The People &c.,
Respondent,
v.
John Casey,
Appellant.
2000 NY Int. 118
Defendant appeals, leave having been granted by a Judge
of this Court, from the portion of an order of the Appellate Term
affirming his conviction of the misdemeanor crime of criminal
contempt in the second degree. Defendant was convicted of
violating a Temporary Order of Protection issued by the Nassau
County District Court on August 15, 1996. The order was made in
connection with a harassment charge filed against defendant;
that charge was still pending when the contempt allegedly
A Nassau County Police Department detective was assigned to investigate the complainant's report of the violation of the Temporary Order of Protection. The evidence at both the suppression hearing and the trial was that the detective initially verified the existence of the order from police department records. He then interviewed the complainant, at which time she showed him a certified copy of the order. The detective took a signed deposition from the complainant and left word at defendant's residence to call him at police headquarters. When defendant called, the detective had him verify that he was the person served in court with the order. They agreed that defendant would surrender on December 9 rather than be arrested that evening. When defendant appeared at headquarters, he was advised of his Miranda rights and questioned concerning his conduct during the evening of December 2. He gave oral and written statements impliedly admitting the acts alleged to have violated the order.
Defendant's motion to suppress his statements to the
police was denied. Thereafter, a jury convicted him of, among
other things, criminal contempt. The Appellate Term affirmed the
criminal contempt conviction, rejecting defendant's arguments
that the District Court information was jurisdictionally
defective and that his statements to the police were inadmissible
(181 Misc 2d 744).
Defendant's primary point, raised for the first time before the Appellate Term, is that the District Court information charging him with criminal contempt was jurisdictionally defective in three respects: (1) the Temporary Order of Protection was not attached to the information, and the accusatory instrument did not otherwise allege that the order was in effect on the date the contempt was committed; (2) the Temporary Order of Protection itself was, by its terms, not in effect on that date; and (3) the information did not contain non- hearsay allegations of defendant's knowledge of the order. The Appellate Term held that the failure to annex the Temporary Order of Protection to the information "render[ed] it defective as an information because of its hearsay nature" (181 Misc 2d , at 745 [emphasis supplied]). Nevertheless, the court held that since the instrument would have "qualifie[d] as a misdemeanor complaint," defendant, by waiving the reading of his procedural rights and proceeding to trial, also waived the right to be prosecuted by information (id. [citing People v Connor, , 63 NY2d 11]; see, CPL 170.10[4][d]).
While we hold that defendant's challenge to the
information does not warrant reversal, we cannot agree with the
Appellate Term's rationale for that result. The record suggests
that defendant waived only a reading of the information
(previously furnished to his attorney), not a reading of his
Moreover, as the Appellate Term acknowledged, the accusatory instrument here was denominated, and purported to be, a misdemeanor information with a supporting deposition, not a misdemeanor complaint. That the instrument would have qualified as a misdemeanor complaint did not make it one. Since the accusatory instrument here was in fact a local criminal court information, and not a misdemeanor complaint, the District Court would not have had the statutory obligation to inform defendant that he "may not be prosecuted [on a misdemeanor complaint] * * * unless he consents" (CPL 170.10[4][d]). Therefore, in contrast to People v Connor, no waiver of the right to be tried upon a statutorily valid information can be implied from defendant's silence and proceeding to trial.
Nonetheless, defendant's contentions regarding the
defectiveness of the information do not require reversal.
Although annexing the Temporary Order of Protection to the
information would have been the far better practice, and would
have largely obviated defendant's procedural challenge here, the
failure to annex it does not require reversal under the
particular circumstances of this case. The procedural
So long as the factual allegations of an information
give an accused notice sufficient to prepare a defense and are
adequately detailed to prevent a defendant from being tried twice
for the same offense, they should be given a fair and not overly
restrictive or technical reading (see, People v Jacoby, 304 NY
33, 38-40; People v Knapp, 152 Misc 368, 370 affd 242 App Div
811; People v Shea 68 Misc 2d 271, 272; see also, People v Allen,
, 92 NY2d 378, 385; People v Miles, , 64 NY2d 731, 732-733). As to
defendant's objection that, without attachment of the Temporary
Order of Protection, the accusatory instrument here failed to
include any non-hearsay allegation that the Temporary Order of
Protection was outstanding and in effect on the December 2 date
of the alleged offense, the complainant's supporting deposition
states clearly and succinctly that a Temporary Order of
Defendant's final objection to the sufficiency of the
information is that it is jurisdictionally defective under CPL
100.40(1)(c) in failing to set forth any non-hearsay allegation
of defendant's knowledge of the Temporary Order of Protection.
