People v. Mack, 27 N.Y.3d 152 (2016)

A trial court’s failure to follow the procedure outlined in <em>People v. O’Rama</em> when handling substantive jury inquiries does not constitute a mode of proceedings error requiring reversal if defense counsel was made aware of the note’s contents and did not object to the procedure.

Summary

The New York Court of Appeals addressed whether a trial court committed a mode of proceedings error by deviating from the <em>O’Rama</em> procedure for handling jury notes. The court held that because the trial court read the contents of the jury notes verbatim into the record in the presence of the parties and counsel, the deviation from the <em>O’Rama</em> procedure, while error, did not constitute a mode of proceedings error. Consequently, the defendant was required to object to the procedure to preserve the issue for appeal. The court emphasized the importance of adhering to the <em>O’Rama</em> guidelines to maximize counsel’s participation in the trial and to ensure a clear record for appellate review. The Appellate Division’s reversal was reversed, and the case was remitted for consideration of other factual issues.

Facts

The defendant was charged with robbery and related offenses. During jury deliberations, the jury sent three notes to the court requesting clarification on the charges. The trial court read the notes aloud in the presence of the parties, counsel, and the jury before responding to the jury’s inquiries. The defense counsel did not object to either the procedure followed by the trial court or to its responses to the jury. The jury subsequently reached a guilty verdict. The Appellate Division reversed the conviction, holding that the trial court had violated the <em>O’Rama</em> procedure and that this constituted a mode of proceedings error, which did not require preservation. The People appealed this decision to the Court of Appeals.

Procedural History

The defendant was found guilty in the Supreme Court, Queens County. The Appellate Division reversed the judgment, holding that the trial court had committed a mode of proceedings error by violating the <em>O’Rama</em> procedure and that preservation was not required. The Court of Appeals granted the People leave to appeal.

Issue(s)

1. Whether a trial court commits a mode of proceedings error when it fails to discuss a substantive jury note with counsel outside the presence of the jury, but reads the note into the record in the presence of the parties, counsel, and the jury before providing a response.

Holding

1. No, because the trial court complied with its core responsibility to give counsel meaningful notice of the jury’s notes by reading them into the record in open court in the presence of counsel, defendant, and the jury.

Court’s Reasoning

The Court of Appeals analyzed the trial court’s deviation from the <em>O’Rama</em> procedure in light of prior cases such as <em>People v. Starling</em>, <em>People v. Ramirez</em>, and <em>People v. Williams</em>. The court emphasized that the <em>O’Rama</em> procedure aims to maximize counsel’s participation in the trial. The Court distinguished the case from those where the court’s failure to provide the actual content of the jury note, resulting in counsel’s inability to effectively participate. The court held that because defense counsel was made aware of the contents of the notes (they were read verbatim in open court), and did not object to the procedure followed by the trial court, the issue was not preserved for appeal. The Court noted that the trial court’s action, while a deviation from the preferred <em>O’Rama</em> procedure, did not fall within the narrow category of mode of proceedings errors.

Practical Implications

This case underscores the importance of the <em>O’Rama</em> procedure in handling jury notes. The central message is that when a court provides meaningful notice by reading the contents of a jury note in open court and counsel does not object, any claims of error based on deviation from the <em>O’Rama</em> procedure are not preserved for appellate review. This highlights the need for counsel to be vigilant during jury deliberations and to make timely objections if the trial court’s procedure deviates from the established guidelines. This case may also lead to more precise application of the distinctions between substantive and ministerial jury inquiries.