People v. Silburn
Opinion of the Court
We are called upon to decide two issues in this appeal. Defendant contends that he was denied his right of self-representation when the trial court denied his request to proceed pro se with "standby counsel." Defendant further argues that he was deprived of a fair trial when the trial court precluded his proffered psychiatric testimony for failure to serve notice on the People pursuant to CPL 250.10. We agree with the courts below that neither contention is consistent with the controlling law. Therefore, we now affirm.
I.
In August of 2011, the police lawfully stopped defendant while he was driving a stolen car with a license that had been suspended and revoked. Defendant was searched and a loaded .45 caliber handgun was found in his jacket pocket. After the police seized the gun, defendant spontaneously declared that it was a good thing the officer had his gun drawn as quickly as he did because defendant would have shot him. Later at the precinct, defendant waived his Miranda rights and admitted to stealing the car at gunpoint. Toward the end of the 15-minute interview, defendant became agitated. He was later taken by police to a hospital for a psychiatric evaluation. Defendant was thereafter indicted for criminal possession of a weapon in the second degree, aggravated unlicensed operation of a motor vehicle in the third degree, and related counts. In August 2012, two psychiatrists examined defendant pursuant to CPL article 730, and a competency hearing was held. At the hearing, defense counsel questioned one of the examining psychiatrists about defendant's history of mental illness, and discussed the symptoms of schizophrenia that defendant exhibited. Defendant was found competent to stand trial.
A year later in 2013, and two weeks before trial, defendant requested to "proceed as pro se." The trial court inquired if defendant wanted to represent himself, to which defendant replied that he did "[n]ot *699just [want to] represent myself, but having limitation with my counsel." The court plainly informed defendant that "[y]ou either have a lawyer, or you don't have a lawyer.... You choose to represent yourself, you sit there by yourself. You want to have a lawyer, you have a lawyer." The **784court then asked, "All right?" The record does not reflect defendant's response, if any, and defense counsel continued to represent defendant at trial.
Defendant raised the issue again after voir dire, when defense counsel informed the court that defendant had wanted to question the prospective jurors and sought to question the witnesses, in addition to the questioning done by his attorney. The court again told defendant that "you have a right to represent yourself without an attorney. Or you have the right to have an attorney." Defendant maintained that the Sixth Amendment gave him the right to the assistance of counsel and he wanted "assistance" from his counsel-for his attorney to "act[ ] like an aide." The court told defendant he could not have dual representation. Although defendant replied, "I was asking if I could go pro se with standby counsel," he again clarified that he wanted the opportunity to ask any questions that his attorney failed to ask. The court denied the request.
During trial, despite having never served a CPL 250.10 notice, defense counsel sought to introduce the testimony of the psychiatrist who evaluated defendant, at the behest of the police, the day he was arrested. Counsel informed the court that the psychiatrist diagnosed defendant as "bipolar, with psychotic features" and, counsel argued, this diagnosis rendered defendant mentally incapable of voluntarily waiving his Miranda rights. After hearing from the psychiatrist outside the presence of the jury, the court precluded the evidence, concluding that (i) the proffered testimony was of slight probative value because the psychiatrist had no recollection of examining defendant; (ii) the evidence was insignificant; and (iii) the failure to serve a CPL 250.10 notice prejudiced the People.
The jury convicted defendant of criminal possession of a weapon in the second degree, aggravated unlicensed operation of a motor vehicle in the third degree, and a related offense. The Appellate Division affirmed, determining that defendant's request to proceed pro se was equivocal since defendant asked only to proceed pro se with standby counsel (
A Judge of this Court granted defendant leave to appeal (
II.
Defendant argues that the trial court violated his constitutional right to self-representation when it denied his requests to proceed pro se without making any further inquiry. He maintains that the request was unequivocal despite the fact that it was conditioned on his request to proceed with "standby counsel." In response, the People assert that the trial court did not err in denying defendant's request to proceed pro se, since defendant, as evidenced in the colloquy conducted by the court, never made an *700unequivocal request to represent himself alone, without counsel.
Under the New York and Federal Constitutions, a defendant has the right to proceed without counsel and to represent him or herself at trial, and the State may not force counsel upon a defendant (see N.Y. Const. art I, § 6 ; Faretta v. California,
"A defendant in a criminal case may invoke the right to defend pro se provided: (1) the request is unequivocal and timely asserted, (2) there has been a knowing and intelligent waiver of the right to counsel, and (3) the defendant has not engaged in conduct which would prevent the fair and orderly exposition of the issues" (36 N.Y.2d 10 , 17,364 N.Y.S.2d 837 ,324 N.E.2d 322 [1974] ).
