Randall v. Rothwax

161 A.D.2d 70, 560 N.Y.S.2d 409, 1990 N.Y. App. Div. LEXIS 10930
CourtAppellate Division of the Supreme Court of the State of New York
DecidedSeptember 6, 1990
StatusPublished
Cited by9 cases

This text of 161 A.D.2d 70 (Randall v. Rothwax) 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
Randall v. Rothwax, 161 A.D.2d 70, 560 N.Y.S.2d 409, 1990 N.Y. App. Div. LEXIS 10930 (N.Y. Ct. App. 1990).

Opinion

OPINION OF THE COURT

Murphy, P. J.

Petitioner in this proceeding brought pursuant to CPLR article 78 seeks to prohibit the New York County District Attorney from reprosecuting him upon indictment number 2495/89. He claims that reprosecution will violate his constitutional right not to be twice placed in jeopardy of conviction for the same crime. The unique circumstances giving rise to petitioner’s claim are as follows:

Petitioner was charged in indictment number 2495/89 with attempted murder in the second degree and related crimes. His trial commenced on June 13, 1989 before Justice Rothwax. On June 20, 1989 the case was put to the jury at about 12:00 noon. At about 2:15 p.m. the jury received a read back of certain testimony. Thereafter, the members of the jury deliberated until 6:00 p.m. when they were sent for dinner. When the jurors had finished their dinner they resumed deliberating until 7:55 p.m. at which time they sent the court a note indicating that they were deadlocked. The court then gave the jury a mild Allen charge and instructed the jurors to continue deliberating. Either immediately before or after the Allen charge, the court addressed the defendant and his counsel in the presence of the prosecutor. He told them that he had "reliable” information that the jury was divided 10 to 2 in favor of conviction. Although the court cautioned that it was not entirely sure of this "reliable” information, he named the two jurors whom he believed were leaning in favor of acquittal. The court expressed the view that it would be a long night and suggested that the parties might want to talk about a plea. Thereafter, the 17-year-old defendant conferred with his attorney. His attorney advised him that there was a possibility that the two jurors for acquittal would be pressured into changing their positions and voting for conviction on the attempted murder count. Counsel, however, thought it more likely that the jury would either remain deadlocked or would compromise and convict the defendant of the second count in the indictment, assault in the first degree, for which the defendant would probably receive a sentence of 7½ to 15 [72]*72years. The defendant was advised that the jury might return with a verdict at any time thus foreclosing the possibility of obtaining a more lenient sentence by means of plea bargain. Believing, on the basis of the information imparted by the court, that there was little or no chance of an acquittal and that a verdict entailing a stiff sentence might be imminent, the defendant, although protesting his innocence, agreed, in full satisfaction of the indictment, to enter a plea of guilty to the third count, criminal use of a firearm in the first degree, in exchange for a promised sentence of from to years. The plea bargain was readily approved by Justice Rothwax who, although unwilling to accept an Alford plea, offered the defendant a "painless allocution”.

Shortly after the jury had been discharged, it came to light that the jury had, in fact, been leaning 10 to 2 in favor of acquittal. The jury foreperson stated in an affidavit that just after dinner on June 20, 1989 she recorded an informal vote of the jury in which 10 voted to acquit and 2 to convict. A second juror has filed an affidavit confirming the foreperson’s and noting further: "Just prior to our receiving instructions to cease deliberations because we were being discharged, we were meditating and searching our inner selves. The overwhelming sentiment was for acquittal. It is my strong conviction that had the court allowed us to deliberate another 10 minutes that the defendant would have been acquitted on all charges.”

On June 22, 1989 the defendant moved to withdraw his plea claiming that he had been induced to enter a plea based upon improperly conveyed and inaccurate information. Justice Rothwax granted the motion, stating, "I feel as an act of discretion that the motion to withdraw the plea should be granted since it appears to me that the defendant and his Counsel may have been misled, inadvertent to be sure, but misled by the Court nevertheless.”

Following the plea withdrawal, the defendant retained new counsel who, on October 26, 1989, moved to preclude retrial of the defendant on double jeopardy and due process grounds. In his decision denying the motion, Justice Rothwax first noted that he did not dispute defendant’s account of what had occurred leading to the termination of the trial. He acknowledged that it had been "ill-advised” for him to discuss the status of the jury’s deliberations with the defendant, but stated that he had done so because he thought the information would be "helpful” and "useful” to the defendant. The information respecting the jury’s progress, Justice Rothwax [73]*73explained, came to him from a court officer. The Judge had inquired of the court officer how things had gone at dinner and the court officer in response volunteered that everything had gone well except that the jury seemed split into two factions—a group of 10 to convict and a group of 2 to acquit. According to Justice Rothwax, the court officer had not spoken to the jurors but had gathered the existence and dimensions of the split from observing the way the jurors sat and interacted during dinner. Justice Rothwax acknowledged that the defendant had relied upon the erroneous information imparted by him in determining to enter his plea, but nevertheless concluded that there existed no basis to sustain the double jeopardy claim.

Upon the denial of his motion, the defendant commenced the within proceeding in which he renews his contention that reprosecution will violate the constitutional injunction against double jeopardy. The People have replied that in the absence of judicial or prosecutorial acts designed to avoid an acquittal, reprosecution ought not to be barred.

Our Federal and State Constitutions both provide in substance that the government may not place a criminal defendant twice in jeopardy for the same offense (US Const 5th Amend; NY Const, art I, § 6). The protection, an ancient one deeply rooted in the common law (see, e.g., 4 Blackstone’s Commentaries, at 335; Regina v Tancock, 13 Cox Crim Cas 217, 220; King v Emden, 9 East 437, 445-447), has been thought an essential check upon the power of the State to intimidate its citizenry (People v Michael, 48 NY2d 1, 7). It is recognized that the State possesses prosecutorial resources far in excess of those the individual may marshall for his or her defense, and that if the State is permitted to reprosecute an individual without limitation, it may achieve through attrition an advantage having nothing to do with the merits of its case (see, Green v United States, 355 US 184, 187-188). Indeed, a prosecution exacts a tremendous personal, economic and social toll upon a defendant, which, although necessary in the first instance, cannot be lightly permitted anew, for to do so would be to permit a form of punishment not only unsanctioned by, but abusive of, judicial process (supra). Ordinarily, then, the prosecution gets but one opportunity to prove its case against a criminal defendant. Concomitant with this limitation is the "valued right” of the defendant to have his case completed in one proceeding before the particular jury he has participated in selecting (Wade v Hunter, 336 US 684, 689).

[74]

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Bluebook (online)
161 A.D.2d 70, 560 N.Y.S.2d 409, 1990 N.Y. App. Div. LEXIS 10930, Counsel Stack Legal Research, https://law.counselstack.com/opinion/randall-v-rothwax-nyappdiv-1990.