Lead Opinion
OPINION OF THE COURT
Aftеr jury deliberations commenced in this case, one of the jurors became ill and was hospitalized. Opposing a mistrial, de
I
Defendant Winston Gajadhar and his business associate, Tony Norng, operated an automobilе repair business in Brooklyn. When the shop closed in 1994, the men believed that they were owed $1,500 from Sammi Fiki for work performed on a taxicab. Norng and defendant decided that defendant would attempt to collect the monies due from Fiki.
When defendant went to Fiki’s office to discuss the matter, Fiki stated that he would only speak to Norng. Defendant later returned to Fiki’s premises with another man (not Norng) and found that Fiki had been joined by his brother, Mosad, and a man named Hisham. After Fiki denied owing the money, defendant told his companion to “take care of them.” The man locked the office door and produced a handgun. A scuffle ensued and, during the melee, Mosad, Hisham and Fiki were shot. After defendant and his accomplice fled, emergency workers responded and transported the victims to a hospital. Fiki and Hisham survived, but Mosad did not.
The police came to suspect that defendant was involved in the crime but believed that he had escaped to his native country of Trinidad. Defendant eventually returned to the United States, securing a job at another automobile repair shop. At some point he made incriminating statements to one of his coworkers who, unbeknownst to defendant, was cooрerating with the Federal Bureau of Investigation (FBI) regarding an unrelated matter. The coworker shared defendant’s statement with an FBI agent.
In 1999, a team of NYPD officers and FBI agents went to defendant’s workplace but defendant became aware that the authorities were looking for him and he managed to elude capture again. He returned to Trinidad but was not permitted to enter the country because he produced a fake passport. Defendant was detained by authorities until United States marshals took him into custody and brought him back to New York.
On the third day of deliberations, a juror became ill and had to be hospitalized for approximately one week. The court and the parties were aware that it had been difficult to secure the attendancе of all the witnesses, some of whom had to travel from other countries, and that a retrial would be burdensome for all involved. Defense counsel told the court that defendant wanted deliberations to continue with the remaining 11 jurors. The People raised a concern that Cancemi v People (
Supreme Court granted defendant’s request, noting that, after Cancemi was decided, article I, section 2 of the state constitution was amended to allow a defendant to waive the right to a 12-person jury under proper circumstances, provided that the waiver is made in writing and in open court. Defendant executed the required waiver and deliberations resumed. Defendant was eventually acquitted of intentional murder in the second degree, two counts of assault in the first degree and two counts of attempted second-degree murder, but he was convicted of attempted robbery in the first degree and felony murder in the second degree. Supreme Court sentenced defendant to an aggregate term of 20 years to life in prison.
On appeal, defendant adopted a position contrary to that presented during trial—he claimed that the state сonstitution does not allow a defendant to consent to a jury of less than 12 members in any situation. The Appellate Division rejected defendant’s contention and upheld the convictions. A Judge of this Court granted leave and we now affirm.
II
The number 12 has long been associated with trial by jury but no one knows why or when the common law settled on that figure (see e.g. People v Cosmo,
The common-law tradition of a 12-person jury was exported to America in the colonial era and gained explicit recognition in the original Charter of Liberties and Privileges enacted by the first Legislature in 1683 (see Charter of Liberties and Privileges § 17 [1683], reprinted in 1 Lincoln, Constitutional History of New York, at 101-102). The right was also recognized in the first constitution after New York became a state (see 1777 NY Const art XLI). Although the constitution of 1777 did not specifically refer to the number 12, it provided that the right to a jury trial as it existed in New York before the adoption of the constitution was to be continued (see id.).
The parameters of the right to a jury trial were later modified by successive state constitutiоnal amendments (see e.g. 1821 NY Const, art VII, § 2; 1846 NY Const, art I, § 2; 1938 NY Const, art I, § 2). The 1821 amendment altered the original language slightly without affecting the meaning of the provision. But, in 1846, an amendment added a new principle to the state constitution—the ability of parties in a civil action to waive the right to a jury trial. This was a significant modification that allowed
Against this backdrop, in 1858 this Court decided Cancemi v People (
This Court concluded that a verdict reached by an 11-member jury violated article I, section 2 of the state constitution, which at that time included no language suggesting that a criminal defendant could waive a jury trial as the 1846 amendment had authorized for civil cases. According to the Court, the common-law jury of 12 was a constitutional “mode of proceeding” in criminal cases that could not be altered by the consent of the parties and, hence, the defendant’s approval of the juror’s discharge “was a nullity” (id. at 137, 138). The Court reasoned that “[i]f a deficiency of one juror might be waived, there appears to be no good reason why a deficiency of eleven might not be; and it is difficult to say why, upon the same principle, the entire panel might not bе dispensed with, and the trial committed to the court alone” (id. at 138).
