People v. Canales

121 A.D.3d 14, 988 N.Y.S.2d 212
CourtAppellate Division of the Supreme Court of the State of New York
DecidedJune 18, 2014
StatusPublished
Cited by4 cases

This text of 121 A.D.3d 14 (People v. Canales) is published on Counsel Stack Legal Research, covering Appellate Division of the Supreme Court of the State of New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
People v. Canales, 121 A.D.3d 14, 988 N.Y.S.2d 212 (N.Y. Ct. App. 2014).

Opinion

OPINION OF THE COURT

Chambers, J.

We hold in this case that the defendant’s consent to allow the trial court to substitute an alternate juror for a deliberating juror who was ill was not knowingly, intelligently, and voluntarily given. The trial court, which did not want to delay the proceedings any further, made the substitution upon the consent of counsel, before receiving the defendant’s consent, because there was a delay in bringing the defendant to the courthouse. Once the court obtained the defendant’s consent, it did so without revealing to him that the jury had, in fact, already reached a verdict. The withholding of this vital information from the defendant deprived him of the opportunity to make an intelligent, informed judgment as to whether to consent to the continuation of the trial with the alternate juror and receive the jury’s verdict, or to terminate the trial in a mistrial.

I.

On the third day of deliberations, a Monday, a juror informed the trial court that he would not be able to appear in court [16]*16because he was ill. The jury was dismissed for the day and directed to appear the next day. On that following day, on the advice of his doctor, the missing juror did not appear in court. The trial court indicated that it intended to substitute the sole remaining alternate juror for the missing juror because it did not want to delay the proceedings any longer. The trial court said that it would make the substitution ahead of receiving the written consent of the defendant, who had not arrived in court because of an administrative problem with the Nassau County Sheriffs Department. The People opposed the procedure, but defense counsel consented to it. The substitution was made at approximately 10:12 a.m. Twenty minutes later, before the defendant had even given his written consent to the substitution, the jury informed the trial court through a written note that it had reached a verdict. By the time the defendant arrived in court, after 11:00 a.m., the People had offered to dispose of the matter through a plea of guilty to a reduced charge. The trial court, however, said that it would not do anything until there was a decision on whether to substitute the alternate juror for the missing juror. Defense counsel and the defendant conferred, and the defendant provided his signed consent to the substitution. The trial court advised the defendant of the reason for the substitution, and explained that unless he agreed to the substitution, the trial could not continue and a mistrial would have to be declared. The trial court also told the defendant that the substitution had already been made, and that the jury had resumed their deliberations. The trial court further explained, however, that if the defendant did not agree to the substitution, then whatever deliberations that had occurred since the time of the substitution would be nullified. The defendant acknowledged that he understood, and he consented to the substitution, as well as the procedure that the trial court had employed in allowing the alternate juror to deliberate prior to the defendant’s consent. Finally, the trial court told the defendant that it was possible that the jury might already have made a decision, but it did not tell him that the jury had, in fact, already reached a verdict. Immediately after accepting the defendant’s written consent to the substitution, the trial court informed the parties that the jury had reached a verdict. The trial court afforded the defendant the opportunity to accept the People’s plea offer even though a verdict had been reached, but the defendant declined. The jury returned a verdict finding the defendant guilty of three of the six counts submitted to it.

[17]*17The defendant moved to set aside the verdict, based on the trial court’s failure to comply with the proper procedure for substituting an alternate juror under CPL 270.35. The trial court denied the motion. The defendant appeals, and we reverse.

n.

Although the defendant’s contention that his consent to the substitution of an alternate juror was not knowingly and intelligently given is unpreserved for appellate review, we nevertheless reach it in the exercise of our interest of justice jurisdiction (see People v McDuffie, 95 AD3d 1036, 1037 [2012]).

Initially, although the parties disagree as to whether CPL 270.35 (1) requires the trial court to first obtain the defendant’s written consent in open court before substituting an alternate juror for a deliberating juror, we need not decide that issue because, under the circumstances of this case, the defendant’s consent was not knowingly, intelligently, and voluntarily given.

“[T]he safeguards afforded by CPL 270.35 are identical to and coextensive with the constitutional requirements for valid waiver of a jury trial” (People v Page, 88 NY2d 1, 10 [1996]). The decision to allow an alternate juror to be substituted for a deliberating juror must be knowing, intelligent, and voluntary (see id. at 6, 9; People v McDuffie, 95 AD3d at 1037; People v Felton, 279 AD2d 331 [2001]; People v Woods, 238 AD2d 144 [1997]). The defendant must be “fully aware of the consequences of the choice he [or she] is making” (People v Duchin, 12 NY2d 351, 353 [1963]; see People v McDuffie, 95 AD3d at 1038; People v Davidson, 136 AD2d 66, 69 [1988]; see generally North Carolina v Alford, 400 US 25, 31 [1970]). In determining whether a defendant’s decision to consent to the substitution of an alternate juror for a deliberating juror is “made knowingly and understandingly, based on an intelligent, informed judgment” (People v Duchin, 12 NY2d at 353), a court is required to be “ ‘scrupulous,’ ” for at stake is the defendant’s “fundamental, constitutional right to trial by a jury of 12” (People v Page, 88 NY2d at 10, quoting People ex rel. Rohrlich v Follette, 20 NY2d 297, 300 [1967]; see Johnson v Zerbst, 304 US 458, 464 [1938], quoting Aetna Ins. Co. v Kennedy ex rel. Bogash, 301 US 389, 393 [1937] [“ ‘courts indulge every reasonable presumption against waiver’ of fundamental constitutional rights”]). Here, the defendant’s election to substitute the alternate juror for the deliberating juror was not based on an intelligent, informed [18]*18judgment. No matter how well-intentioned the trial court was in not disclosing the fact that the jury had already reached a verdict, due process required the trial court to disclose to the defendant all of the pertinent, material facts.

In Matter of Randall v Rothwax (161 AD2d 70 [1990], affd 78 NY2d 494 [1991]), a court officer, based on his observation of how the jurors interacted during dinner, relayed to the trial court that the jury was in favor of convicting the defendant by a vote of 10 to 2. In fact, the opposite was true; the jury was in favor of acquitting him by that margin. The trial court conveyed this misinformation to the defendant and, based on it, he decided to accept the trial court’s plea offer. When, following the defendant’s plea of guilty, discussions with the jury revealed that the trial court had conveyed inaccurate information to the defendant, the trial court vacated his plea of guilty. The New York County District Attorney’s Office sought to reprosecute the defendant. He petitioned the Appellate Division, First Department, pursuant to CPLR article 78 to prohibit the reprosecution.

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Cite This Page — Counsel Stack

Bluebook (online)
121 A.D.3d 14, 988 N.Y.S.2d 212, Counsel Stack Legal Research, https://law.counselstack.com/opinion/people-v-canales-nyappdiv-2014.