If a defendant asserts a timely and unequivocal request to proceed pro se, then the trial court must "conduct a 'searching inquiry' to ensure that the defendant's waiver [of the right to counsel] is knowing, intelligent, and voluntary" ( Matter of Kathleen K. [Steven K.],
In clarifying what "unequivocally" means, we have explained that the pro se request must be "clearly and unconditionally presented to the trial court," so that "convicted defendants may not pervert the system by subsequently claiming a denial of their pro se right" ( McIntyre,
In People v. Mirenda,
Indeed, at the outset of the second request, defense counsel informed the court that defendant wanted to question prospective jurors and witnesses in addition to the questioning done by counsel. The court again explained to defendant that the court did not allow "standby counsel," and that defendant had either the right to represent himself without counsel or the right to have an attorney. Defendant responded that the Sixth Amendment gave him the right to the aid and assistance of counsel. Defendant's invocation of the Sixth Amendment during the colloquy and his evident desire to have counsel question the prospective jurors and witnesses along with him is neither a waiver of the right to counsel nor the substance of an unequivocal request to represent himself. The United States Supreme Court "explicit[ly]" stated that the appointment of standby counsel is "to relieve the [trial] judge of the need to explain and enforce basic rules of courtroom protocol or to assist the defendant in overcoming routine obstacles that stand in the way of the defendant's achievement of his own clearly indicated goals" ( McKaskle v. Wiggins,
III.
CPL 250.10(2) prohibits a defendant from introducing psychiatric evidence as to his or her mental capabilities at trial "unless the defendant serves upon the people and files with the court a written notice of his intention to present psychiatric evidence." "Such notice must be served and filed before trial and not more than thirty days after entry of the plea of not guilty to the indictment" ( CPL 250.10[2] ). The term "psychiatric evidence" is defined as "[e]vidence of mental disease or defect to be offered by the defendant in connection with" either (a) "the affirmative defense of lack of criminal responsibility by reason of mental disease or defect," (b) the *703"affirmative defense of extreme emotional disturbance," or (c) "any other defense not specified in the preceding paragraphs" ( CPL 250.10[1] ). We previously held CPL 250.10(1)(c) is a "catch-all provision that contemplates a defendant's use of psychiatric evidence in connection with 'any other defense' " ( People v. Almonor,
In interpreting a statute, "our primary consideration is to discern and give effect to the Legislature's intention" ( Matter of Albany Law School v New York State Off. of Mental Retardation & Dev. Disabilities,
The precursor to CPL 250.10 was the former Code of Criminal Procedure § 336, which required defendants to serve and file notice only if they intended to rely on the insanity defense (seeCode Crim Pro § 336).
Indeed, as evidenced by the statute's bill jacket, the purpose of the 1982 amendments was to "provide for a simplified and expanded exchange of [evidentiary] information between the prosecution and defense" before trial (Governor's Mem approving L 1982, ch 558, 1982 Legis Ann at 186). This process would "markedly increase[ ]" the "efficiency and fairness of criminal proceedings" and "improve[ ]
**790evidentiary discovery practices" with the goal of reducing "judicial delay" (id. ). As we explained,
"The Legislature enacted CPL 250.10 to promote procedural fairness and orderliness. The statute is designed to create a format by which psychiatric evidence may be prepared and presented manageably and efficiently, eliminating the element of surprise. With that in mind the Legislature has formulated a procedure that depends upon proper notification, adversarial examination, and preclusion when appropriate" ( Almonor,93 N.Y.2d at 577-578 ,693 N.Y.S.2d 861 ,715 N.E.2d 1054 ).