Whether the allegation of an element of an offense is hearsay,
rendering the information defective, is to be determined on a
facial reading of the accusatory instrument (see, Matter of
Moreover, a non-hearsay requirement is met so long as the allegation would be admissible under some hearsay rule exception (see, Marks, et al., NY Pretrial Criminal Procedure § 3.7, at 109 [7 West's NY Prac Series 1996]; see also, People v Belcher, 302 NY 529, 534-535).
Here, the detective averred in the factual portion of
the information that he was "advised by the complainant" that
defendant had violated the Temporary Order of Protection, and
specifically described the conduct constituting the offense,
referring to the complainant's supporting deposition. The
information then alleges "[t]he defendant was advised and served
a copy of the Order of Protection in court on 8-15-96." It is
not clear from a facial examination of the information whether
that allegation relating to defendant's knowledge of the order
was based only upon the complainant's advice (she did not aver
this in the supporting deposition, however), or whether it was
based upon the detective's direct knowledge or some exception to
the hearsay rule, either of which would have satisfied CPL
100.40(1)(c). Thus, because it cannot be determined upon the
face of the information whether the pleading is in compliance
The detective's allegation that defendant was served
with the order of protection was admissible under at least two
hearsay rule exceptions. First, the complainant had shown him a
certified copy of the order, containing defendant's signed
acknowledgment of receipt of service, which the clerk of the
court was required to effect (see, CPL 530.13[6]
The issue thus comes down to whether defendant's
failure to raise the absence of an unequivocal non-hearsay
The Alejandro case itself, however, actually involved a
failure to satisfy the first requirement of CPL 100.40(1)(c), in
that there was a total absence of pleading of one of the elements
of the crime of Resisting Arrest, i.e., that the defendant had
resisted an "authorized" arrest (Penal Law § 205.30 [emphasis
supplied]; People v Alejandro,
Now squarely confronted with the issue whether a
Well before enactment of the Criminal Procedure Law, this Court had incrementally developed a clear set of rules governing both criminal pleading requirements and whether violation of those requirements required preservation.
We earlier held that "a fundamental * * * basic
principle of justice and fair dealing" (People v Zambounis, 251
NY 94, 97) requires that an accusatory instrument factually
Additionally, well before the enactment of the Criminal
Procedure Law, this Court developed rules that criminal
informations should be based upon non-hearsay allegations, just
as now required under CPL 100.40(1)(c) (see, People v Bertram,
302 NY 526 [when the information forms basis for a warrant of
arrest]; People v James (, 4 NY2d 482 [also when the information is
used solely as a pleading]; see also, People v Jacoby, 304 NY 33;
People v Brous, 296 NY 1028). We did so for the very same
reasons expressed in People v Alejandro (
Of greatest relevance to the present case, however, is
that we had repeatedly held that a hearsay objection had to be
preserved by timely pretrial motion or it was waived, likening
the matter more to a defect in form than fundamental substance.
This Court's decision in People v Belcher (302 NY 529) made an important contribution to our pre-CPL accusatory instrument jurisprudence. In Belcher, a drunken driving case, we held that the non-hearsay allegation requirement would be met if the allegation itself would be admissible at trial under an exception to the hearsay rule (there, the intoxicated defendant's admission to operating his vehicle) (see, id., at 535).
Also significant for the case at hand, this Court in Belcher held that although, as later revealed, the source of the officer's straightforward averment that the defendant operated his vehicle was an admission, the officer's basis of knowledge need not have been pleaded:
"Since, then, the information was based upon requisite 'legal evidence', pointing the commission of the crime and defendant's probable guilt, no further deposition was called for and the
officer was not required to particularize the evidence on which he relied or to indicate that one item consisted of an admission from defendant" (id. [emphasis supplied] [citation omitted]).