Following Cancemi, questions were raised about the efficacy of a ban on jury trial waivers in criminal cases. This culminated in a 1935 proposal by the Judicial Council seeking legislative adoption of a concurrent resolution in favor of a constitutional amendment to include noncapital criminal cases within the scope of the waiver language that had been added to article I, section 2 in 1846 for civil trials (see 2d Rep of NY Jud Council, at 97, reprinted in 1936 NY Legis Doc No. 48 [C], at 3). The Council recognized that the proposed language was broad enough tо “legalize trial by jury of less than twelve men, as well as a complete waiver of the jury” but that the exact scope of the amendment would have to be determined by the judiciary (2d Rep of NY Jud Council, at 100). The Council firmly believed
The Legislature passed the resolution and submitted the proposed constitutional amendment to the voters for approval. The electorate was to decide whether “defendant[s] in all criminal сases, except those in which the crime charged may be punishable by death,” should be able to waive a jury trial (see L 1935, vol 1-2, at 1917). After the resolution achieved second passage in the 1937 session, the amendment was approved by voters and became effective on January 1, 1938 (see Poletti Report at 8).
Later that year, a constitutional convention was conducted and new language was inserted in article I, section 2 to specify the procedure for obtaining a proper waiver (see 2 Rev Rec, 1938 Constitutional Convention, at 1273-1282). After these two amendments, article I, section 2 read, in relevant part, as follows:
“[t]rial by jury in all cases in which it has heretofore been guaranteed by constitutional provision shall remain inviolate forever; but a jury trial may be waived by the parties in all civil cases in the manner to be prescribed by law. ... A jury trial may be waived by the defendant in all criminal cases, except those in which the crime charged may be punishable by death, by a written instrument signed by the defendant in person in open court before and with the approval of a judge or justice of a court having jurisdiction to try the offense. The legislature may enact laws, not inconsistent herewith, governing the form, content, mannеr and time of presentation of the instrument effectuating such waiver” (1938 NY Const, art I, § 2).
The language of this constitutional provision has remained unchanged since 1938. In addition, article VI, section 18 also references criminal juries by stating that “crimes prosecuted by indictment shall be tried by a jury composed of twelve persons, unless a jury trial has been waived as provided in section two of article one” (NY Const, art VI, § 18 [a]). Thus, whether the procedure used in this case was constitutionally permissible
Ill
Following the 1938 amendments, the first major dеcision by this Court on the issue of jury trial waivers was People v Ryan (
This Court concluded that the substitution violated the right to a 12-person jury because the alternate was kept away from the deliberations for five hours and, during that period, the alternate had ceased to function as a juror (see
In the aftermath of Ryan, the Legislature adopted section 270.35 of the Criminal Procedure Law dealing with the substitution of an alternate juror. That statute, unlike section 358-a of the Code of Criminal Procedure, explicitly incorporates the waiver requirements of article I, section 2 by providing that an alternate juror can be substituted for a juror after deliberations have commenced if the defendant personally consents to the substitution in writing and in open court.
Then, in People v Page (
“a defendant could waive the right to a jury trial—as well as the inclusory right to a jury of 12—and thereby consent to substitution of an alternate for a deliberating juror, ‘by a written instrument signed by the defendant in person in open court before and with the approval of a judge or justice of a court having jurisdiction to try the offense’ ” (id. at 8, quoting NY Const, art I, § 2).
