The People &c.,
Respondent,
v.
Carlos Caban,
Appellant.
2005 NY Int. 97
Defendant was convicted of conspiracy to commit murder,
based largely on the testimony of prosecution witness George
Castro. By his own admission, Castro was a street-level drug
dealer who, along with several others, worked for defendant,
selling crack on Fox Street in the Bronx. Castro resided in
defendant's stash house, and was there on March 18, 1995, when
the charged conspiracy was allegedly hatched. The object of the
On June 1, 1995, Ortiz was murdered in a Fox Street playground, in the presence of three of his drug dealers and his girlfriend's four-year-old daughter. According to Castro's account of the killing, he was in front of the stash house when Torres approached him and said, "It's time." Torres then went into the house, whereupon Garcia came out with a friend. Castro testified that he followed Garcia and the friend to the playground and watched from across the street as Garcia approached Ortiz and argued with him over defendant's drug "spot." As Ortiz turned to walk away, Garcia shot him several times, killing him.
On cross-examination, Castro admitted his involvement
in a prior, unsuccessful attempt on Ortiz's life, which took
place sometime in mid-March 1995. Although the trial testimony
did not establish whether this incident occurred before or after
Defendant was eventually indicted and tried for murder in the second degree, manslaughter in the first degree, conspiracy in the second degree, and criminal possession of a weapon in the second degree. The jury convicted him of conspiracy, but acquitted him of the substantive crimes, and a divided Appellate Division affirmed.
Defendant's first claim of error relates to the three statements of Garcia and Torres, as testified to by Castro_ Garcia's March 18 "I'll do it" and Torres's offer to provide Garcia with a gun, and Torres's June 1 "It's time." Defendant argues that hearsay statements of coconspirators are admissible only when a prima facie case of conspiracy is established independent of the statements, and maintains that the People failed to establish such a case here. We reject that claim.
"A declaration by a coconspirator during the course and
in furtherance of the conspiracy is admissible against another
coconspirator as an exception to the hearsay rule" ( People v
Tran, , 80 NY2d 170, 179 [1992]). The theory underlying the
coconspirator's exception is that all participants in a
conspiracy are deemed responsible for each of the acts and
At the outset, we note that the same evidence may be
admissible under different theories when offered for different
purposes. Here, some of the statements at issue were relevant
for different purposes with respect to the different charges for
which defendant was tried. Specifically, although the March 18
declarations of Garcia and Torres were hearsay when offered to
prove the murder and related charges of which defendant was
A conspiracy consists of an agreement to commit an underlying substantive crime (here, murder), coupled with an overt act committed by one of the conspirators in furtherance of the conspiracy ( see Penal Law §§ 105.15, 105.20). Thus, with respect to the conspiracy charge, Garcia's acceptance of defendant's solicitation to murder Ortiz was relevant not for its truth, but rather as evidence of an agreement to commit the underlying crime_itself an essential element of the crime of conspiracy. In other words, whether or not Garcia in fact killed Ortiz, his acceptance of defendant's invitation to do so was a verbal act which rendered defendant and his co-conspirators culpable for the inchoate crime of conspiracy, even if the planned substantive crime never came to fruition. Indeed, even if Garcia had no genuine intent ever to commit the murder, defendant would be guilty of conspiracy if he believed he had entered into such an agreement.
"[T]he 'act' of agreeing is concrete and unambiguous as an expression of each actor's intent to violate the law. . . . The fact of agreement serves only to unequivocally establish a particular actor's intent to commit the object crime by acting with others. The identity and degree of participation by the other persons are wholly irrelevant. Also irrelevant are the niceties of contract law concerning when an agreement is consummated (e.g., meeting of the minds). It is the individual who is prosecuted [for conspiracy] and necessarily it is the individual who must have the prescribed mens
rea. The requisite intent is to join with others to commit a substantive crime. If an individual believes he has so joined, it is sufficient to establish complicity, regardless of the actual fact of agreement. . . . This is particularly so . . . where . . . it appears that the individual defendant is the originator of the criminal plan and the one most anxious to see the successful completion of the criminal objective" ( People v Schwimmer (66 AD2d 91, 95-96 [2d Dept 1978], affd for reasons stated in opinion below , 47 NY2d 1004, 1005 [1979]).
Similarly, Torres's statement that he would provide the gun for a later homicide_even if ultimately untrue_was admissible for the fact that it was said, inasmuch as its utterance provided evidence of Torres's unlawful agreement with defendant and Garcia. Thus, because the March 18 statements were nonhearsay with respect to the conspiracy charge, the People had no obligation to establish a prima facie case of conspiracy in order for the statements to be admissible.