That is, the very purpose behind the statute was to eliminate surprise and promote fairness at trial by allowing the People, upon defendant's timely notice, the opportunity pretrial to obtain otherwise privileged psychiatric evidence to rebut defendant's affirmative use of the evidence at trial. Therefore, allowing a defendant to use unnoticed psychiatric evidence without good cause shown would be contrary to the "legislative intent ... to ensure the prosecution sufficient opportunity to obtain the psychiatric and other evidence necessary to refute the proffered defense of mental infirmity" ( People v . Berk ,
The legislature also intended to avoid the delay that would result from the surprise presentation of such evidence at trial, which, in fairness, would necessitate an adjournment so that the People could have the defendant examined by their own mental health expert and obtain the relevant medical records (see CPL 250.10[3] ). These principles apply equally whether the psychiatric evidence is offered in connection with a mens rea defense, or in connection with the defendant's challenge to the voluntariness of his or her statements to the police. It is the very nature of psychiatric evidence that mandates the requirement of notice, if the defendant intends to rely on the evidence to negate the People's evidence of guilt. Thus, it is entirely consistent with the purpose of the statute to construe the phrase "any other defense" as used in CPL 250.10(1)(c), to apply to defendant's offer of psychiatric evidence in support of his contention that due to his mental illness, his statements, which are direct evidence of guilt, must be rejected by the jury (see e.g. People v. Rumble,
Moreover, our prior case law demonstrates that we have repeatedly construed the statute broadly in order to carry out the legislative intent to ensure the fairness of the trial. For example, in Berk, we expanded the parameters of what constitutes "psychiatric evidence" under CPL 250.10, by holding that the plain language of the statute requires notice of an intention to offer psychiatric evidence irrespective of whether the expert actually examined the defendant ( *706Berk,
The dissent asserts, among other things, that our interpretation of the statutory term "any other defense" in CPL 250.10 to mean what it plainly says-any other defense-somehow impinges on a defendant's "constitutional right to present witnesses" and that CPL 250.10 assists the People in proving "what they must " (see Wilson, J., dissenting op. at 167, 171, 74 N.Y.S.3d at 797, 800, 98 N.E.3d at 713, 715). However, courts have long rejected the notion that a statutory pretrial notice requirement somehow shifts the People's burden of proof or is a constitutional violation of the right to present a defense (see People v. Rodriguez,
*707People v. Kohl,
**792As concluded by the courts below, the applicability of CPL 250.10 to the instant case is wholly consistent with our longstanding interpretation that there can be no surprise psychiatric evidence and that pretrial notice is necessary based upon "principles of fairness and the integrity of the trial process" ( Segal,
B.
Defendant next argues that the record belies the trial court's finding that preclusion of the evidence was warranted on the ground that the surprise evidence prejudiced the People. In support, he claims the record shows that the People were aware early on that defendant had a mental illness. However, there are two critical flaws in this argument. First, knowing that defendant had a mental illness did not put the prosecutor on notice that defendant intended to introduce evidence at trial that his diagnosis rendered him incapable of giving a voluntary statement to the police. To be sure, defendant never even raised this voluntariness argument at his Huntley hearing. Second, defendant's contention ignores the law that his own medical records are privileged until he waives the privilege (see Matter of Lee,
Finally, defendant contends that the court's refusal to excuse the lack of notice was an abuse of discretion since under the statute, the court may accept late notice "[i]n the interest of justice and for good cause shown" ( CPL 250.10[2] ). The record flatly refutes defense counsel's claim that good cause was shown for his untimeliness. Defense counsel was fully aware that defendant had a longstanding history of mental health problems, including diagnoses of bipolar disorder and schizophrenia, as evidenced by the record of the CPL article 730 hearing, which took place a year before the trial. Furthermore, on the second day of trial, defense counsel informed the court that he had been trying unsuccessfully to contact the psychiatrist witness "for weeks," contradicting his current assertion that he did not plan to challenge the voluntariness of defendant's **793statements to the police until hearing the officer's trial testimony.
The trial court, after examining the psychiatrist outside the presence of the jury, precluded the evidence-a police form containing a mere diagnosis-as speculative on the issue of voluntariness and because the People had no opportunity to examine defendant or obtain rebuttal evidence. That the psychiatrist testified that he had no recollection of the examination of defendant is also part of this equation. So too is the fact that there is no indication in the record that a diagnosis of bipolar disorder renders a defendant incapable of knowingly and voluntarily waiving his Miranda rights. Thus, the court reasonably decided to preclude the evidence at trial. Defendant's claim that the trial court abused its discretion in doing so is meritless.
CPL 250.10 was designed to preserve the integrity of the trial process predicated on a principle of fairness. Accordingly, the trial court neither erred nor abused its discretion in precluding defendant's unnoticed psychiatric evidence as there was no justification for the surprise on this record, and to allow it would contradict the statutory purpose behind the notice requirement.
Accordingly, the order of the Appellate Division should be affirmed.
