People v. Dawkins

624 N.E.2d 162, 82 N.Y.2d 226, 604 N.Y.S.2d 34, 1993 N.Y. LEXIS 3896
CourtNew York Court of Appeals
DecidedNovember 16, 1993
StatusPublished
Cited by16 cases

This text of 624 N.E.2d 162 (People v. Dawkins) is published on Counsel Stack Legal Research, covering New York Court of Appeals primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
People v. Dawkins, 624 N.E.2d 162, 82 N.Y.2d 226, 604 N.Y.S.2d 34, 1993 N.Y. LEXIS 3896 (N.Y. 1993).

Opinions

OPINION OF THE COURT

Levine, J.

Defendant was tried on counts of attempted murder in the second degree, assault in the first degree and criminal possession of a weapon in the second degree, arising out of the alleged shooting of the victim on a subway train in Kings County. After one day of deliberation, the jury returned a verdict finding defendant guilty of attempted murder and not guilty on the remaining counts. At defendant’s request, the court had the jury polled individually. The first three jurors affirmed their agreement with the verdict as announced. At that point, there was an outburst by the defendant protesting his innocence, whereupon juror number 4, after a brief hesitation, expressed her disagreement with the verdict. The trial court then directed the jury to retire to continue its deliberations.

Approximately three hours after the jury had resumed its deliberations, it sent a note to the court that "[t]he jury cannot reach a verdict. Please instruct”. Defense counsel opposed the prosecution’s request that the court give the jury an Allen charge (Allen v United States, 164 US 492) and moved for a mistrial on the ground that an Allen charge would put undue pressure on the single juror who had disagreed with the guilty verdict previously announced. The court agreed, making the following ruling on the minutes:

"While I have never accepted this kind of a note from the jury the first time and have in the past always given an Allen charge on the first note, I just find that the circumstances in this case do warrant the granting of a mistrial at the request of defense counsel. And, defense counsel in this case has requested that I declare this a hung jury and grant a mistrial and I’m going to do it, under the circumstances that we have in this case.”

After an off-the-record discussion, an agreement was reached on scheduling defendant’s retrial. Shortly thereafter, however — approximately 40 minutes after the jury’s previous [229]*229communication and without the jury ever being recalled, instructed to cease deliberations and discharged — the jury sent a note to the court that it had reached a verdict. The court determined to set aside the previous mistrial determination and accept the verdict over defendant’s objection "of the prejudice that it gives the jury”. The jury foreperson then again announced a verdict convicting defendant of the attempted murder count of the indictment and acquitting him on the remaining counts. Upon individual polling, all of the members of the jury agreed.

The Appellate Division affirmed, concluding that it was an appropriate exercise of the trial court’s discretion to set aside its previous mistrial ruling when the jury, without further instructions, communicated that it had reached a verdict (186 AD2d 751). A Judge of this Court granted defendant leave to appeal, and we now affirm.

Defendant’s principal argument on appeal is that, under CPL 280.10 and this Court’s decision in People v Catten (69 NY2d 547), the trial of defendant on the indictment had terminated when the trial court "perfect[ed]” (id., at 555) its grant of a motion for a mistrial by a declaration of a mistrial and an order for defendant’s new trial (see, CPL 280.10, first unnumbered para). The trial having thereby been terminated, defendant further argues, the trial court was divested of any further power to rescind its declaration of a mistrial.

We are unpersuaded by defendant’s argument that the trial was terminated when the trial court declared a mistrial and fixed a date for retrial. First, CPL 280.10, the provisions of which are the cornerstone of defendant’s argument that a mistrial was perfected thereby terminating defendant’s trial, is entirely inapposite to the undeniable procedural context in which the mistrial was declared in this case, i.e., one based upon jury deadlock. As previously quoted, the Trial Judge in declaring the mistrial stated "defense counsel in this case has requested that I declare this a hung jury and grant a mistrial and I’m going to do it” (emphasis supplied). The authority of the trial court to grant a mistrial pursuant to CPL 280.10 is expressly limited to the following circumstances: "[u]pan motion of the defendant, when there occurs during the trial an error or legal defect in the proceedings, or conduct inside or outside the courtroom, which is prejudicial to the defendant and deprives him of a fair trial” (CPL 280.10 [1]); "[u]pan motion of the people, when there occurs during the trial, [230]*230either inside or outside the courtroom, gross misconduct by the defendant or some person acting on his behalf, or by a juror, resulting in substantial and irreparable prejudice to the people’s case” (CPL 280.10 [2]); and "[u]pan motion of either party or upon the court’s own motion, when it is physically impossible to proceed with the trial in conformity with law” (CPL 280.10 [3]). None of the foregoing circumstances forms the basis for the trial court’s declaration of a mistrial here, the sole expressed reason for which was the jury’s deadlock.

For the termination of a trial based upon jury deadlock the Criminal Procedure Law clearly provides that the operative judicial action is the actual discharge of the jury after "[t]he jury has deliberated for an extensive period of time without agreeing upon a verdict * * * and the court is satisfied that any such agreement is unlikely within a reasonable time” (CPL 310.60 [1] [a]).

As a respected commentator on the Criminal Procedure Law has pointed out, discharge of the jury under CPL 310.60 is the exclusive method to terminate a criminal trial for jury deadlock. "This section [CPL 310.60] is designed to govern mistrials based primarily upon the inability of the jury to reach a verdict — i.e., deadlock. For sections dealing with mistrials under other circumstances, see CPL §§ 270.35, 280.10” (Preiser, Practice Commentaries, McKinney’s Cons Laws of NY, Book 11 A, CPL 310.60, at 764; emphasis supplied). This view is confirmed by the staff comments of the State of New York Temporary Commission on Revision of the Penal Law and Criminal Code in referring to the provision (section 145.10) that became CPL 280.10: "[t]his motion is primarily applicable to discharge of a jury prior to its retirement for deliberation; discharge during deliberation is largely controlled by [present CPL 310.60]” (Staff Comment, NY Temp Commn on Revision of Penal Law and Crim Code, reprinted in proposed NY Criminal Procedure Law § 145.10, at 216 [1967]).

It follows from the foregoing that any declaration of a mistrial for, in the Trial Judge’s own words, a "hung jury”, was inchoate and thus, subject to recision by the court until it took the next step that was statutorily required under CPL 310.60 to effectuate the termination of the trial because of jury deadlock, i.e., discharge of the jury after the court determined that the jury could not reach a verdict within a reasonable time (see, Matter of Lionel F., 76 NY2d 747, 749). Indeed, in Matter of Lionel F, we held that the unterminated, [231]*231still pending status of the entire juvenile delinquency proceeding permitted the Family Court to revoke its granting of dismissal, at the end of the petitioner’s case, of several counts of the delinquency petition and reinstate some of those counts, over a double jeopardy objection (see, id,.). Here, the statutory framework even more clearly shows that the trial had not terminated before the court revoked its mistrial decision.

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People v. Dawkins
624 N.E.2d 162 (New York Court of Appeals, 1993)

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Bluebook (online)
624 N.E.2d 162, 82 N.Y.2d 226, 604 N.Y.S.2d 34, 1993 N.Y. LEXIS 3896, Counsel Stack Legal Research, https://law.counselstack.com/opinion/people-v-dawkins-ny-1993.