The People &c.,
Respondent,
v.
John Jones,
Appellant.
2001 NY Int. 34
Defendant was charged with Criminal Sale of a Controlled Substance in the Third Degree (Penal Law § 220.39[1] ) based upon allegations that, on November 7, 1996, he sold cocaine to an undercover police officer.
Prior to trial, defendant moved to suppress the
physical evidence resulting from his arrest, including allegedly
prerecorded "buy money" seized from his person. In support of
the motion, defense counsel affirmed, on information and belief,
that defendant was not engaged in any criminal activity at the
time of the arrest that would establish independent grounds to
stop him. In addition, defense counsel averred that, based on a
review of the felony complaint and other documents, defendant
appeared to have been arrested pursuant to a "buy and bust"
At the outset, the affidavit submitted by defense counsel set forth that any description relied upon in order to identify and arrest defendant was not disclosed to him. Nonetheless, the affidavit alluded to two alleged deficiencies with respect to the description and contended that the police thus lacked probable cause to arrest defendant. Specifically, the affidavit pointed out that defendant may not have matched the description radioed by the undercover to the arresting officer, but was arrested and searched nonetheless in violation of People v Dodt (, 61 NY2d 408, 415). The affidavit also alleged that the description could have been so generalized as to cover not only defendant, but also others present at the time and scene of the arrest, citing People v Skrine (125 AD2d 507, 508).
The People answered and opposed the motion on the
ground that defendant did not deny engaging in any criminal
activity at any time prior to his arrest, noting that defendant
focused instead on his appearance and actions at the time
immediately preceding his arrest. The People asserted that a
The suppression court summarily denied defendant's motion on the ground that "defendant ha[d] failed to controvert specifically the acts which the People allege he committed * * * and which, if true, would constitute probable cause for his arrest." Defendant was thereafter convicted, after a jury trial, and sentenced as a predicate felon to an indeterminate term of eight to sixteen years.
The Appellate Division affirmed. On appeal, the
Appellate Division upheld the summary denial of the motion to
suppress on the ground that defendant's "allegations were
factually insufficient to support his claim that the police
CPL 710.60(1) requires that a suppression motion be in writing, state the legal ground upon which it is based and that it must "contain sworn allegations of fact, whether of the defendant or of another person or persons, supporting such grounds." The required factual allegations may be based upon information and belief, provided that the source of information and grounds of such belief are set forth in the motion (CPL 710.60[1]). The court must then decide, based upon the motion papers submitted by both parties, whether to summarily grant or deny the motion, or conduct a suppression hearing (see, People v Mendoza, , 82 NY2d 415). The court may, with two exceptions not applicable here,[2] summarily deny a motion to suppress if "[t]he sworn allegations of fact do not as a matter of law support the ground alleged" (CPL 710.60[3][b]; see, Preiser, Practice Commentaries, CPL 710.60, at 278 [noting the necessity in most cases to include factual allegations which, as a matter of law, support the ground alleged in order to "cross the threshold for a hearing"]).
In People v Mendoza and its companion cases (82 2
415,
"the sufficiency of defendant's factual allegations should be evaluated by (1) the face of the pleadings, (2) assessed in conjunction with the context of the motion, and (3) defendant's access to information" (id., at 426).
Two of the cases decided with Mendoza were buy and bust cases (People v Martinez; Matter of George J.) and, accordingly, are especially instructive in resolving the issue presented here. In those cases, the only facts alleged on the suppression motions were that each defendant was not engaged in any criminal conduct at the time of the arrest. Otherwise, each defendant merely claimed in a conclusory fashion either that his constitutional rights had been violated or that his arrest was without probable cause. We first noted that conclusory allegations of a general constitutional violation or lack of probable cause are of no avail in meeting the statutory requirements for entitlement to a hearing (see, id., at 431 [conclusory allegations that defendant "was stopped without reasonable suspicion or probable cause" were insufficient]).
