People v. Howard

152 A.D.2d 325, 548 N.Y.S.2d 785, 1989 N.Y. App. Div. LEXIS 15730
Appellate Division of the Supreme Court of the State of New York·Decided December 13, 1989·Published·Cited by 12 cases

Opinions

OPINION OF THE COURT

Harwood, J.

This appeal illustrates that the doctrine of collateral estoppel, in a criminal case, must be flexibly applied with due regard to constitutional and equitable considerations not ordinarily implicated in a civil case. We hold that, even though .neither the prosecution nor the defense could have sought appellate review of determinations in a prior criminal proceeding, only the prosecution in this case is collaterally es-topped from relitigating a factual issue determined in favor of the defendant in that prior proceeding.

On January 24, 1984, at approximately 7:50 p.m., two employees of the "Discount Dairy” located in Nassau County were robbed by two assailants, one of whom carried a sawed-off shotgun. The incident took 3 to 5 minutes, and both robbers left the scene. Fifteen days later, on February 8, 1984, in Queens County, the defendant was repairing an automobile registered in his girlfriend’s name when he was approached by two police officers and a civilian, the latter of whom identified the defendant as the person who, he claimed, had just taken a shot at him. The defendant was placed under arrest and police officers seized from a leather bag which was located in the trunk of the defendant’s girlfriend’s car a loaded sawed-off shotgun and separately packaged ammunition. The defendant was subsequently charged with reckless endangerment in the first degree, criminal possession of a weapon in the second degree, and criminal possession of a weapon in the third degree (two counts).

. Although no part of the official record of the Queens County prosecution has been made a part of the record underlying [327]*327this appeal, it is not disputed that in the Queens prosecution, the defendant moved to suppress the sawed-off shotgun and ammunition, and the Supreme Court, Queens County (Zelman, J.), denied him that relief. Rendered after an evidentiary hearing at which the defendant did not testify, the denial was apparently premised on a variety of grounds, including that, because the car was not in his name, the defendant had no standing to protest the search (see, People v Millan, 69 NY2d 514; People v Wesley, 73 NY2d 351; but cf, People v Ponder, 54 NY2d 160). Mention is also made by counsel of the determination that the gun was seized incident to a lawful arrest, although there is no indication that the Queens suppression court also determined that the gun was within the area from which the defendant might have then retrieved it (see, Chimel v California, 395 US 752).

In May 1984 the defendant was identified from a photographic array as the unarmed half of the duo which robbed the "Discount Dairy” in January 1984. On September 4, 1984, a Nassau County Grand Jury returned an indictment charging the defendant with two counts of robbery in the first degree. On or about September 13, 1984, the defendant proceeded to trial without a jury on the Queens County charges. The court (Zelman, J.) found the defendant not guilty of all counts, apparently concluding that both the testimony of the complaining witness concerning the reckless endangerment count and the testimony of police on the possession counts were incredible. The court also apparently found that there was no proof that the defendant exercised dominion and control over either the gun or the car from which it was seized.

Having been notified that the People intended to offer at trial of the Nassau County indictment evidence linking the sawed-off shotgun seized at the time of the Queens arrest to the Nassau County robbery, the defendant sought in the Nassau County prosecution suppression of the gun on the ground that New York City police seized it in violation of his constitutional and statutory rights. The County Court ultimately denied the application without a hearing, ruling that, because of the denial of his suppression motion which preceded his acquittal in Queens, the defendant was collaterally estopped from relitigating the legality of the shotgun’s seizure.

The defendant was tried twice on the Nassau County robbery indictment. The first trial, at which no evidence was offered concerning the seizure in Queens of the shotgun, [328]*328culminated in a mistrial because the jury was unable to reach a verdict. At the outset of the retrial, the prosecutor indicated his intention to elicit evidence concerning recovery of the gun and the defendant’s February 8, 1984 link to it. The defendant thereupon sought a ruling in limine precluding such evidence on the ground that, because of the determination by the Supreme Court, Queens County, that he was not guilty, inter alia, of possession of the shotgun, the People were collaterally estopped from eliciting evidence as to the events of February 8, 1984, linking him to the weapon. The trial court denied the defendant’s application and a New York City police officer was permitted to testify that, on February 8, 1984, he observed the defendant working under the dashboard of a certain vehicle, that he placed the defendant under arrest, and that he searched the vehicle and thereby observed in an open bag in an open trunk the sawed-off shotgun which others linked to the robbery. The defense counsel was not permitted on cross-examination to elicit that the defendant was acquitted of the charges for which he was arrested in Queens County, and the jury was instructed that the reason for the defendant’s seizure by the officer was not relevant and that "[t]he only testimony, if you find it relevant and material, relates to the weapon involved and not to the fact of the arrest, which means absolutely nothing”. Prior to the giving of these instructions, both victims of the robbery and an eyewitness, each of whom identified the defendant as the unarmed robber, also identified the shotgun seized in Queens on February 8, 1984, which bore some distinctive markings, as that which was used during the earlier Nassau County robbery.

Collateral estoppel principles apply to criminal as well as civil cases and, in a criminal case, are both a part of and exist independently of the constitutional prohibition against double jeopardy (People v Sailor, 65 NY2d 224, 228-229; see also, People v Berkowitz, 50 NY2d 333, 344-345; Matter of McGrath v Gold, 36 NY2d 406; Ashe v Swenson, 397 US 436, 443). It is a flexible doctrine which is not to be applied blindly or mechanically in any context, but, because the concern in criminal litigation is not that it be merely concluded but that it be concluded correctly, particular care must be taken in criminal cases against rigid application. As a general matter, this doctrine involves determining that there is an identity with prior litigation of parties and of issues, that the prior litigation resulted in a final and valid judgment, and that the party now opposing the application of collateral estoppel had [329]*329full and fair opportunity in the prior litigation to contest the particular factual point at issue (see, People v Goodman, 69 NY2d 32, 38; People v Sailor, supra, at 229; People v Berkowitz, supra, at 347).

With respect to the collateral estoppel effect of the denial by the Supreme Court, Queens County, of that branch of the defendant’s omnibus motion which was to suppress the gun and ammunition, the parties focus primarily on whether, because of his decision not to testify at the suppression hearing (see, People v Plevy, 52 NY2d 58), the defendant was deprived of a full and fair opportunity to litigate the propriety of the seizure of those items. This effort is misplaced.

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People v. Howard, 152 A.D.2d 325, 548 N.Y.S.2d 785, 1989 N.Y. App. Div. LEXIS 15730 (N.Y. Ct. App. 1989).

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