every allegation in the indictment and concommitantly imposes upon the People the burden of proving every fact and element of the crime charged beyond a reasonable doubt (CPL 220.40; Bellacosa, Practice Commentary, McKinney’s Cons Laws of NY, Book 11 A, CPL 220.40, at 287). Thus, a plea of not guilty in a criminal case is no more than a demand that the People prove their case and cannot be said to have any independent evidentiary significance. Indeed, it is only a judgment of conviction in a criminal case that has any significance regarding the truth of the underlying facts upon which the conviction is rendered (see, S. T. Grand, Inc. v City of New York, 32 NY2d 300) in distinction to an acquittal which is accorded no evidentiary standing in a subsequent civil suit (see, Schindler v Royal Ins. Co., 258 NY 310).

The lack of evidentiary significance incidental to a plea of not guilty is crucial to a meaningful exercise of a defendant’s constitutional right against self-incrimination. (US Const 5th, 14th Amends; NY Const, art I, § 6.) A defendant’s constitutional right to plead not guilty places an "absolute limit” on the use of such a plea as evidence against the defendant. (United States v Norris, 910 F2d 1246, 1247; see also, People v Townsend, 134 AD2d 730; CPL 220.10 [1]; 340.20.) That a plea is merely a device, rather than a factual assertion of innocence, is emphasized by the legislative mandate requiring a defendant against whom an indictment is pending to enter a plea at arraignment (CPL 210.50). Clearly, "[i]f the plea were testimonial or evidentiary, the court would have no power to demand it.” (Wood v United States, supra, at 274.)

While the People do not contend that a prior plea of not guilty which is later contradicted by a guilty plea is always admissible to impeach a defendant who testifies, they argue that in this case defendant’s direct testimony opened the door to such inquiry on cross-examination (see People v Melendez, 55 NY2d 445). We cannot agree that the kind of cross-examination here engaged in can be justified under any "opening the door” theory.

On direct, the defendant, obviously anticipating cross-examination on his criminal record, not only testified concerning that record but tried to obviate its impact on the jury’s evaluation of his credibility by implying, in substance, that when he was guilty of a crime he had pleaded guilty before trial. Defendant may well have been hoping that the jury [363]*363would draw the very dubious inference that his failure to plead guilty in the instant case was some proof of innocence.

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People v. Garcia, 169 A.D.2d 358, 573 N.Y.S.2d 257, 1991 N.Y. App. Div. LEXIS 9874 (N.Y. Ct. App. 1991).

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