IV
There is no doubt that Cancemi was decided correctly in 1858. At that point, article I, section 2 unequivocally permitted jury waivers only in civil cases. Conversely, the constitution did not allow criminal defendants to waive the right to a jury trial, which meant that defendants could not consent to jury deliberations by less than 12 jurors (see generally People v Cosmo,
In our view, however, the history of article I, section 2 and our subsequent decisions construing the meaning of the provision’s evolving text reveal that there is no longer a constitutional impediment to a defendant consenting to the continuation of deliberations by 11 jurors in conformance with the explicit procedures set forth in article I, section 2. The 1938 constitutionаl amendments clearly dispelled the notion that a defendant cannot consent to an alteration of the common-law jury of 12 in a noncapital criminal case. Since the waiver language in article I, section 2 for civil cases permits juries of less than 12, unlike the dissent, we are not persuaded that the identical language, when applied to criminal cases, prohibits a
Linguistic considerations aside, because a noncapital criminal defendant is free to waive a jury entirely in order to have a judge act аs the finder of fact (see CPL 320.10 [1])—something that was not permissible when Cancemi was decided—it follows that if a juror becomes unavailable after deliberations have begun and there are no alternates that can be substituted, a defendant should be permitted to request that an 11-member jury decide his fate.3
Of course, the constitution authorizes waiver only with the approval of the trial judge. Such a situation may arise when a deliberating juror becomes unavailable due to illness or other unexpected occurrence and the alternate jurors have been discharged at the defendant’s request. In this unusual circumstance, “the waiver is tendered in good faith and is not a strategem to procure an otherwise impermissible procedural advantage” (People v Duchin,
Equally significant is the fact that permitting a waiver of the common-law jury under article I, section 2 is consistent with the principle that сriminal defendants can waive many fundamental constitutional rights: the right to confront accusers (see e.g. People v Hansen,
V
Here, after a deliberating juror was hospitalized and there were no alternate jurors that could be substituted, defendant decided that it was in his interests to be judged by the remaining jurors he had a hand in choosing, rather than accepting a mistrial and subjecting himself to the ordeal of a second trial. Defendant made a good faith request that deliberations continue with the remaining 11 jurors and he executed a written waiver in the manner specified by the constitution that was approved by the trial judge. “Regardless of how unwise” defendant now thinks “that decision may have been, it was his to make” and he must “accept the decision he knowingly, voluntarily and intelligently made” along with “the consequences of his intentional actions and choices” (id. at 216-217). In light of this determination, defendant’s remaining contention is academic.
Accordingly, the order of the Appellate Division should be affirmed.
Notes
. See also Proffatt, A Treatise on Trial by Jury § 76, at 112 n 4 (1877) (“If the twelve apostles on their twelve thrones must try us in our eternal state, good reason hath the law to appоint the number twelve to try us in our temporal. The tribes of Israel were twelve, the patriarchs were twelve, and Solomon’s officers were twelve” [internal quotation marks omitted]); id. § 9, at 11 n 2 (stating that 12 was first adopted in 725 A.D. by a king of Wales who explained that just “as Christ and his twelve apostles were finally to judge the world, so human tribunals should be composed of the king and twelve wise men” [internal quotation marks omitted]).
. Two years earlier, article I, section 2 had been amended to permit five-sixths verdicts in civil cases (see Poletti Report at 8).
. The relevant language of article I, section 2 for civil cases reаds: “a jury trial may be waived by the parties in all civil cases in the manner to be prescribed by law.” Using parallel language for criminal cases, section 2 states, “[a] jury trial may be waived by the defendant in all criminal cases, except those in which the crime charged may be punishable by death . . . .”
The dissent also maintains that we have taken a “drastic departure” from the text of article VI, section 18 (dissenting op at 451). This is not so. That provision requires that all indictments be tried before a 12-member jury unless the defendant waives that right under article I, section 2. Because we believe that article I, section 2 permits a defendant to consent to 11 deliberating jurors under the circumstances presented, our decision is not inconsistent with the language of article VI, section 18.
. We also note that an 11-member jury does not contravene the federal constitution (see Williams v Florida,
Dissenting Opinion
Because the constitutional (see NY Const, art VI, § 18) and statutory (see CPL 270.05 [1]) requirement that a jury in a felony case consist of 12 persons is not waivable, defendant’s conviction by an 11-person juiy of felony murder and attempted robbery must be reversed, notwithstanding defendant’s consent to proceed with 11 jurors after one juror became unavailable due to illness.
Contrary to the majority’s assertion, Cancemi v People (
The majority suggests that Cancemi, although never overruled, is no longer a bar to a defendant’s consent to a jury consisting of fewer than 12. This is so, because our concern that allowing a waiver of one juror would lead to a waiver of the entire jury—not available for criminаl trials in 1858—has been alleviated by subsequent constitutional and statutory amendments that permit the waiver of the right to a jury trial in favor of a bench trial (see NY Const, art I, § 2; CPL 320.10). However, in deciding Cancemi, we stated that:
“It would be a highly dangerous innovation, in reference to criminal cases, upon the ancient and invaluable institution of trial by jury, and the constitution and laws establishing and securing that mode of trial, for the court to allow of any number short of a full panel of twelve jurors, and we think it ought not to be tolerated” (Cancemi,18 NY at 138 ).