In the context of a defendant's constitutional right to counsel, we stated that a defendant asking the police "should I speak to a lawyer" did not amount to an unequivocal request for an attorney, such that his right to counsel did not attach and the statement he made to the police was not in violation of the Federal and State Constitutions (see People v. Hicks,
The fast food analogy offered in Judge Wilson's dissent, joined by Judge Rivera, is both inapt and inappropriate. Whatever its intended effect, the use of such a rhetorical device trivializes the constitutional rights of defendant implicated on this appeal. In any event, the purported analogy presented by the dissent is completely defeated by the factual record.
In interpreting the federal right to self-representation under Faretta, the Second Circuit has pointedly explained,
"[t]he purpose of requiring that a criminal defendant make an 'unequivocal' request to waive counsel is twofold. First, unless the request is unambiguous and unequivocal, a convicted defendant could have a colorable Sixth Amendment appeal regardless of how the trial judge rules: if his request is denied, he will assert the denial of his right to self-representation; if it is granted, he will assert the denial of his right to counsel. Second, the requirement of an unambiguous and unequivocal request inhibits any 'deliberate plot to manipulate the court by alternatively requesting, then waiving counsel' " (Williams v. Bartlett,44 F.3d 95 , 100-101 [2d Cir.1994] [internal citations omitted] ).
The cases relied on by the Wilson dissent (People v. Crampe,
The Wilson dissent's alternative conclusion-the trial court abused its discretion in denying defendant's request for hybrid representation-is one that is not urged by defendant on this appeal nor was it raised below (see Wilson dissenting op. at 166-167, 74 N.Y.S.3d at 796-97, 98 N.E.3d at 711-13; see also Rivera dissenting op. at 176, 74 N.Y.S.3d at 803-04, 98 N.E.3d at 719 [acknowledging the issue is not before us] ).
Contrary to the musings of the dissent, cases where confessions constitute the primary evidence of guilt are not rare and since 1881, the legislature has included statutory safeguards requiring corroboration of a defendant's confession (see Wilson dissenting op. at 169-170 n. 2, 74 N.Y.S.3d at 798-99 n. 2, 98 N.E.3d at 714 n. 2; see also People v. Lipsky,
In the context of an ineffective assistance of counsel claim, we treated a defendant's challenge to the voluntariness of his confession as a "defense" (see People v. Oliveras,
The purpose behind the notice requirement in former Code of Criminal Procedure § 336 was to ensure that the People were not unfairly surprised at trial. According to the Legislative Memoranda accompanying the former provision,
"At present, there is no provision in the Code requiring notice that the defendant intends to present evidence of mental disease or defect. In fact, he may offer such evidence under a plea of not guilty without the specification of insanity and, if the defense is sustained, the jury may acquit. This, obviously, may place the People at an unfair disadvantage in that, surprised by the sudden interposition of this collateral defense, they may have insufficient opportunity to obtain the psychiatric and other evidence necessary to refute it and to establish, as they must, the defendant's sanity beyond a reasonable doubt. The bill would rectify this situation" (Mem of Temp Commn on Rev of the Penal Law and Crim Code following L 1963, ch 595, reprinted in 1963 McKinney's Session Laws of N.Y. at 1986; see also People v. Berk,88 N.Y.2d 257 , 263-264,644 N.Y.S.2d 658 ,667 N.E.2d 308 [1996] ).
Despite the dissent's recognition that "a court cannot amend a statute by inserting words that are not there, nor will a court read into a statute a provision which the Legislature did not see fit to enact" (Matter of Chemical Specialties Mfrs. Assn. v. Jorling,
The dissent's discussion as to CPL 250.10's applicability to suppression hearings (see Wilson dissenting op. at 172-173, 74 N.Y.S.3d at 800-02, 98 N.E.3d at 716-17) involves an issue not before us as the argument was never raised in the trial court. This discussion also confuses the difference between the admissibility of a statement, a decision that may only be determined by the court, with the ability of the jury to determine the voluntariness of the statement at trial (see People v. Hamlin,
Even if the psychiatric evidence at issue here had been erroneously excluded, its preclusion would have been harmless beyond a reasonable doubt as there was overwhelming evidence of guilt and no significant probability that preclusion impacted the verdict (see People v. Crimmins,
Dissenting Opinion
"The right of an accused in a criminal trial to due process is, in essence, the right to a fair opportunity to defend against the State's accusations" ( Chambers v. Mississippi,
I.