The analysis differs respecting the admissibility of
these declarations as relevant proof of the substantive crimes.
Garcia's inculpatory offer to "do it," if introduced as evidence
that he had in fact committed the June 1 homicide, would_although
proffered in that event for its truth_nevertheless be admissible
at defendant's trial under the coconspirator's exception to the
hearsay rule as evidence of defendant's complicity in the murder.
In that event, however, a prima facie case would need to be
established independent of the hearsay statement. The same rule
applies to Torres's offer to provide the gun, if used to
Thus, the same declarations_relevant both to conspiracy and to the substantive crimes whose commission formed the basis of the conspiratorial enterprise_were admissible at defendant's trial under different theories and different rules, depending on which crimes they were offered to prove. Since the statements were nonhearsay with respect to the conspiracy charge_the only charge before us_defendant's challenge to their admissibility concerning that charge is without merit.
The third challenged statement_Torres's June 1 "It's time" remark to Castro_was offered for its truth, and therefore hearsay, whether as to the conspiracy charge or the substantive crimes. In the context of Castro's account, Torres's statement in effect meant, "The time has come to kill Ortiz." Nevertheless, this statement was properly admissible against defendant as a declaration made by a coconspirator in the course or in furtherance of the conspiracy, so long as the People established a prima facie case independent of any hearsay statements.
The Appellate Division majority, in affirming
defendant's conspiracy conviction, correctly concluded that the
People had met this burden. The prosecution introduced, through
Castro, defendant's statements at the March 18 meeting that he
We further note that the trial court did not err in
conditionally admitting any hearsay statements of coconspirators
"subject to connection"_that is, subject to later proof of a
prima facie case of conspiracy. Although any statements admitted
pursuant to the coconspirator's exception must have been made
During the charge conference, defense counsel requested an instruction that if the jury found as a fact that Castro was an accomplice, his testimony required corroboration. The court so charged the jury over the prosecutor's objection. Defense counsel did not, however, request the court to charge that Castro was an accomplice as a matter of law. Defendant now contends that his trial counsel was ineffective for failing to request the latter instruction, and for failing to move to dismiss the conspiracy count on the ground that the People failed in their obligation to corroborate the testimony of an accomplice. These contentions lack merit.
To prevail on his claim that he was denied effective assistance of counsel, defendant must demonstrate that his attorney failed to provide meaningful representation ( see People v Benevento, , 91 NY2d 708, 712 [1998]; People v Baldi, , 54 NY2d 137, 147 [1981]). A single error may qualify as ineffective assistance, but only when the error is sufficiently egregious and prejudicial as to compromise a defendant's right to a fair trial ( see People v Hobot, , 84 NY2d 1021, 1022 [1995]; People v Flores, , 84 NY2d 184, 188 [1994]). Further, to establish ineffective assistance, a defendant must "demonstrate the absence of strategic or other legitimate explanations" for counsel's allegedly deficient conduct ( People v Rivera, , 71 NY2d 705, 709 [1988]).
There can be no denial of effective assistance of trial counsel arising from counsel's failure to "make a motion or argument that has little or no chance of success" ( People v Stultz, 2 NY3d 277, 287 [2004]). Because the evidence adduced at trial did not establish that Castro was an accomplice as a matter of law, counsel's failure to request that the jury be charged that he was did not constitute ineffective assistance.
