State v. John S.

15 N.E.3d 287, 23 N.Y.3d 326
CourtNew York Court of Appeals
DecidedMay 8, 2014
StatusPublished
Cited by88 cases

This text of 15 N.E.3d 287 (State v. John S.) 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
State v. John S., 15 N.E.3d 287, 23 N.Y.3d 326 (N.Y. 2014).

Opinions

OPINION OF THE COURT

Abdus-Salaam, J.

We recently held in Matter of State of New York v Floyd Y. (22 NY3d 95 [2013]) that hearsay basis testimony by an expert witness may be admitted at a Mental Hygiene Law article 10 trial if the hearsay is reliable and its probative value in assisting the jury to evaluate the expert’s opinion substantially outweighs its prejudicial effect. The main issue on this appeal is whether hearsay basis testimony about respondent John S.’s sex offenses that did not lead to valid adjudications of guilt satisfied this standard and, if not, whether admission of the hearsay requires reversal. We hold that basis hearsay related to respondent’s indictments for rape and robbery met the minimum due process requirements we outlined in Floyd Y and was properly admitted at trial. We further conclude that, although basis hearsay about an uncharged rape was unreliable and should have been excluded, its admission was harmless error.

I.

In September 1968, respondent pleaded guilty to rape in the first degree (Penal Law § 130.35) and robbery in the first degree (Penal Law § 160.15) in satisfaction of multiple charges arising from a series of attacks on women committed around City College in Manhattan. The charges, set out in two indictments, alleged that over a span of 32 days, respondent raped and robbed three different victims, and that he robbed two additional [332]*332victims. In all of these cases respondent allegedly threatened the victims with a weapon and forced them to accompany him. Two of the victims were raped on roof landings near the City College subway stop, and two victims were sodomized in addition to being raped. All the crimes allegedly took place between approximately 11 a.m. and 9 p.m. within the vicinity of City College.

After accepting respondent’s plea of guilty, Supreme Court ordered that, based on statements respondent made during the plea colloquy, he be committed to undergo psychiatric examination. Respondent was thereafter diagnosed as suffering from paranoid schizophrenia. In November 1968, respondent was found incompetent to stand trial and committed to the custody of the Commissioner of Mental Hygiene. Five months later, however, respondent was certified as competent based on reports the court received from the hospital where he was being treated. Respondent was sentenced to 5 to 15 years in prison based on his September 1968 guilty plea.1

After unsuccessfully challenging his convictions in state court, respondent filed a habeas corpus petition in the United States District Court for the Southern District of New York. That court vacated respondent’s convictions and granted a writ to issue within 60 days unless respondent was permitted to replead to the indictments in Supreme Court (see United States ex rel. Suggs v LaVallee, 430 F Supp 877, 884 [SD NY 1977]). The District Court determined that the convictions were invalid because respondent was incompetent when he pleaded guilty in September 1968 and Supreme Court never afforded him an adequate colloquy regarding the voluntariness of his plea (see id.). The Second Circuit affirmed (Suggs v LaVallee, 570 F2d 1092, 1119 [2d Cir 1978], cert denied 439 US 915 [1978]), and respondent was released on parole in August 1978.

For reasons not clear from the record, the New York County District Attorney’s Office did not re-prosecute respondent under the 1968 indictments and the case was officially closed sometime [333]*333in late 1978 or early 1979. Records pertaining to these indictments were sealed pursuant to CPL 160.50, which mandates the sealing of official records relating to criminal proceedings that terminate in favor of the accused.

Meanwhile, 19 days after respondent was released on parole, he committed a violent rape. On September 16, 1978, respondent threatened a woman with a gun and forced her into Washington Square Park, where he robbed her, struck her, and strangled her until she lost consciousness. Respondent then forced the victim to Pier 48 on the Hudson River, dragged her up a flight of stairs by her hair, again struck and strangled her, and raped her. Respondent was convicted after trial of rape in the first degree and sentenced to an indeterminate term of 74 months to 20 years’ imprisonment.

While serving his sentence for the 1978 rape conviction, respondent committed several instances of misconduct that resulted in both criminal and disciplinary charges. In 1987, he was indicted for arson in the second degree (Penal Law § 150.15) for intentionally starting a fire on his prison cell bed in the presence of a correction officer. He was found guilty of criminal mischief in the fourth degree (Penal Law § 145.00) and received a 10-month sentence to run concurrently with his current sentence for first-degree rape. Two years later, respondent received disciplinary penalties for assaulting a female correction officer by attempting to force her into a broom closet. Respondent was later released on parole in 1992.

Respondent remained at liberty in the community for four years before committing another rape, again while under parole supervision. On August 4, 1996, respondent raped a college student in Central Park. At that time, he was 45 years old and had a wife and a seven-month-old daughter. Respondent pleaded guilty to rape in the first degree by forcible compulsion (Penal Law § 130.35 [1]) and was sentenced to 121/2 years in prison.

Prior to respondent’s release from custody, the Attorney General, on behalf of the State of New York (the State), filed a petition under article 10 seeking a determination that respondent is a detained sex offender requiring civil management. The petition included a written evaluation report prepared by Dr. Trica Peterson, a licensed psychologist and psychiatric examiner employed by the New York State Office of Mental Health (OMH) (see Mental Hygiene Law § 10.06 [d]). As a result of her personal examination of respondent and her review of available records [334]*334describing his background and criminal history,2 Dr. Peterson concluded in her report that respondent currently suffers from antisocial personality disorder. Dr. Peterson opined that this condition constitutes a “mental abnormality” that predisposes respondent to the commission of sexual offenses and makes it difficult for him to control such behavior (see Mental Hygiene Law § 10.03 [i]).

In preparation for trial, the State moved for a court order unsealing the records related to respondent’s 1968 indictments for rape and robbery. The State premised its motion on Mental Hygiene Law § 10.08 (c), which provides that, “[notwithstanding any other provision of law,” the Attorney General is entitled to request, and the appropriate entity is authorized to provide,

“any and all records and reports relating to the respondent’s commission or alleged commission of a sex offense, the institutional adjustment and any treatment received by such respondent, and any medical, clinical or other information relevant to a determination of whether the respondent is a sex offender requiring civil management.”

Supreme Court granted the motion and ordered the records unsealed.

Respondent thereafter moved in limine to preclude expert testimony relating to the 1968 charges.

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Cite This Page — Counsel Stack

Bluebook (online)
15 N.E.3d 287, 23 N.Y.3d 326, Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-v-john-s-ny-2014.