"[T]he right to self-representation embodies one of the most cherished ideals of our culture; the right of an individual to determine his own destiny" ( People v. McIntyre,
**794Therefore, when a defendant makes a timely and unequivocal request to proceed pro se, we require trial courts to ascertain whether there has been a knowing and intelligent waiver of the right to counsel and whether the defendant's conduct would prevent a fair and orderly trial ( McIntyre,
The facts are as presented in the majority opinion. Two weeks before trial, Mr. Silburn requested to proceed pro se.
''THE DEFENDANT: Your Honor, excuse me, your Honor.
''THE COURT: Yes?
''THE DEFENDANT: I would like to know if I could proceed as pro se.
''MR. CHAIKEN [DEFENSE COUNSEL]: Pro se.
''THE COURT: In other words, you want to represent yourself?
''THE DEFENDANT: Not just that represent myself, but having limitation with my counsel-
''THE COURT: No, I don't do that. You either have a lawyer, or you don't have a lawyer. I don't have legal advisors. You choose to represent yourself, you sit there by yourself. You want to have a lawyer, you have a lawyer.
''All Right?
''August 7 for conference.
''August 13 for trial.''
As that transcript makes clear, Mr. Silburn began by stating his unequivocal request to proceed pro se. He followed it with what any reader of McIntyre, "the foundation stone of our self-representation jurisprudence", and its progeny would have considered a second unequivocal expression of that desire ( People v. Crampe,
Nothing in Mr. Silburn's two statements-his only statements before the court summarily concluded the hearing-supports the majority's conclusion that his request to proceed pro se was conditioned on, rather than merely eventually combined with, his request for standby counsel. Consider the following illustration:
CUSTOMER: Sir, excuse me, sir.
CASHIER: Yes?
CUSTOMER: I would like to order a Big Burger.
CASHIER: In other words, you want two all-beef patties, special sauce, lettuce, cheese, pickles, onions on a sesame seed bun?
CUSTOMER: Not just that, but I would also like fries with it-
CASHIER: No, we don't do that. You either have a Big Burger, or you have fries. We don't serve combinations. You choose a Big Burger, you sit there without fries. You want fries, you have fries only.
All Right?
Next customer.
**795Would the cashier be justified in assuming the customer no longer desired a Big Burger and delivering an order of fries only? Should the customer go hungry for using a correlative conjunction?
There are two important differences that make Mr. Silburn's situation grave, when compared to a fast-food fiasco. First, the court is tasked with determining which of two fundamental constitutional rights Mr. Silburn wishes to choose, if he must forgo one. That determination demands far more concern and precision than a simple lunch order.
Moreover, even assuming Mr. Silburn could be understood to have conditioned his request for self-representation on his request for the appointment of standby counsel, trial courts presented with those two requests should, if they deny the second, be required to ask defendants whether they prefer to reassert or recant the first. Mr. Silburn did not, as the majority would have it, "remain equivocal despite having been informed of the scope of his right" (majority op. at 153, 74 N.Y.S.3d at 787, 98 N.E.3d at 702); he remained silent. Given the court's decision to abruptly conclude the hearing after clarifying its rules, *711we cannot interpret that silence as consent to representation by counsel. Only by asking follow-up questions that ascertain defendants' true intentions can trial courts avoid Sixth Amendment violations and foreclose the majority's concern that wily defendants will "pervert the system" by spouting ambiguities in a "deliberate plot to manipulate the court" (majority op. at 150, 152 n. 3, 74 N.Y.S.3d at 784-85, 786 n. 3, 98 N.E.3d at 699-700, 701 n. 3).
The injustice of the majority's approach is compounded by the fact that defendants reasonably expect their requests for standby counsel to be granted. It is unfair to punish a defendant for requesting what all assume-on the basis of our prior case law, their prior trials, the attestations of fellow inmates, the American Bar Association's (ABA) recommendations, or a colorable reading of the Sixth Amendment (see McIntyre,
The majority does not engage with Mr. Silburn's first request to proceed pro se. Instead, it rests its analysis on his second request, made two weeks after the first (majority op. at 151, 74 N.Y.S.3d at 785-86, 98 N.E.3d at 700-01). Neither the majority nor the People contend that the court's failure to conduct a McIntyre inquiry upon Mr. Silburn's initial request was cured by his subsequent request. Nor could they plausibly argue that the second colloquy-which was, like the first, summarily curtailed by the court's abruptly adjourning proceedings for the day-supports the proposition that Mr. Silburn's initial request was conditioned on his receiving standby counsel. In that second colloquy, the court attempted to describe Mr. Silburn's earlier position, saying "[Y]ou said you didn't want to represent yourself." Mr. Silburn immediately denied it: "I never said that." The transcript plainly shows that Mr. Silburn, not the court, was correct.