The majority opines that
“the history of article I, section 2 and our subsequent decisions construing the meaning of the provision’s evolving text reveal that there is no longer a constitutional imрediment to a defendant consenting to the continuation of deliberations by 11 jurors in conformance with the explicit procedures set forth in article I, section 2” (majority op at 446).
I strongly disagree.
Article I, section 2 of the New York State Constitution refers to the complete waiver of a jury trial in favor of a bench trial, as the corresponding statutory provision—CPL 320.10—indicates. It does not refer to the waiver of a single juror. The majority seeks to tie the legislative history of the 1938 amendment to article I, section 2—authorizing a waiver of jury trial in favor of a bench trial—to the proposition that a defendant may waive the right to be tried by a 12-person jury by relying on the Judicial Council’s recommendations for that amendment. The Judicial Council “was created by statute in 1934 as a permanent research body to advise the [Legislature and the courts on improvements in the administration of judicial justice” (Saxe, The Judicial Council of the State of New York; Its Objectives, Methods, and Accomplishments, 35 Am Pol Sci Rev 933, 933-934 [Oct. 1941]). I do not believe that the Judicial Council’s isolated statement that “[i]t remains to be determined by judicial interpretation whether the proposed amendment will legalize trial by jury of less than twelve men, as well аs a complete waiver of the jury” (2d Rep of NY Jud Council, at 100) indicates that it had thoughtfully considered allowing a defendant to consent to a jury of fewer than 12 persons, as the majority suggests (see majority op at 443-444). Further, the majority’s statement that: “The [Judicial] Council firmly believed that there was Tittle doubt at present that such waiver permitted under proper conditions w[ould] be a desirable and valuable part of criminal procedure’ ” (majority op at 443-444, quoting 2d Rep of NY Jud Council, at 100) simply refers to the primary subject of the 1938 amendment, a defendant’s ability to consent to a bench trial in lieu of a jury trial, not his оr her ability to consent to an 11-person jury. Thus, there is no evidence in the 1938 legislative history of the amendment to article I, section 2 that the Legislature itself even considered legalizing the practice of allowing a defendant to consent to being tried by fewer than 12 jurors.
“[t]here is, obviously, a wide and important distinction, between civil suits and criminal prosecutions, as to the legal right of a defendant to waive a strict substantial adherence to the established, constitutional, statutory and common law mode and rules of judicial proceedings. This distinction arises from the great difference in the nature of such cases, in respect to the interests involved and the objects to be accomplished” (Cancemi,18 NY at 135-136 ).
There has been no constitutional or legislative amendment permitting a trial by fewer than 12 jurors and no “judicial interpretation”—until today—that allows such a drastic departure from the text of article VI, section 18 of the New York Cоnstitution—adopted in 1961. That section formally enshrined in the language of our Constitution the number of jurors required in a criminal case—“that crimes prosecuted by indictment shall be tried by a jury composed of twelve persons, unless a jury trial has been waived as provided in section two of article one of this constitution” (NY Const, art VI, § 18 [a]).
Neither has our decisional law eroded this principle. People v Ryan (
The primary issue in Ryan was whether defense counsel could consent to the admission of an alternate juror into deliberations some five hours after they had begun. The Court disposed of that issue by holding that “the Constitution of this State, as it has been construed, prohibits the substitution of an alternate juror—in effect a 13th juror—after the jury has begun its deliberation” (Ryan,
As it is well established that constitutional language must be given its plain meaning, the clear and unambiguous language of article VI, section 18 dictates the requisite number of jurors. There is no language in the Constitution that permits a felony jury trial with fewer than 12 jurors. The People maintain—and the majority agrees—that we have allowed criminal defendants to waive many fundamental constitutional rights, such as the right to confront accusers, the right to counsel, the privilege against self-incrimination, the right to testify and to present a defense, the right to be free from unreasonable searches and seizures, and the right to be present during trial proceedings (see majority op at 448). Nеvertheless, these rights cannot be characterized as fundamental “to the organization of the tribunals or the mode of proceeding prescribed by the constitution and the laws” (Cancemi,
Accordingly, the order of the Appellate Division should be reversed and a new trial ordered.
Judges Read, Smith, Pigott and Jones concur with Judge Graffeo; Judge Ciparick dissents and votes to reverse in a separate opinion in which Chief Judge Kaye concurs.
Order affirmed.