An accomplice is defined as "a witness in a criminal
action who, according to evidence adduced in such action, may
reasonably be considered to have participated in . . . [t]he
offense charged . . . or . . . [a]n offense based upon the same
or some of the same facts or conduct which constitute the offense
While Castro's role in the initial mid-March attempted
murder, which may have occurred prior to the March 18 meeting and
thus prior to and apart from the conspiracy, coupled with
Castro's presence at the March 18 meeting and June murder, may
have been sufficient to raise a factual issue as to his
accomplice status respecting the charged conspiracy, this
testimony was not sufficient to render Castro an accomplice as a
matter of law. If the mid-March attempted murder predated the
March 18 meeting at which the conspiracy was formed, Castro's
participation in it would have been insufficient to render him an
accomplice to the conspiracy as a matter of law, even though its
intended victim was the same as the subject of the murder
conspiracy ( see People v Cobos, , 57 NY2d 798, 801 1982]
[witness's participation in an assault and attempted robbery did
Defendant's further argument that Castro was an
accomplice as a matter of law because he was undeniably an
accomplice to a separate, uncharged drug conspiracy involving
defendant is also without merit. Although it is undisputed that
Castro worked for defendant's drug business, the indictment filed
in this criminal action did not allege a conspiracy to sell
drugs; rather, the sole charges involved a conspiracy to commit
(and the substantive commission of) murder. An accomplice is a
witness in a criminal action who may reasonably be considered to
have participated in either the offense charged or an "offense
Here, the facts and conduct constituting the crimes of murder and conspiracy to commit murder did not involve any sale of drugs in which Castro participated, nor was any sale of drugs alleged in the indictment as an overt act committed in furtherance of the conspiracy. Although the underlying motive for Ortiz's murder reflected a desire to eliminate Ortiz as a competitor of defendant's drug business, motive is not an element of murder or conspiracy. The mere circumstance that the elimination of a competitor may have furthered the ends of the uncharged drug conspiracy is insufficient to confer accomplice- as-a-matter-of-law status on a nonparticipant in the murder ( see e.g. People v McAuliffe, , 36 NY2d 820, 822 [1975] ["To hold, as defendant would have us, that it should suffice to show only that the particular witness was 'in some way implicated' in defendant's criminal activity would be to stretch the statute far beyond the ambit intended by the Legislature"]; People v Brooks, , 34 NY2d 475, 477-478 [1974]; People v Fiore, , 12 NY2d 188, 199-200 [1962] [a conspiracy to conceal a prior conspiracy is an independent crime]).
Defendant has, moreover, failed to demonstrate the
absence of strategic or other legitimate explanations for
counsel's decision to request only that Castro's accomplice
status be submitted to the jury as a question of fact. In order
We reject defendant's additional claim that counsel was ineffective for failing to move to dismiss the conspiracy count for lack of corroboration of accomplice testimony. "A defendant may not be convicted of any offense upon the testimony of an accomplice unsupported by corroborative evidence tending to connect the defendant with the commission of such offense" (CPL 60.22 [1]). However, corroborative evidence need not establish all elements of the offense. "New York's accomplice corroboration protection . . . requires only enough nonaccomplice evidence to assure that the accomplices have offered credible probative evidence" that connects "the accomplice evidence to the defendant" ( People v Breland, , 83 NY2d 286, 293 [1994]). Indeed, even "[s]eemingly insignificant matters may harmonize with the accomplice's narrative so as to provide the necessary corroboration" ( People v Steinberg, , 79 NY2d 673, 683 [1992]).
Even if Castro had been found by the jury to be an accomplice, there was sufficient independent evidence of corroboration to satisfy the minimal requirements of CPL 60.22 (1). Castro's testimony regarding defendant's motive for killing Ortiz_to protect his drug-dealing operation_was supported by Ortiz's girlfriend, who testified that defendant and Ortiz were competing drug dealers on Fox Street. In addition, that Garcia_ defendant's brother and one of the street-level dealers present at the March 18 meeting_was arrested for Ortiz's murder supported Castro's testimony. Moreover, independent evidence from the police and medical examiner as to the location of Ortiz's body at the scene of the murder and the location of the gunshot wounds corresponded with the details that Castro provided ( see Breland, 83 NY2d at 293). Thus, there were sufficient "standard confirmatory ties" ( id. at 294) from which the jury could have concluded that Castro credibly connected defendant to the murder and testified about the events surrounding the June 1 killing. Accordingly, defense counsel was not ineffective for failing to seek dismissal of the conspiracy charge ( see Stultz, 2 NY3d at 287).
Finally, we note that defendant claims ineffective
assistance under both the Federal and State Constitutions ( see US
Const Amend VI; NY Const, art I, § 6). Under the two-pronged
test established in Strickland v Washington (466 US 668 1984]),
a defendant must, in order to prevail on a federal claim of
Defendant's further claim that prosecutorial misconduct in summation warrants reversal is without merit.
Accordingly, the order of the Appellate Division should be affirmed.
1 Plainly, defendant's own statements could be received in evidence as party admissions ( see People v Chico, , 90 NY2d 585, 589 [1997]; Reed v McCord, 160 NY 330, 341 [1899] ["admissions by a party of any fact material to the issue are always competent evidence against him, wherever, whenever or to whomsoever made"]; Prince, Richardson on Evidence § 8-201, at 510 [Farrell 11th ed] [defining an admission as "an act or declaration of a party . . . which constitutes evidence against the party at trial"]).