People of the State of New York v. Markiem Black
Attorneys and Parties
Brief Summary
Criminal procedure—validity of a waiver of indictment and prosecution by Superior Court Information (SCI) during remote Covid-19 proceedings.
The Bronx Supreme Court accepted an oral waiver of indictment, treated a court-initialed waiver form as sufficient, accepted a guilty plea to fifth-degree criminal possession of a controlled substance, and sentenced defendant as a second felony offender to five years' probation.
The judgment of conviction based on the guilty plea was vacated and the SCI was dismissed.
The waiver of indictment was jurisdictionally defective because it was not signed by the defendant in open court as required by NY Const, art I, § 6 [requires indictment by a grand jury; permits waiver only if evidenced by a written instrument signed by the defendant in open court in the presence of counsel] and CPL 195.20[a]-[d] [codifies the procedure for waiving indictment]. The court’s initials on the waiver could not substitute for the defendant’s signature.
Background
During the Covid-19 pandemic, at a virtual appearance, defendant orally agreed to waive indictment and proceed by Superior Court Information (SCI) charging fifth-degree drug possession. Technical issues prevented defendant from signing the written waiver in open court; the judge initialed the waiver on defendant’s behalf. Defendant later pled guilty and was sentenced to five years' probation as a second felony offender.
Lower Court Decision
The Supreme Court, Bronx County, accepted the court-initialed waiver in lieu of the defendant’s signature, allowed prosecution by SCI, accepted a guilty plea to criminal possession of a controlled substance in the fifth degree, and imposed a five-year probationary sentence.
Appellate Division Reversal
Unanimously reversed, on the law: the plea was vacated, the SCI dismissed, and the matter remanded for further proceedings on the felony complaint because the waiver of indictment lacked the defendant’s signature in open court.
Legal Significance
Strict compliance with the constitutional and statutory mechanism for waiving indictment is required; a judge’s initials or other substitutes cannot replace the defendant’s own signature in open court, even in remote or emergency contexts. A defective waiver is a jurisdictional flaw mandating vacatur of the plea and dismissal of the SCI.
A waiver of indictment must bear the defendant’s own signature in open court in the presence of counsel; otherwise, prosecution by SCI is invalid and any resulting guilty plea must be vacated.