In any event, Supreme Court also erred in refusing to contemplate even the possibility of assigning standby counsel.
*712Whether to permit standby counsel is "a subject for the discretion of the Trial Judge" ( Mirenda at 266,
That antithesis-not the abuse of discretion, but its absence-was on display here. Supreme Court did not consider any facts or circumstances in denying Mr. Silburn's request for standby counsel. Instead, it relied on a blanket policy against them-and later reiterated that policy, describing standby counsel as something "I don't allow."
Although we have determined that defendants choosing to proceed pro se have no constitutional right to standby counsel, that conclusion does not mean the decision should be left to the personal preferences of each trial judge, without consideration of the defendant's abilities, the nature, length and complexity of the case, or other factors bearing on the value of standby counsel. Pro se defendants may have no constitutional right to standby counsel, but that proposition does not mean that the availability of standby counsel should turn on the vicissitudes of which judge they happen to draw, whose discretionary decision will be unreviewable. Uniformity could be provided by statute or court rule.
II.
As I explain below, the majority has misinterpreted CPL 250.10. I would not reverse on that basis, however, because I agree with the majority that the error here was harmless beyond a reasonable doubt (majority op. at 161 n. 11, 74 N.Y.S.3d at 793 n. 11, 98 N.E.3d at 708 n. 11).
A.
The majority interprets CPL 250.10(1)(c) as defining psychiatric evidence to include testimony offered not only to negate an element of the crime, but also to attack the weight to be given evidence offered by the People. That newly expansive *713interpretation of a statute impinging somewhat on defendants' "constitutional right to present witnesses" in their own defense ignores the plain meaning of the provision as well as its legislative history and statutory context ( People v. Berk,
CPL 250.10 requires a defendant who intends to proffer psychiatric evidence at trial to provide notice of that intention within 30 days of pleading not guilty, and allows the People when served with such notice to apply for an order requiring the defendant to submit to an examination by the People's psychiatrist or licensed psychologist ( CPL 250.10[2] ; [3] ). It defines "psychiatric evidence" as:
"(a) Evidence of mental disease or defect to be offered by the defendant in connection with the affirmative defense of lack of criminal responsibility by reason of mental disease or defect.
"(b) Evidence of mental disease or defect to be offered by the defendant in connection with the affirmative defense of extreme emotional disturbance as defined in paragraph (a) of subdivision one of section 125.25 of the penal law and paragraph (a) of subdivision two of section 125.27 of the penal law.
**798"(c) Evidence of mental disease or defect to be offered by the defendant in connection with any other defense not specified in the preceding paragraphs." ( CPL 250.10[1] ).
The question is whether to read CPL 250.10(1)(c) in the light of its fellow paragraphs or as an unheralded restriction on defendants' ability to present their case.
The majority and I agree that in approaching that question "our primary consideration is to discern and give effect to the Legislature's intention" and that "[e]vidence of legislative intent is 'first sought in the words the Legislature has used' " (majority op. at 155, 74 N.Y.S.3d at 788, 98 N.E.3d at 704 [citations and internal quotation marks omitted] ). The statutory text is the "best evidence" and "clearest indicator" of legislative intent ( Kimmel v. State of New York,
Here, the plain language of CPL 250.10(1) is susceptible to only one interpretation: "psychiatric evidence" includes only evidence of mental disease or defect *714offered in connection to an affirmative defense or an element of the crime charged. First, the "familiar principles of ejusdem generis"-invoked with particular force in this case by the reference in the term at issue to the "other" defenses "specified in the preceding paragraphs"-require we limit the general language of paragraph (c) by the specific phrases of paragraphs (a) and (b) ( People v. Illardo,
It is unsurprising, then, that prior decisions of this Court have understood CPL 250.10(1)(c) in the same, limited terms. In People v. Almonor, which comprehensively dissected the statute's three classifications, we defined the defense described in CPL 250.10(1)(c) as "a mens rea -type defense"
*715that "serves to negate a specific intent necessary to establish guilt" (
Were we to look beyond the unambiguous language for evidence of the legislature's **800intent, the legislative history and statutory context of the provision fully support the above interpretation. That history begins with the 1963 amendments to former Code of Criminal Procedure § 336. Those amendments were adopted to solve two specific problems that arose when a defendant surprised the People and the court by raising an insanity defense once a jury was impaneled: first, the inevitable adjournments that "disturb[ed] the orderly progress of the trial, and could involve the reordering of proof and witnesses, all to the disservice of the court proceedings and the trier of fact" ( Almonor,