To summarize, our pre-CPL accusatory instrument jurisprudence was settled in several respects. First, a failure to allege an element of the crime in an information was deemed a nonwaivable jurisdictional defect that was reviewable on appeal even in the absence of a timely objection. Second, criminal informations had to be based upon non-hearsay factual allegations in order to be legally sufficient. Third, hearsay allegations were considered akin to defects in form, and were therefore waived absent challenge before trial. Finally, an informant could directly allege a necessary element of an offense if the allegation would have been admissible under a hearsay rule exception, but was not required to plead the informant's basis of knowledge. B.
Nothing in the language or legislative history of CPL
100.40(1)(c) evinces a purpose to tighten the criminal pleading
rules of our earlier decisions. To the contrary, other
provisions show an intent to relax the pleading requirements of
prior statutory and decisional law (see, CPL 120.20[1]
[permitting a misdemeanor complaint, which may include hearsay,
The statutory validation of the use of hearsay-based accusatory instruments in such important respects negates any inference of a legislative intent, in enacting CPL 100.40(1)(c), to overrule our earlier decisions that hearsay objections to a criminal information were not jurisdictional, but waived absent preservation before trial.
A holding that hearsay allegation violations of CPL
100.4(1)(c) are jurisdictional and non-waivable would also
contravene the principles underlying the narrow exceptions to the
preservation rule created by our precedents. As early as 1858 in
Cancemi v People (18 NY 128), and 1887 in People v Bradner (107
NY 1), we identified the categories of procedural defects in
criminal cases that were non-waivable and, thus, reviewable as an
error of law without preservation at the trial level. They were
the instances where the court lacked "jurisdiction of the subject
matter; and where such jurisdiction exists, a change * * * of the
mode of proceeding * * * so extensive as to convert the case from
a judicial proceeding into a mere arbitration" (Cancemi, at 136
[emphasis supplied]). Bradner described the types of procedural
defects not requiring preservation to include those where "the
court had no jurisdiction, or that the constitutional method of
trial by jury was disregarded, or some other defect in the
proceedings, which could not be waived or cured and is
fundamental" (Bradner,
The inclusion of hearsay allegations in a local court
information cannot deprive the tribunal of subject matter
jurisdiction. Pleading deficiencies cannot be jurisdictional
because a court must both have and exercise subject matter
jurisdiction in order even to rule on the sufficiency of a
"Jurisdiction, therefore, is not defeated as respondents seem to contend, by the possibility that the averments might fail to state a cause of action on which petitioners could actually recover. For it is well settled that the failure to state a proper cause of action calls for a judgment on the merits and not for a dismissal for want of jurisdiction" (Bell v Hood, 327 US 678, 682).
Nor is a hearsay pleading violation of CPL 100.40(1)(c)
"a change * * * of the mode of proceeding so * * * extensive"
that it should be non-waivable and reviewable without
preservation (Cancemi,
Also noteworthy is the Criminal Procedure Law's
provision mandating permissible amendment over dismissal of a
legally insufficient information (see, CPL 170.35 [1][a] [an
information "not sufficient on its face pursuant to the
requirements of section 100.40 * * * may not be dismissed as
defective, but must instead be amended, where the defect * * * is
of a kind that may be cured by amendment and where the people
move to so amend"] [emphasis supplied]). This also militates
against treating a hearsay allegation defect in an information as
non-waivable. From its inception to this day, our mode of
proceedings error case law has emphasized the importance of the
For all of the foregoing reasons, we conclude that hearsay pleading defects in the factual portion of a local criminal court information must be preserved in order to be reviewable as a matter of law on appeal. Because defendant failed to interpose a timely objection or motion before the trial court which addressed the hearsay defect in the misdemeanor information in this case, we are precluded from considering it. Defendant's remaining argument for reversal is without merit.
Accordingly, the order of the Appellate Term, insofar as appealed from, should be affirmed.