Moreover, in the context of a buy and bust arrest,
factual allegations of innocent conduct at the time of the arrest
People v Mendoza is also instructive on whether a
denial of participation in the sale in a buy and bust situation
is essential to establish entitlement to a hearing. Thus, after
holding that, in that particular context, a claim of innocent
conduct at the time of the arrest is unavailing, the Court went
on to state, as a general proposition, that a defendant is
required to raise a factual challenge to the legality of the
arrest and seizure of evidence in either of two ways. A
defendant must either "deny participating in the transaction or
suggest some other grounds for suppression" (id., at 429
[emphasis supplied]). In Martinez, the Court explicitly
recognized that, even with a concession of involvement in
criminal activity on the motion, a defendant could still raise a
"Although defendant's participation in the sale -- even if expressly admitted -- would not foreclose all possible challenges to the subsequent search and arrest, defendant did not identify any issue upon which a hearing was sought. Instead, defendant claimed in the most general terms that his constitutional rights were violated" (id., at 431 [emphasis supplied]).
In this case, unlike in People v Martinez and Matter of
George J., in addition to averring that his activity at the time
of arrest was noncriminal -- which, under the holding of those
cases, would be insufficient to raise an issue of material fact -
- defendant alluded in his suppression motion to facts pertinent
to whether probable cause otherwise existed for his arrest.
Specifically, he asserted in his motion that his arrest was
arguably without probable cause because the description radioed
by the undercover purchasing officer to the back-up team either
(1) did not fit defendant's own physical description or (2)
failed to exclude other possible persons present at the scene and
time of the arrest who also might have fit an overly generalized
description. Thus, so long as the alleged deficiencies in the
description would be sufficient to suppress, the grounds asserted
Deficiencies in the description furnished to an
arresting officer may provide the basis for suppression. In
People v Dodt (, 61 NY2d 408,
Nevertheless, we must still determine whether defendant's factual allegations were sufficient to trigger the need for a suppression hearing under these circumstances. Defendant's failure to set forth more specific or extensive factual allegations implicates the third Mendoza factor -- defendant's access (or lack thereof) to the necessary relevant information.
In this case, there had been no disclosure on the part
of the People, by either voluntary discovery or otherwise, of the
description radioed by the purchasing officer to the arresting
officer. Because "[i]t would be unreasonable to construe the CPL
to require precise factual averments when * * * defendant * * *
does not have access to or awareness of the facts necessary to
Here, defendant could not be required to allege facts
about which he had no knowledge. That does not, however, relieve
him of the burden to supply the motion court with any relevant
facts he did possess for the court's consideration on the
suppression motion once the People disclosed the communicated
description. Defendant did have the capacity to submit some
factual averments pertinent to both of the alternative grounds
In connection with his assertion that he might not have fit the radioed description, it was obviously within his ability to provide a description of his own appearance at the time of the arrest -- a description that would enable the court to engage in the Dodt comparison essential in determining whether the arresting officer had probable cause, after disclosure of the description radioed to the arresting officer. Similarly, with respect to his allegation that the radioed description was perhaps too generalized, and thus would not have excluded others at the scene, defendant should have submitted facts as to the presence and general description of such other persons in the vicinity at the time of the arrest. Requiring a defendant under these circumstances to include in the initial motion papers allegations of those pertinent facts to which he or she has access comports with the statutory framework placing the burden on a defendant in a suppression motion to set forth factual averments which, if established, would justify suppression (CPL 710.60[1], [3][b]).
Accordingly, the order of the Appellate Division should be affirmed.
1 The People contend in their brief that probable cause to arrest defendant was established by the confirmatory identification after Officer Salerno had stopped, but before he arrested, defendant. Although this contention was mentioned briefly in papers submitted to the Appellate Division, it was not raised in the People's initial answer opposing the motion to suppress physical evidence. Instead, it was only referenced in the People's answer in connection with the motion to suppress identification testimony. Thus, it is not preserved for this Court's review.
2 Sworn allegations of fact are not required in motions for suppression of either involuntarily made statements or identification testimony resulting from improper procedures (CPL 710.60[3][b]; CPL 710.20[3], [6]).
3 It is worth noting that suppression motions would be more expeditiously handled if the People were to disclose the description outright to a defendant within the time in which a motion to suppress must be made.