The extension of the statute from insanity to other psychiatric defenses followed a similar rationale. In 1981, we applied the logic of Code of Criminal Procedure § 336, by then operating under its present designation in the CPL, to a defendant's effort to introduce psychiatric evidence showing he suffered a memory impairment and *716thus lacked the intent to provide false testimony that was an essential element of the People's perjury charge ( People v. Segal,
The statutory context of CPL 250.10(1) cleanly illustrates the legislature's intent to have paragraph (c) operate only in the limited cases suggested by its plain language and legislative history. CPL 250.10(2) brings the machinery of the section to life only when a defendant intends to proffer psychiatric evidence "upon a trial"; notice is not required before offering identical evidence at a pretrial hearing. Had Mr. Silburn proffered Dr. Elie's notes to contest the validity of his Miranda waiver at his suppression hearing-21 months into a 24-month pretrial detention period-but not planned to introduce them at trial, he would not have been required to provide notice at all. The majority has not provided an explanation of why evidence that could have been presented, without notice, at a hearing presents such a threat to the principle of fundamental fairness when adduced at trial. Instead, the majority argues that as a practical matter, "timely notice ... would provide the People ample opportunity to obtain rebuttal evidence before the pretrial suppression hearing" (majority op. at 159 n. 10, 74 N.Y.S.3d at 792 n. 10, 98 N.E.3d at 707 n. 10). That rejoinder misses the very point of my argument: very different types of psychiatric-evidence-based arguments are presented at suppression hearings and at trial. That focus on the trial itself strongly suggests the legislature intended to require notice of psychiatric evidence that proved the defenses typically raised at trial, and did not intend to bring into CPL 250.10's ambit psychiatric evidence that addressed the evidentiary issues, not generally fatal to the People's case, typically raised at pretrial hearings.
*717"This result does not offend the important policy considerations underlying the notice requirement" ( Gonzalez,
Here, the very fact that the error is harmless reinforces the difference between a "defense"-at which the statute is directed-and the weight or admissibility of evidence at trial, at which the statute is not directed. That is, even if the jury completely credited the psychiatric testimony, treated Mr. Silburn's Miranda waiver as ineffective, and utterly disregarded his subsequent inculpatory statements, no reasonable jury could have acquitted him. The psychiatric evidence, therefore, was unrelated to any "other defense", and is not subject to CPL 250.10.
B.
Trial courts have the discretion to permit belated notice of an intent to proffer psychiatric evidence at any time "in the interest of justice and for good cause shown" ( CPL 250.10[2] ). The majority rejects Mr. Silburn's claim that, assuming notice was required, the trial court abused that discretion in refusing to permit late notice. In so doing, it propagates the trial court's confusion over which party had custody *718of the records in question. The evidence the defendant sought to introduce was not a privileged medical record but a "police form" (majority op. at 161, 74 N.Y.S.3d at 793, 98 N.E.3d at 708). It was generated under the auspices of, and retained by, law enforcement officials. As such, it could have been admitted and the suppression issue argued without causing much more unfair surprise to the People than the unnoticed extreme emotional disturbance defense advanced on the People's proof that we approved in Gonzalez,
Accordingly, I would reverse Mr. Silburn's conviction and remand the case for a new trial before which his motion to proceed pro se, if renewed, could receive the requisite attention from the court.
The majority's complaint that my illustration trivializes Mr. Silburn's constitutional rights underscores their error: a cashier would not treat a customer's request for a burger and fries this way; should a court treat Mr. Silburn's request for his constitutional rights with less or greater regard (majority op. at 152 n. 2, 74 N.Y.S.3d at 786 n. 2, 98 N.E.3d at 701 n. 2)? To "trivialize" something is to ascribe little worth or importance to it; who here has done so?
The flaws in the majority's definition can be illustrated by the following hypothetical: Imagine the police witnessed a defendant assault a fellow bar patron. That defendant tells her friends not to worry-she has a great defense-she intends to argue a video of the events in question should be suppressed as the fruit of an illegal search. Those friends would rightly object that that is no defense at all, and that the defendant should instead establish, e.g., an alibi, her infancy, or that she acted in self-defense.
The majority hypothesizes that in some cases a defendant's confession is the sole or overwhelming evidence of guilt (majority op. at 154, 74 N.Y.S.3d at 787-88, 98 N.E.3d at 702-03). Even so, the nature of the prosecution's proof does not convert a question of admissibility into a defense. Moreover, the majority rests its hypothetical on a trial in which "[t]he People's case, in addition to the inculpatory statements, included two eyewitnesses to the crime" and the People admitted they "were uncertain as to whether they were going to introduce defendant's statements" (People v. Miller,
Last year's Report of the Advisory Committee on Criminal Law and Procedure to the Chief Administrative Judge of the Courts of the State of New York (Jan. 2017) is similarly suggestive. Its discussion of CPL 250.10 recommends amending paragraph (1)(c) to refer to "any other defense or claim "-a step that would be unnecessary if the many luminaries on that committee shared the majority's expansive interpretation of the current statute (Report at 71). Additionally, that report's conclusion that the statute applies only to evidence of the defendant's mental disease or defect, and not to evidence of a third party's-even though such evidence might be relevant to, e.g., a justification defense-undermines the majority's claim that the statute was intended to eliminate all surprise (id. ; see also CPL 250.10[3] [allowing the People to apply for an order requiring the "defendant submit to an examination"] ).
The difference is plainly rooted in type rather than timing. The legislature's intent in passing CPL 250.10 was to prevent two unfortunate consequences of introducing psychiatric evidence without prior notice: delaying the proceedings and delaying the prosecution's opportunity to obtain countervailing evidence that might be lost forever to the vagaries of mental health conditions if the People's psychiatrist did not examine the defendant shortly after the offense. The first consequence is of less concern in a suppression hearing, which is less likely to be compromised by a brief adjournment than is a jury trial already underway. The second consequence, however, is fully present; the suppression hearing will take place months or years after the contested statements. The opportunity to obtain reliable countervailing psychiatric evidence-the "primary aim of the pretrial notice requirement" (Berk,
Dissenting Opinion
Defendant Spence Silburn claims he was deprived of his constitutional right to self-representation when the trial judge treated his unequivocal request to proceed pro se as if it were conditioned on receiving the assistance of standby counsel. This particular **803trial judge had a uniform rule against "legal advisors," and informed the defendant that, in his courtroom, "[y]ou either have a lawyer, or you don't have a lawyer." The judge assumed that, given this binary choice, the defendant retracted his request to represent himself.
The judge's policy of denying all requests for standby counsel, regardless of the seriousness of the case or the defendant's sentencing exposure, appears based on this Court's decision in People v. Mirenda, in which a majority of this Court held that "[a] defendant has no constitutional right ... to the assistance of a lawyer while conducting a pro se defense" (
More than 30 years' experience has demonstrated the importance of standby counsel for enabling defendants to vindicate their fundamental constitutional rights. It is now widely acknowledged that standby counsel help strike the delicate, necessary balance between defendants' constitutional right to counsel and their constitutional right to proceed pro se. This is reflected in the updated edition of the American Bar Association Standards for Criminal Justice, Special Functions of the Trial Judge, which now calls for the mandatory appointment of standby counsel where a defendant faces a capital charge or the possibility of lifetime imprisonment without parole, and observes categorically that "[s]tandby counsel should ordinarily be appointed" not only where "trials [are] expected to be long or complicated or in which there are multiple defendants" but also "in any case in which a severe sentence might be imposed" (ABA Standards for Criminal Justice, Special Functions of the Trial Judge, standard 6-3.7[a] [3d ed]; see also
Nevertheless, defendant does not challenge whether the trial judge's unwavering rule against standby counsel is permissible under Mirenda, nor does he directly attack Mirenda 's holding. Instead, he claims that he made an unequivocal request to proceed pro se, not conditioned on his additional request for legal assistance. Given defendant's challenge as limited on appeal to this Court, I agree, for the reasons discussed in Judge Wilson's dissent, that defendant is entitled to a new trial because he was deprived of his constitutional right to proceed pro se. I also agree with the dissent's analysis of CPL 250.10 and its conclusion that the majority has misinterpreted the statutory language and legislative purpose of the notice requirement as applied to subsection (1)(c), but, on the facts of this case, the trial court error was harmless.
Order affirmed.
Judges Stein, Fahey, Garcia and Feinman concur. Judge Wilson dissents in an opinion, in which Judge Rivera concurs in a separate dissenting opinion.
Defense counsel represented at oral argument that few New York courts bar standby counsel based on a categorical rule and the vast majority provide for their appointment.
Case-law data current through December 31, 2025. Source: CourtListener bulk data.